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DEPARTMENT OF HOUSING AND

URBAN DEVELOPMENT

[Docket No. FR–4630–N–01]

Super Notice of Funding Availability

(SuperNOFA) for HUD’s Housing,

Community Development and

Empowerment Programs and Section 8

Housing Voucher Assistance for Fiscal

Year 2001

AGENCY: Office of the Secretary, HUD.

ACTION: Super Notice of Funding

Availability (SuperNOFA) for HUD

Grant Programs.

SUMMARY: This Fiscal Year 2001 Super

Notice of Funding Availability

(SuperNOFA) announces the

availability of approximately $2.75

billion in HUD program funds covering

45 grant categories within programs

operated and administered by HUD

offices and Section 8 housing voucher

assistance.

The General Section of this

SuperNOFA provides the application

procedures and requirements that are

applicable to all the programs in this

SuperNOFA. The Programs Section of

this SuperNOFA provides a description

of the specific programs for which

funding is made available and describes

any additional procedures and

requirements that are applicable to a

specific program. Please be sure you

read both the General Section and the

Program Section of this SuperNOFA to

ensure you respond to all the

requirements for funding.

APPLICATION DUE DATES: The information

in this APPLICATION DUE DATES section

applies to all programs that are part of

this SuperNOFA. You, the applicant,

must submit a completed application to

HUD no later than the application due

date established for the program for

which you are seeking funding. HUD

will not accept for review and

evaluation any applications sent by

facsimile (fax).

ADDRESSES AND APPLICATION SUBMISSION

PROCEDURES: Addresses. You, the

applicant, must submit a complete

application to the location identified in

the Programs Section of this

SuperNOFA. When submitting your

application, please refer to the name of

the program for which you are seeking

funding.

For Applications to HUD

Headquarters. If your application is due

to HUD Headquarters, you must send

the application to the following address:

Department of Housing and Urban

Development, 451 Seventh Street, SW,

Washington, DC 20410 (see the Program

Chart or Programs Section for Room

location and additional information

regarding the addresses for application

submission). Please make sure that you

note the room number. The correct room

number is very important to ensure that

your application is not misdirected.

For Applications to HUD Field

Offices. If your application is required

to be submitted to a HUD Field Office,

please see the Programs Section for the

exact office location for submission of

your application.

Applications Submission Procedures.

Mailed Applications. Your application

will be considered timely filed if your

application is 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. If your

application is sent by overnight delivery

or express mail, your application will be

timely filed if it is received before or on

the application due date, or when you

submit documentary evidence that your

application was placed in transit with

the overnight delivery/express mail

service by no later than the application

due date.

Hand Carried Applications. Handcarried to HUD Headquarters. If your

application is required to be submitted

to HUD Headquarters, and you arrange

for the application to be hand carried,

hand carried applications delivered

before and on the application due date

must be brought to the specified

location at HUD Headquarters 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.

This deadline date is firm. Please make

appropriate arrangements to arrive at

the HUD Headquarters Building before

12:00 midnight, Eastern time, on the

application due date.

Hand-carried to HUD Field Office. If

your application is required to be

submitted to a HUD Field Office, your

application must be delivered to the

appropriate HUD Field Office in

accordance with the instructions

specified in the Programs Section of the

SuperNOFA. A hand carried application

will be accepted at the specified HUD

Field Office during normal business

hours before the application due date.

On the application due date, business

hours will be extended to 6:00 pm, local

time. (Appendix A–1 to this General

Section of the SuperNOFA lists the

HUD Field Offices. Please call to find

out the hours of operation.) Please be

sure to arrive at the HUD Field Office

with adequate time to submit the

application before the 6:00 pm deadline

on the application due date.

Copies of Applications to HUD

Offices. The Programs Section of this

SuperNOFA may specify that to

facilitate the processing and review of

your application, a copy of the

application also must be sent to an

additional HUD location (for example, a

copy to the HUD Field Office 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). Please follow the directions of

the Programs Section to ensure that you

submit your application to the proper

location. For some programs, HUD

requests additional copies in order to

expeditiously review your application,

and to ensure that all reviewers receive

complete applications to review. HUD

appreciates your assistance in providing

the copies. Please note that for those

applications for which copies are to be

submitted to the Field Offices and HUD

Headquarters, timeliness of submission

will be based on the time your

application is received at HUD

Headquarters.

FOR APPLICATION KITS, FURTHER

INFORMATION AND TECHNICAL ASSISTANCE:

The information in this section is

applicable to all programs that are part

of this SuperNOFA. This section

describes how you may obtain

application kits, further information

about the SuperNOFA and technical

assistance. A guidebook to HUD

programs, titled ‘‘Connecting with

Communities: A User’s Guide to the

HUD Programs and the 2001

SuperNOFA process’’ is available from

the SuperNOFA Information Center and

the HUD website at www.hud.gov/

grants. This guidebook provides a brief

description of all of HUD’s programs, a

description of the SuperNOFA

programs, and eligible applicants for

these programs, and examples of how

programs can work in combination to

serve local community needs. The main

sources for obtaining this information

are:

The SuperNOFA Information Center,

which you may reach by calling 1–800–

HUD–8929 or the Center’s TTY number

at 1–800–HUD–2209; and

HUD’s web site on the Internet at

http://www.hud.gov/grants.

For Application Kits and SuperNOFA

User Guide. HUD is pleased to provide

you with the FY 2001 application kits

and/or a guidebook to all HUD programs

that are part of this SuperNOFA. For

some announcements of funding

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availability in this SuperNOFA, the

process for applying for funds is so

simple no application kit is required.

Where this is the case, the program

section for that funding will note that

there is no application kit. The

application kits are designed to guide

you through the application process and

ensure that your application addresses

all requirements for the program

funding you are seeking. Please note

that if there is a discrepancy between

information provided in the application

kit and the information provided in the

published SuperNOFA, the information

in the published SuperNOFA prevails.

Therefore, please be sure to review your

application submission against the

requirements in the SuperNOFA.

You may request general information

and application kits from the

SuperNOFA Information Center. When

requesting an application kit from the

SuperNOFA Information Center, please

refer to the name of the program 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).

To ensure sufficient time to prepare

your application, requests for

application kits can be made

immediately following publication of

the SuperNOFA. The SuperNOFA

Information Center opens for business

simultaneously with the publication of

the SuperNOFA.

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. Additionally, you can obtain

information on this SuperNOFA and

application kits for this SuperNOFA

through the HUD web site on the

Internet at http://www.hud.gov/grants.

Consolidated Application

Submissions. If you, the applicant,

would like to apply for funding under

more than one program in this

SuperNOFA, you need only submit one

originally signed SF–424 and one set of

original signatures for the other

standard assurances and certifications,

accompanied by the matrix that is

provided in each application kit. As

long as you submit one originally signed

set of these documents with an

application, you need only submit

copies of these documents with any

additional application you submit. Your

application should identify the program

for which you have submitted the

original signatures for the standard

assurances and certifications.

Additionally, the Programs Section may

specify additional forms, certifications,

assurances, or other information that

may be required for a particular program

in this SuperNOFA.

For Further Information. For answers

to your questions about this

SuperNOFA, you have several options.

You may call, during business hours,

the SuperNOFA Information Center at

1–800–HUD–8929, or you may contact

the HUD Office or Processing Center

serving your area at the telephone

number listed in the application kit for

the program in which you are

interested. If you are a person with a

hearing or speech impairment you may

call the Center’s TTY number at 1–800-

HUD–2209. You may also obtain

information on this SuperNOFA and

application kits for this SuperNOFA

through the HUD web site on the

Internet at http://www.hud.gov/grants.

For Technical Assistance. Before the

application due date, HUD staff will be

available to provide you with general

guidance and technical assistance about

this SuperNOFA. HUD staff, however,

are not permitted to assist in preparing

your application. Following selection of

applicants, but before awards are made,

HUD staff are available to assist in

clarifying or confirming information

that is a prerequisite to the offer of an

award or Annual Contributions Contract

(ACC) by HUD.

Satellite Broadcasts. HUD will hold

information broadcasts via satellite for

potential applicants to learn more about

the programs in this SuperNOFA and

preparation of the applications. For

more information about the date and

time of the broadcast, you should

consult the HUD web site at http://

www.hud.gov/grants.

For Federal Grant Information. The

Federal Financial Assistance

Management Improvement Act of 1999

(Pub. L. 106–107) directs each Federal

agency to develop and implement a plan

that, among other things, streamlines

and simplifies the application,

administrative and reporting procedures

for Federal financial assistance

programs administered by the agency.

This law also requires the Director of

the Office of Management and Budget

(OMB) to direct, coordinate, and assist

Federal agencies in establishing: (1) a

common application and reporting

system; and (2) an interagency process

for addressing ways to streamline and

simplify Federal financial assistance

application and administrative

procedures and reporting requirements

for program applicants.

This law also requires OMB to consult

with the grantee community as it works

with the Federal agencies to develop

and implement the course of action that

would be undertaken by the Federal

agencies to establish an electronic site

for accessing grant information and

applications. Over the last few months,

OMB has been conducting outreach

sessions informing you of the goals of

this new law and seeking your input as

the Federal agencies work together to

achieve implementation.

HUD has been an active member in

the Federal agency working groups and

has established a common website

where you can find information about

all the grant programs within HUD. You

can access this site from our homepage

at www.hud.gov/grants and checking on

grant program inventory. This site will

be linked with other Federal agencies as

the grants common website develops. If

you are interested in finding out more

about the ‘‘Federal Commons’’ and the

work being done by other agencies,

please visit the Inter-Agency Electronic

Grants Committee (IAEGC) website at

www.fedcommons.gov.

INTRODUCTION TO THE FY 2001

SUPERNOFA

HUD’S FY 2001 SuperNOFA Process

Background

This year marks the fourth year that

HUD is issuing a SuperNOFA for almost

all of its competitive grant programs,

and additional programs have been

added as noted below. The SuperNOFA

approach, in which the great majority of

HUD’s competitive funds are announced

in one document, is designed to

simplify the application process, bring

consistency and uniformity to the

application and selection process, and

accelerate the availability of funding.

Equally important, the SuperNOFA

approach is designed to increase the

ability of applicants to consider and

apply for funding under a wide variety

of HUD programs. The SuperNOFA

provides a ‘‘menu’’ of HUD competitive

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, faith-based organizations

and others will be able to identify the

programs for which they are eligible for

funding.

The most creative and novel element

of the SuperNOFA is that it places

heavy emphasis on the coordination of

activities assisted by HUD funds to

provide (1) greater flexibility and

responsiveness by potential grantees in

meeting local housing and community

development needs, and (2) greater

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flexibility for eligible applicants to

determine what HUD program resources

best fit the community’s needs. The

SuperNOFA’s promotion of

coordination and comprehensive

planning of HUD assistance reduces

duplication in the delivery of services

by organizations and communities, and

allows for delivery of a wider more

integrated array of services, thereby

resulting in more efficient use of HUD

funds to more effectively serve a greater

number of those most in need of HUD

assistance.

Changes Made in the SuperNOFA

Process for FY 2001

The FY 2001 SuperNOFA includes

more grant assistance funding than in

previous years and therefore further

increases the ability of applicants to

consider and apply for funding under a

wide variety of HUD programs. Funding

availability announcements that are

being added to the Fiscal Year 2001

SuperNOFA are the following:

• Assisted Living Conversion

Program (ALCP) for Eligible Multifamily

Projects

• Community Development Block

Grants for Indian Tribes and Alaska

Native Villages

• Early Doctoral Research Program

• Doctoral Research Program

• HUD Urban Scholars Fellowship

Program (a post doctoral program)

• Family Self-Sufficiency (FSS)

Program Coordinators Program

• Healthy Homes Demonstration and

Education Program (replacing the

Healthy Homes Initiative Program of

Fiscal Year 2000)

• Healthy Homes Research Program

(replacing the program for Research to

Improve the Evaluation and Control of

Residential Lead-Based Paint)

• Indian Housing Drug Elimination

Program

• Service Coordinators in Multifamily

Housing

With respect to the program NOFA for

the Community Development Block

Grants for Indian Tribes and Alaska

Native Villages (ICDBG), a rule that

amends the regulations for this program

was published on January 17, 2001 (66

FR 4578) and takes effect on April 16,

2001.

Funding availability announcements

that were part of the Fiscal Year 2000

SuperNOFA but for which there will be

no funding availability announcements

in FY 2001 are the following:

• Public Housing Drug Elimination

Technical Assistance for Safety and

Security

• Outreach and Assistance Training

Grants

Organization of the SuperNOFA

The SuperNOFA is divided into two

major sections. The General Section of

the SuperNOFA describes the

procedures and requirements applicable

to all applications. The Programs

Section of the SuperNOFA describes

each program that is part of this

SuperNOFA. For each program, the

Programs Section describes the 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) for

which you are applying. Your careful

reading will ensure that you apply for

program funding for which your

organization is eligible to receive funds

and that you fulfill all the requirements

for that program(s).

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 that are part

of this SuperNOFA. HUD programs that

provide assistance for, or complement,

similar activities (for example, the

Continuum of Care programs and CPD

Technical Assistance programs) have a

consolidated application that reduces

the administrative and paperwork

burden applicants would otherwise

encounter in submitting a separate

application for each program. The

Program Chart in this introductory

section of the SuperNOFA identifies the

programs that have been consolidated

and for which a consolidated

application is made available to eligible

applicants.

As we did in last year’s SuperNOFA,

HUD is providing copies of the

application forms in this publication.

The standard forms, certifications and

assurances applicable to all programs, or

the great majority of programs, in the

SuperNOFA follow the General Section

as Appendix B. The forms and any

additional certifications and assurances

that are unique to the individual

program will follow that program

section of the SuperNOFA.

The specific statutory and regulatory

requirements of the programs that are

part of this SuperNOFA continue to

apply to each program. The SuperNOFA

will identify, 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. Note

that not all applicants are eligible to

receive assistance under all programs

identified in this SuperNOFA.

THE PROGRAMS OF THIS

SUPERNOFA AND THE AMOUNT OF

FUNDS ALLOCATED

The programs that are part of this

SuperNOFA are identified in the chart

below. The approximate available funds

for each program are based on

appropriated funds, and for some

programs, the available funding

includes funds already recaptured. In

the event (1) HUD recaptures funds

(either for programs for which funding

already reflects recaptured funds or

other programs for which funding does

not reflect recaptured funds), or (2)

other funds become available for any

program, HUD reserves the right to

increase the available funding amount

for a program by the additional amounts

that become 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

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BILLING CODE 4210–32–C

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Paperwork Reduction Act Statement.

The information collection requirements

in this SuperNOFA have been approved

by the Office of Management and

Budget (OMB) under the Paperwork

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

3520). The chart shown above provides

the OMB approval number for each

program that is part of this SuperNOFA.

Where the chart notes that an OMB

number is pending, this means that

HUD has submitted the information to

OMB to obtain an approval number and

HUD’s request for the number is

pending. As soon as HUD receives the

approval number, the number will be

published in the Federal Register and

provided to the SuperNOFA

Information Center. Under the

Paperwork Reduction Act, an agency

may not conduct or sponsor, and a

person is not required to respond to, a

collection of information unless the

collection displays a valid control

number.

GENERAL SECTION OF THE

SUPERNOFA

I. Authority; Purposes of the FY 2001

SuperNOFA; Funding Amount; Eligible

Applicants and Eligible Activities

(A) Authority. HUD’s authority for

making funding under this SuperNOFA

is the Fiscal Year 2001 Department of

Veterans Affairs and Housing and Urban

Development and Independent Agencies

Appropriations Act, 2001 (Pub.L. 106–

377, approved October 27, 2000) (FY

2001 HUD Appropriations Act).

Generally, the authority is not repeated

in the individual program sections of

this SuperNOFA. The authority

provision of the program sections

identify additional laws and regulations

that authorize the requirements listed

for the funding competitions that make

up this SuperNOFA.

(B) Purposes. The purposes of this

SuperNOFA are to:

(1) Make funding available to

empower communities and residents.

The funding made available by this

SuperNOFA will assist community

leaders and residents, particularly lowand moderate-income residents, in

using HUD funds to develop viable

communities and provide decent

housing for all citizens, without

discrimination.

(2) Simplify the application process

for funding under HUD programs. For

the majority of funding that is part of

this year’s SuperNOFA, the SuperNOFA

continues to provide a single, uniform

set of rating factors and submission

requirements. This year’s SuperNOFA

also allows, as did last year’s, for you,

the applicant, to apply for more than

one program with a single application.

This year’s SuperNOFA also includes

funding for the Housing Choice Voucher

Program that is available on a first come,

first serve basis.

(3) Promote comprehensive

approaches to housing and community

development. Through the SuperNOFA

process, HUD encourages you, the

applicant, to focus on the

interrelationships that exist in a

community and in HUD’s funding

programs, and to build community-wide

efforts that coordinate the resources of

multiple applicants and programs. To

successfully address community needs

and solve community problems, and to

take advantage of existing resources,

HUD encourages members of a

community to join together and pool all

available resources in a common,

coordinated effort. By making all of

HUD’s competitive funding available in

one document, HUD allows you, the

applicant, to be able to relate the

activities proposed for funding under

this SuperNOFA to the community’s

Consolidated Plan and Analysis of

Impediments to Fair Housing Choice.

(C) Funding Available. As noted in

the Introduction Section to the

SuperNOFA, the HUD programs that are

part of this SuperNOFA are allocated

amounts based on appropriated funds. If

HUD recaptures funds in any program,

HUD reserves the right to increase the

available funding amounts by the

amount of funds recaptured.

(D) Restrictions on the Use of HUD

Funds in Support of the Sale of Tobacco

Products. Section 211 of the FY 2001

HUD Appropriations Act requires that

funds appropriated to HUD may not be

used to construct, operate, or otherwise

benefit a facility or facilities with a

designated portion of that facility which

sells or intends to sell predominantly

cigarettes or other tobacco products. The

Act defines the predominant sale of

cigarettes or other tobacco products to

mean sales representing more than 35

percent of the annual total in-store, nonfuel sales.

(E) Eligible Applicants and Eligible

Activities. The Programs Section of the

SuperNOFA describes the eligible

applicants and eligible activities for

each program.

II. Requirements and Procedures

Applicable to All Programs

Except as may be modified in the

Programs Section of this SuperNOFA, or

as noted within the specific provisions

of this Section II, the requirements,

procedures and principles listed below

apply to all programs that are part of

this SuperNOFA. Please be sure to read

the Programs Section of the SuperNOFA

for additional requirements or

information.

(A) Statutory Requirements. To be

eligible for funding under this

SuperNOFA, you, the applicant, must

meet all statutory and regulatory

requirements applicable to the program

or programs for which you are seeking

funding. If you need copies of the

program regulations, they are available

from the SuperNOFA Information

Center or through the Internet at the

HUD web site located at http://

www.hud.gov. Among the reasons that

HUD may find an application ineligible

to receive further funding consideration

is if the activities or projects proposed

in the application are not eligible

activities and projects. In addition (with

the exception of the Section 202 and

Section 811 programs) HUD may

eliminate the ineligible activities from

funding consideration and reduce the

grant amount accordingly.

(B) Threshold Requirements. (1)

Compliance with Fair Housing and Civil

Rights Laws. With the exception of

Federally recognized Indian tribes and

their instrumentalities, all applicants

and their subrecipients must comply

with all Fair Housing and civil rights

laws, statutes, regulations and executive

orders as enumerated in 24 CFR

5.105(a). If you are a Federally

recognized Indian tribe, you must

comply with the nondiscrimination

provisions enumerated at 24 CFR

1000.12.

If you, the applicant—

(a) Have been charged with a systemic

violation of the Fair Housing Act by the

Secretary alleging ongoing

discrimination;

(b) Are a defendant in a Fair Housing

Act lawsuit filed by the Department of

Justice alleging an ongoing pattern or

practice of discrimination; or

(c) Have received a letter of

noncompliance findings under Title VI,

Section 504, or Section 109,—

HUD will not rate and rank your

application under this SuperNOFA if

the charge, lawsuit, or letter of findings

has not been resolved to the satisfaction

of the Department before the application

deadline stated in the individual

program NOFA. HUD’s decision

regarding whether a charge, lawsuit, or

a letter of findings has been

satisfactorily resolved will be based

upon whether appropriate actions have

been taken to address allegations of

ongoing discrimination in the policies

or practices involved in the charge,

lawsuit, or letter of findings.

(2) Other Threshold Requirements.

The program section for the funding for

which you are applying may specify

other threshold requirements.

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Additional threshold requirements may

be identified in the discussion of

‘‘eligibility’’ requirements in the

program section.

(C) Additional Nondiscrimination

Requirements. You, the applicant and

your subrecipients, must comply with

the Americans with Disabilities Act of

1990 (42 U.S.C. 1201 et seq.), and Title

IX of the Education Amendments Act of

1972 (20 U.S.C. 1681 et seq).

(D) Affirmatively Furthering Fair

Housing. Unless otherwise specified in

the Programs Section of this

SuperNOFA, if you are a successful

applicant, you will have a duty to

affirmatively further fair housing. Again,

except as may be provided otherwise in

the Programs Section of this

SuperNOFA, you, the applicant, should

include in your application or work

plan the specific steps that you 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, you, the applicant, have a

duty to carry out the specific activities

provided in your responses to the

SuperNOFA rating factors that address

affirmatively furthering fair housing.

Please see the Programs Section of this

SuperNOFA for further information.

(E) Economic Opportunities for Low

and Very Low-Income Persons (Section

3). Certain programs in this SuperNOFA

require recipients of 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

in Connection with assisted Projects)

and the HUD regulations at 24 CFR part

135, including the reporting

requirements subpart E of this part.

Section 3 requires recipients to ensure

that, to the greatest extent feasible,

training, employment and other

economic opportunities will 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. As noted in the

Programs Section of this SuperNOFA,

Section 3 is applicable to the following

programs:

• Community Development Block

Grant Program for Indian Tribes and

Alaska Native Villages;

• Historically Black Colleges and

Universities (HBCU);

• Hispanic-Serving Institutions

Assisting Communities (HSIAC);

• Alaska Native/Native Hawaiian

Institutions Assisting Communities

(AN/NHIAC)

• Lead-Based Paint Hazard Control;

• Healthy Homes Demonstration and

Education Program;

• Healthy Homes Research Program;

• HOPE VI Public Housing

Revitalization and Demolition;

• Indian Housing Drug Elimination

Program;

• Public Housing Drug Elimination

Program—New Approach Anti-Drug

Program

• Resident Opportunities and SelfSufficiency Program

• Economic Development Initiative

(EDI);

• Brownfields Economic

Development Initiative (BEDI);

• Self-Help Homeownership

Opportunity Program (SHOP);

• Youthbuild Program;

• Continuum of Care Homeless

Assistance Programs;

• Housing Opportunities for Persons

with AIDS (HOPWA);

• Section 202 Supportive Housing for

the Elderly Program;

• Assisted Living Conversion

Program;

• Section 811 Supportive Housing for

Persons with Disabilities Program;

(F) Relocation. Any person (including

individuals, partnerships, corporations

or associations) who moves from real

property or moves personal property

from real property directly (1) because

of a written notice to acquire real

property in whole or in part, or (2)

because of the acquisition of the real

property, in whole or in part, for a HUDassisted activity is covered by Federal

relocation statute and regulations.

Specifically, this type of move is

covered by the acquisition policies and

procedures and the relocation

requirements of the Uniform Relocation

Assistance and Real Property

Acquisition Policies Act of 1970, as

amended (URA), and the implementing

governmentwide regulation at 49 CFR

part 24. The relocation requirements of

the URA and the governmentwide

regulations cover any person who

moves permanently from real property

or moves personal property from real

property directly because of acquisition,

rehabilitation or demolition for an

activity undertaken with HUD

assistance.

(G) Forms, Certifications and

Assurances. You, the applicant, are

required to submit signed copies of the

standard forms, certifications, and

assurances listed in this section, unless

the requirements in the Programs

Section specify otherwise. Also, the

Programs Section may specify

additional forms, certifications,

assurances or other information that

may be required for a particular program

in this SuperNOFA.

As part of HUD’s continuing efforts to

improve the SuperNOFA process,

several of the required standard forms

have been simplified this year. The

standard forms, certifications, and

assurances are as follows:

• Standard Form for Application for

Federal Assistance (SF–424) (which

includes civil rights/fair housing

certification);

• Federal Assistance Funding Matrix

and Certifications, HUD–424M;

• Standard Form for Budget

Information—Non-Construction

Programs (SF–424A) or

• Standard Form for Budget

Information-Construction Programs (SF–

424C), as applicable;

• Standard Form for Assurances—

Non-Construction Programs (SF–424B)

or

• Standard Form for Assurances—

Construction Programs (SF–424D), as

applicable; Drug-Free Workplace

Certification (HUD–50070);

• Certification of Payments to

Influence Federal Transaction (HUD–

50071) and if engaged in lobbying, the

Disclosure Form Regarding Lobbying

(SF–LLL); (Tribes and tribally

designated housing entities (TDHEs)

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.)

• Applicant/Recipient Disclosure/

Update Report (HUD–2880);

• Certification Regarding Debarment

and Suspension (HUD–2992). This is

the 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.);

• Certification of Consistency with

EZ/EC Strategic Plan (HUD–2990);

• Certification of Consistency with

the Consolidated Plan (HUD–2991) if

applicable;

• Acknowledgment of Application

Receipt (HUD–2993);

• Client Comments and Suggestions

(HUD 2994)

Copies of these standard forms follow

this General Section of the SuperNOFA.

Copies of forms that are particular to an

11652 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

individual program, follow the funding

information for that program.

Also included in the Appendix B to

the General Section is the Funding

Application for the Section 8 Housing

Choice Voucher Program (HUD 52515).

Note that Forms SF–424A and SF–424C

ask for information which is similar to

the same information that is required by

form HUD 4123-Cost Summary which is

listed as a required form under the

ICDBG program section of this

SuperNOFA and which is a required

application for that program. Also note

that there are assurances separate from

SF–424B and 424D for the ICDBG

program which are specific to that

program.

(H) OMB Circulars and

Governmentwide Regulations

Applicable to Grant Programs. Certain

OMB circulars also apply to programs in

this SuperNOFA. The policies,

guidance, and requirements of: OMB

Circular No. A–87 (Cost Principles

Applicable to Grants, Contracts and

Other Agreements with State and Local

Governments); OMB Circular A–21

(Cost Principles for Education

Institutions) OMB Circular No. A–122

(Cost Principles for Nonprofit

Organizations); OMB Circular A–133

(Audits of States, Local Governments,

and Non-Profit Organizations); and the

regulations in 24 CFR part 84 (Grants

and Agreements with Institutions of

Higher Education, Hospitals, and other

Non-Profit Organizations) and 24 CFR

part 85 (Administrative Requirements

for Grants and Cooperative Agreements

to State, Local, and Federally recognized

Indian tribal governments)—may apply

to the award, acceptance and use of

assistance under the programs of this

SuperNOFA, and to the remedies for

noncompliance, except when

inconsistent with the provisions of the

FY 2001 HUD Appropriations Act, other

Federal statutes or the provisions of this

SuperNOFA. Compliance with

additional OMB Circulars or

governmentwide regulations 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 20503, telephone (202)

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

or from the website at http://

whitehouse.gov/wh/eop/omb/html/

circulars.

(I) Environmental Requirements. If

you become a grantee under one of the

programs in this SuperNOFA that assist

physical development activities or

property acquisition, you are generally

prohibited from acquiring,

rehabilitating, converting, leasing,

repairing or constructing property, or

committing or expending HUD or nonHUD funds for these types of program

activities, until one of the following has

occurred:

(1) HUD has completed an

environmental review in accordance

with 24 CFR part 50; or

(2) For programs subject to 24 CFR

part 58, HUD has approved a grantee’s

Request for Release of Funds (HUD

Form 7015.15) following a Responsible

Entity’s completion of an environmental

review.

You, the applicant, should consult the

Programs Section of the SuperNOFA for

the applicable program to determine the

procedures for, timing of, and any

exclusions from environmental review

under a particular program. For

applicants applying for funding under

the Sections 202 or 811 Programs,

please note the environmental review

requirements for these programs.

(J) Conflicts of Interest. If you are a

consultant or expert who is assisting

HUD in rating and ranking applicants

for funding under this SuperNOFA, you

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

criminal conflict of interest statute, and

the Standards of Ethical Conduct for

Employees of the Executive Branch

regulation published at 5 CFR part 2635.

As a result, if you have assisted or plan

to assist applicants with preparing

applications for this SuperNOFA, you

may not serve on a selection panel and

you may not serve 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. Individuals involved in the

rating and ranking of applications must

disclose to HUD’s General Counsel or

HUD’s Ethics Law Division the

following information if applicable: how

the selection or non-selection of any

applicant under this SuperNOFA will

affect the individual’s financial

interests, as provided in 18 U.S.C. 208;

or how the application process involves

a party with whom the individual has

a covered relationship under 5 CFR

2635.502. The individual must disclose

this information prior to participating in

any matter regarding this SuperNOFA. If

you have questions regarding these

provisions or if you have questions

concerning a conflict of interest, you

may call the Office of General Counsel,

Ethics Law Division, at 202–708–3815

and ask to speak to one of HUD’s

attorneys in this division.

(K) Accessible Technology. The

Rehabilitation Act Amendments of 1998

apply to all electronic information

technology (EIT) used by a grantee for

transmitting, receiving, using, or storing

information to carry out the

responsibilities of any federal grant

awarded. It includes, but is not limited

to, computers (hardware, software,

wordprocessing, email and web pages)

facsimile machines, copiers and

telephones. Recipients of HUD funds

when developing, procuring,

maintaining or using EIT must ensure

that the EIT allows (1) employees with

disabilities to have access to and use

information and data that is comparable

to the access and use of data by

employees who do not have disabilities;

and (2) members of the public with

disabilities seeking information or

service from a grantee must have access

to and use of information and data and

comparable to the access and use of data

by members of the public who do not

have disabilities. If these standards

impose on a funding recipient, they may

provide an alternative means to allow

the individual to use the information

and data. However, no grantee will be

required to provide information services

to a person with disabilities at any

location other than the location at

which the information services is

generally provided.

III. Application Selection Process

(A) Rating Panels. To review and rate

your applications, HUD may establish

panels. These panels may include

persons not currently employed by

HUD. HUD may include these non-HUD

employees to obtain certain expertise

and outside points of view, including

views from other Federal agencies.

(1) Rating. HUD will evaluate and rate

all applications for funding that meet

the threshold requirements and rating

factors for award described in this

SuperNOFA. The rating of you, as the

‘‘applicant,’’ or of your organization,

‘‘the applicant’s organization and staff,’’

for technical merit or threshold

compliance will include any subcontractors, consultants, sub-recipients,

and members of consortia which are

firmly committed to the project.

(2) Ranking. HUD will rank applicants

within each program (or, for Continuum

of Care applicants, across the three

programs identified in the Continuum of

Care section of this SuperNOFA). HUD

will rank applicants only against other

applicants that applied for the same

program funding. Where there are setasides within a program competition,

you, the applicant, will compete against

only those applicants in the same setaside competition.

(B) Threshold Requirements. HUD

will review your application to

determine whether it meets all of the

threshold requirements described in

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11653

1 In December 1994, 72 urban areas and 33 rural

communities were designated as Empowerment

Zones or Enterprise Communities. These designated

areas receive more than $1.5 billion in performance

grants and more than $2.5 billion in tax incentives.

The Taxpayers Relief Act of 1997 established a

second round of designations for 15 new

Empowerment Zones. Round II designees were

announced in December 1998. Strategic Planning

Communities are HUD designations that ranked

competitively in the Round II competition but were

not selected for EZ designation.

Section II(B), above. Only if your

application meets all of the threshold

requirements will it be eligible to be

rated and ranked.

(C) Factors For Award Used To

Evaluate and Rate Applications. For

each program that is part of this

SuperNOFA, the points awarded for the

rating factors total 100. Depending upon

the program for which you the applicant

seek funding, the program may provide

for up to four bonus points as provided

in paragraphs (1) and (2) of this Section

III(C).

(1) Bonus Points. The SuperNOFA

provides for the award of up to two

bonus points for eligible activities/

projects that the applicant proposes to

be located in federally designated

Empowerment Zones (EZs), Enterprise

Communities (ECs), Urban Enhanced

Enterprise Communities (EECs), or

Strategic Planning Communities and

serve the residents of these federally

designated areas, and are certified to be

consistent with the strategic plan of

these federally designated areas. (For

ease of reference in the SuperNOFA,

these federally designated areas are

collectively referred to as ‘‘EZs/ECs’’

and residents of these federally

designated areas as EZ/EC residents.) 1

The individual funding announcement

will indicate if the bonus points are

available for that funding. The

application kit contains a certification

which must be completed for the

applicant to be considered for EZ/EC

bonus points. A list of EZs, ECs, EECs

and Strategic Planning Communities is

attached to this General Section of the

SuperNOFA as Appendix A–2 and is

also available from the SuperNOFA

Information Center, through the HUD

web site at http://www.hud.gov/grants.

In the BEDI competition, two bonus

points are available for federally

designated Brownfields Show Case

Communities. (Please see BEDI section

of this SuperNOFA for additional

information). A listing of the federally

designated EZs, ECs, and Enhanced ECs

and Brownfields Showcase

Communities is available from the

SuperNOFA Information Center, or

through the HUD web site on the

Internet at http://www.hud.gov/grants.

(2) Court-Ordered Consideration. For

any application submitted by the City of

Dallas, Texas, for funds under this

SuperNOFA for which the City of Dallas

is eligible to apply, HUD will consider

the extent to which the strategies or

plans in the city’s application or

applications will be used to eradicate

the vestiges of racial 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 based on this consideration. This

special consideration results from an

order of the U.S. District Court for the

Northern District of Texas, Dallas,

Division. (This Section III(C)(2) is

limited to applications submitted by the

City of Dallas.)

(3) The Five Standard Rating Factors.

The majority of programs in this

SuperNOFA use the five rating factors

described below. Additional details

about the five rating factors listed

below, and the maximum points for

each factor, are provided in the

Programs Section of the SuperNOFA.

You, the applicant, should carefully

read the factors for award as described

in the Programs Section of the

SuperNOFA. HUD has established these

five factors as the basic factors for award

in every program that is part of this

SuperNOFA. For a specific HUD

program, however, HUD may have

modified these factors 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

The Continuum of Care Homeless

Assistance Programs have only two

factors that receive points: Need and

Continuum of Care.

(D) Negotiation. After HUD has rated

and ranked all applications and has

made selections, HUD may require,

depending upon the program, 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 with a selected applicant or

a selected applicant fails to provide

HUD with requested information, an

award will not be made to that

applicant. In this instance, HUD may

offer an award to the next highest

ranking applicant, and proceed with

negotiations with the next highest

ranking applicant.

(E) Adjustments to Funding.

(1) HUD reserves the right to fund less

than the full amount requested in your

application to ensure the fair

distribution of the funds and to ensure

that the purposes of a specific program

are met.

(2) HUD will not fund any portion of

your application that is not eligible for

funding under specific program

statutory or regulatory requirements;

which does not meet the requirements

of this SuperNOFA or which may be

duplicative of other funded programs or

activities from previous years’ awards or

other selected applicants. Only the

eligible portions of your application

(including non-duplicative portions)

may be funded.

(3) If funds remain after funding the

highest ranking applications, HUD may

fund all or part of the next highest

ranking application in a given program.

If you, the applicant, turn down 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

where there is a balance of funds.

(4) In the event HUD commits an error

that, when corrected, would result in

selection of an otherwise eligible

applicant during the funding round of

this SuperNOFA, HUD may select that

applicant when sufficient funds become

available.

(F) Performance and Compliance

Actions of Grantees. HUD will measure

and address the performance and

compliance actions of grantees in

accordance with the applicable

standards and sanctions of their

respective programs.

IV. Application Submission

Requirements

As discussed in the Introduction

Section of this SuperNOFA, part of the

simplification of this funding process is

to reduce the duplication of effort that

has been required of applicants in the

past. Before the SuperNOFA process,

many of HUD’s applicants were

required to complete and submit similar

applications for HUD funded programs.

As the Program Chart above shows, the

FY 2001 SuperNOFA provides, as did

the previous SuperNOFAs, for

consolidated applications for several of

11654 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

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 its regulations

in 24 CFR part 4, subpart B, consider

any unsolicited information you, the

applicant, may want to provide. HUD

may contact you, however, to clarify an

item in your application or to correct

technical deficiencies. You should note,

however, that HUD may not seek

clarification of items or responses that

improve the substantive quality of your

response to any rating factors. In order

not to unreasonably exclude

applications from being rated and

ranked, HUD may, however, contact

applicants to ensure proper completion

of the application and will do so on a

uniform basis for all applicants.

Examples of curable (correctable)

technical deficiencies include your

failure to submit the proper

certifications or your failure to submit

an application that contains an original

signature by an authorized official. In

each case, HUD will notify you in

writing by describing the clarification or

technical deficiency. HUD will notify

applicants by facsimile or by return

receipt requested. You 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 due date

falls on a Saturday, Sunday, or Federal

holiday, your correction must be

received by HUD on the next day that

is not a Saturday, Sunday, or Federal

holiday.) If your deficiency is not

corrected within this time period, HUD

will reject your application as

incomplete, and it will not be

considered for funding. (Note that the

Sections 202 and 811 Programs provide

for appeal of rejection of an application

on technical deficiency. Please see the

Programs Sections for these programs

for additional information and

instructions.)

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. This

Section VI of the General Section of the

SuperNOFA describes important

initiatives that applicants should be

aware of.

(B) Linking Program Activities With

AmeriCorps. You are encouraged to link

your 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, or visit the Americorps

website at www.cns.gov/americorps.

(C) Linking Program Activities with

USDA. In this year’s SuperNOFA, HUD

is working with the Department of

Agriculture (USDA) to provide technical

assistance to public housing authorities

to develop a natural resource

stewardship program to enhance the

natural environment through activities

such as tree planting, creating green

spaces in areas devoid of vegetation and

protecting areas from erosion and storm

water runoff. Further information about

this initiative can be found on the U.S.

Forest Service website at www.fs.us/

research/rvur/urban/urbanforest.html.

(D) Encouraging Visitability in New

Construction and Substantial

Rehabilitation Activities. In addition to

applicable accessible design and

construction requirements, you are

encouraged to incorporate visitability

standards where feasible in new

construction and substantial

rehabilitation projects. Visitability

standards allow a person with mobility

impairments access into the home, but

do not require that all features be made

accessible. Visitability means 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. 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 Uniform Federal

Accessibility Standards (UFAS) are

available from the SuperNOFA

Information Center (1–800–HUD–8929

or 1–800–HUD–2209 (TTY)) and also

from the Office of Fair Housing and

Equal Opportunity, U.S. Department of

Housing and Urban Development, Room

5230, 451 Seventh Street, SW,

Washington, DC 20410, telephone (202)

755–5404 or the TTY telephone number,

1–800–877 8399 (Federal Information

Relay Service).

(E) Encouraging Universal Design.

Universal design is the design of

products and environments to be usable

by all people, to the greatest extent

possible, without the need for

adaptation or specialized design. The

intent of universal design is to simplify

life for everyone by making products,

communications and the built

environment more usable by as many

people as possible at little or no extra

cost. Universal design benefits people of

all ages and abilities. In addition to any

applicable required accessibility

features under section 504 of the

Rehabilitation Act of 1973 or the design

and construction requirements of the

Fair Housing Act, the Department

encourages applicants to incorporate the

principles of universal design when

developing housing, community

facilities, electronic communication

mechanisms, or when communicating

with community residents at public

meetings or events.

(F) 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,

proper ventilation and moisture control

to protect from mold, window guards to

protect children from falling, proper

pest management to prevent

cockroaches which can trigger asthma,

and activities directed to control of leadbased paint hazards. The National Lead

Information Hotline is 1–800–424–5323,

and information is also available at the

following website—www.hud.gov:80/

health/safehome.html.

(G) Participation in PATH. If you are

applying for funds that may be utilized

for construction or rehabilitation, HUD

encourages participation in Partnership

for Advancing Technology in Housing

(PATH). PATH’s goal is to achieve

dramatic improvement in the quality of

American housing by the year 2010.

PATH encourages leaders from the

home building, product manufacturing,

insurance and financial industries and

representatives from federal agencies

dealing with housing issues to work

together to spur housing design and

construction innovations. PATH has a

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11655

FY 2001 budget of $10 million. PATH

will provide technical support in design

and cost analysis of advanced

technologies to be incorporated in

project construction.

Applicants should see

www.pathnet.org on the Internet for

more information, the list of

technologies, latest PATH Newsletter,

results from field demonstrations and

PATH projects. Applicants are

encouraged to employ PATH

technologies to exceed prevailing

national building practices by: reducing

costs; improving durability; increasing

energy efficiency; improving disaster

resistance; and reducing environmental

impact.

HUD’s objective is to select projects

funded under this SuperNOFA which

demonstrate high potential

opportunities for application of PATH

technologies. HUD will provide

technical assistance in the form of

architectural, engineering and financial

analysis to incorporate the specific

technologies appropriate to the type of

construction and climate. More

information about PATH is available at

the following website—

www.pathnet.org/about/about.html.

(H) Bridging the Digital Divide.

Bridging the Digital Divide is an

initiative whose objective is to provide

access to computers to low and

moderate income families and children

who do not have access and therefore

may be disadvantaged with respect to

education, work and training

opportunities. HUD encourages

applicants to incorporate education and

job training opportunities through

initiatives such as HUD’s Neighborhood

Networks and Twenty/20 Education

communities in their programs.

(1) Neighborhood Networks. The

Neighborhood Networks Initiative

enhances the self-sufficiency,

employability and economic selfreliance of low-income families and the

elderly living in HUD insured and HUD

assisted properties by providing them

with on-site access to computer and

training resources.

(2) The Twenty/20 Education

Communities Initiative. This initiative

(formerly known as Campus of Learners)

is designed to transform public housing

into safe and livable communities where

families undertake training in new

telecommunications and computer

technology and partake in educational

opportunities and job training

initiatives.

(I) Bridging the Gap Initiative.

Bridging the Gap is a HUD initiative

aimed at expanding economic and skills

building opportunities offered through

registered apprenticeship programs in

HUD assisted construction related and

maintenance activities. Apprenticeship

programs have a long history of

providing structured, highly competent,

safe and comprehensive occupational

training which produces highly

qualified journey level workers.

Through this initiative, HUD seeks to

encourage and promote the use of

apprenticeship programs in programs

sponsored with HUD funds and to

ensure the beneficiaries of such

apprenticeship programs are HUD’s

client community of public housing and

low-and moderate-income residents of

our nation’s communities.

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) Executive Order 13132,

Federalism. Executive Order 13132

(entitled ‘‘Federalism’’) prohibits, to the

extent practicable and permitted by law,

an agency from promulgating policies

that have federalism implications and

either impose substantial direct

compliance costs on State and local

governments and are not required by

statute, or preempt State law, unless the

relevant requirements of section 6 of the

Executive Order are met. This

SuperNOFA does not have federalism

implications and does not impose

substantial direct compliance costs on

State and local governments or preempt

State law within the meaning of the

Executive Order.

(C) Prohibition Against Lobbying

Activities. You, the applicant, 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. You are required to

certify, using the certification found at

Appendix A to 24 CFR part 87, that you

will not, and have not, used

appropriated funds for any prohibited

lobbying activities. In addition, you

must disclose, using Standard Form

LLL, ‘‘Disclosure of Lobbying

Activities,’’ any funds, other than

Federally appropriated funds, that will

be or have been used to influence

Federal employees, members of

Congress, and congressional staff

regarding specific grants or contracts.

Tribes and tribally designated housing

entities (TDHEs) 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 (update

information also reported on 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 5.

(3) Publication of Recipients of HUD

Funding. HUD’s regulations at 24 CFR

11656 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

4.7 provide that HUD will publish a

notice in the Federal Register to notify

the public of all decisions made by the

Department to provide:

(i) Assistance subject to section 102(a)

of the HUD Reform Act; 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, subpart B, apply to this funding

competition. The regulations continue

to apply until the announcement of the

selection of successful applicants. HUD

employees involved in the review of

applications and in the making of

funding decisions are 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 2001 SuperNOFA Process

and Future HUD Funding Processes

Each year, HUD strives to improve its

SuperNOFA. The FY 2001 SuperNOFA

was revised based on comments

received during the FY 2000 funding

process. HUD continues to welcome

comments and feedback from applicants

and other members of the public on how

HUD may further improve its

competitive funding process.

The description of programs for

which funding is available under this

SuperNOFA follows this General

Section and its appendices.

Dated: February 15, 2001.

Mel Martinez,

Secretary.

APPENDIX A–1.—LIST OF HUD FIELD OFFICES

Jurisdiction Office Address and phone numbers

NEW ENGLAND ............................... Boston, MA ................................... HUD—Boston Office, O’Neil Federal Building, 10 Causeway Street,

Rm. 375, Boston, MA 02222–1092, OFC PHONE (617) 565–5236

Hartford, CT .................................. HUD—Hartford Office, One Corporate Center, Hartford, CT 06103–

3220, OFC PHONE (860) 240–4844

Manchester, NH ............................ HUD—Manchester Office, Norris Cotton Federal Bldg., 275 Chestnut

Street, Manchester, NH 03101–2487, OFC PHONE (603) 666–

7510

Providence, RI .............................. HUD—Providence Office, 10 Weybosset Street, Sixth Floor, Providence, RI 02903–2808, OFC PHONE (401) 528–5352

Bangor, ME ................................... HUD—Bangor Office, 202 Harlow Street—Chase Bldg., Suite 101,

Bangor, ME 04401–4925, OFC PHONE (207) 945–0468

Burlington, VT ............................... HUD—Burlington Office, Room 237—Federal Building, 11 Elmwood

Avenue, PO Box 879, Burlington, VT 05401–0879, OFC PHONE

(802) 951–6290

NY/NEW JERSEY ............................ New York, NY ............................... HUD—New York Office, 26 Federal Plaza—Suite 3541, New York,

NY 10278–0068, OFC PHONE (212) 264–4377

Buffalo, NY .................................... HUD—Buffalo Office, Lafayette Court, 5th Floor, 465 Main Street,

Buffalo, NY 14203–1780, OFC PHONE (716) 551–5755

Camden, NJ .................................. HUD—Camden Office, 2nd Floor—Hudson Bldg., 800 Hudson

Square, Camden, NJ 08102–1156, OFC PHONE (856) 757–5088

Newark, NJ ................................... HUD—Newark Office—13th Floor, One Newark Center, Newark, NJ

07102–5260, OFC PHONE (973) 622–7619

Albany, NY .................................... HUD—Albany Office, 52 Corporate Circle, Albany, NY 12203–5121,

OFC PHONE (518) 464–4200

MID-ATLANTIC ................................. Philadelphia, PA ............................ HUD Philadelphia Office, The Wanamaker Building, 100 Penn

Square, East, Philadelphia, PA 19107–3380, OFC PHONE (215)

656–0600

Baltimore, MD ............................... HUD Baltimore Office, 5th Floor, 10 South Howard Street, Baltimore,

MD 21201–2505, OFC PHONE (410) 962–2520

Pittsburgh, PA ............................... HUD Pittsburgh Office, 339 Sixth Avenue—Sixth Floor, Pittsburgh,

PA 15222–2515, OFC PHONE (412) 644–5945

Washington, DC ............................ (Office Temporarily covered), HUD Washington, DC Office, Suite

300, 820 First Street, NE., Washington, DC 20002–4205, OFC

PHONE (202) 275–9200

Richmond, VA ............................... HUD Richmond Office, 3600 West Broad Street, Richmond, VA

23230–4920, OFC PHONE (804) 278–4500

Charleston, WV ............................. HUD—Charleston Office, 405 Capitol Street, Suite 708, Charleston,

WV 25301–1795, OFC PHONE (304) 347–7036

Wilmington, DE ............................. HUD—Delaware State Office, One Rodney Square, 920 King Street,

Suite 404, Wilmington, DE 19801, OFC PHONE (302) 573–6300

SOUTHEAST/CARRIBEAN .............. Atlanta, GA .................................... HUD—Atlanta Office, 40 Marietta Street—Five Points Plaza, Atlanta,

GA 30303–2806, OFC PHONE (404) 331–4111

Birmingham, AL ............................ HUD—Birmingham Office, Medical Forum Building, 950 22nd St.,

North, Suite 900, Birmingham, AL 35203–5301, OFC PHONE

(205) 731–2630

Louisville, KY ................................ HUD—Louisville Office, 601 West Broadway, PO Box 1044, Louisville, KY 40201–1044, OFC PHONE (502) 582–5251

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11657

APPENDIX A–1.—LIST OF HUD FIELD OFFICES—Continued

Jurisdiction Office Address and phone numbers

Jackson, MS ................................. HUD—Jackson Office, McCoy Federal Building, 100 W. Capitol

Street, Room 910, Jackson, MS 39269–1096, OFC PHONE (601)

965–4700

Memphis, TN ................................. HUD—Memphis Office, 200 Jefferson Avenue, Suite 1200, Memphis,

TN 38103–2335, OFC PHONE (901) 544–3403

Nashville, TN ................................. HUD—Nashville Office, 235 Cumberland Bend Drive, Suite 200,

Nashville, TN 37228–1803, OFC PHONE (615) 736–5213

Jacksonville, FL ............................ HUD—Jacksonville Office, 301 West Bay Street, Suite 2200, Jacksonville, FL 32202–5121, OFC PHONE (904) 232–2627

Miami, FL ...................................... HUD—Florida State Office, 909 SE First Avenue, Miami, FL 33131,

OFC PHONE (305) 536–5676

Greensboro, NC ............................ HUD—Greensboro Office, Koger Building, 2306 West Meadowview

Road, Greensboro, NC 27407–3707, OFC PHONE (336) 547–

4001, 4002, 4003

San Juan, PR ................................ HUD—Caribbean Office, 171 Carlos E. Chardon Avenue, San Juan,

PR 00918–0903, OFC PHONE (787) 766–5201

Columbia, SC ................................ HUD—Columbia Office, 1835 Assembly Street, Columbia, SC

29201–2430, OFC PHONE (803) 765–5592

Knoxville, TN ................................. HUD—Knoxville Office, 710 Locust Street, SW, Knoxville, TN

37902–2526, OFC PHONE (423) 545–4384

Orlando, FL ................................... HUD—Orlando Office, 3751 Maguire Boulevard, Room 270, Orlando,

FL 32803–3032, OFC PHONE (407) 648–6441

Tampa, FL ..................................... HUD—Tampa Office, 500, Zack St., #402, Tampa, FL 33602–3945,

OFC PHONE (813) 228–2431

MIDWEST ......................................... Chicago, IL .................................... HUD—Chicago Office, Ralph Metcalfe Federal Building, 77 West

Jackson Boulevard, Chicago, IL 60604–3507, OFC PHONE (312)

353–5680

Detroit, MI ..................................... HUD—Detroit Office, 477 Michigan Avenue, Detroit, MI 48226–2592,

OFC PHONE (313) 226–7900

Indianapolis, IN ............................. HUD—Indianapolis Office, 151 North Delaware Street, Suite 1200,

Indianapolis, IN 46204–2526, OFC PHONE (317) 226–7034

Grand Rapids, MI .......................... HUD—Grand Rapids Office, Trade Center Building, 50 Louis Street,

N.W., Grand Rapids, MI 49503–2648, OFC PHONE (616) 456–

2125

Minneapolis, MN ........................... HUD—Minneapolis Office, 220 Second Street, South, Minneapolis,

MN 55401–2195, OFC PHONE (612) 370–3000

Cincinnati, OH ............................... HUD—Cincinnati Office, 525 Vine Street, Suite 700, Cincinnati, OH

45202–3188, OFC PHONE (513) 684–2967

Cleveland, OH ............................... HUD—Cleveland Office, 1350 Euclid Avenue, Suite 500, Cleveland,

OH 44115–1815, OFC PHONE (216) 522–4058

Columbus, OH .............................. (Office Temporarily Covered), HUD—Columbus Office, 200 North

High Street, Columbus, OH 43215–2499, OFC PHONE (614) 469–

2540

Milwaukee, WI ............................... HUD—Milwaukee Office, 310 West Wisconsin Avenue, Room 1380,

Milwaukee, WI 53203–2289, OFC PHONE (414) 297–3214

Flint, MI ......................................... HUD—Flint Office, 1101 S. Saginaw Street, North Building, Flint, MI

48502–1953, OFC PHONE (810) 766–5082

Springfield, IL ................................ HUD—Springfield Office, 320 West Washington, 7th Floor, Springfield, IL 62707, OFC PHONE (217) 492–4120

SOUTHWEST ................................... Fort Worth, TX .............................. HUD—Fort Worth Office, 801 Cherry Street, PO Box 2905, Ft.

Worth, TX 76113–2905, OFC PHONE (817) 978–5965

Dallas, TX ..................................... HUD—Dallas Office, 525 Griffin Street, Room 860, Dallas, TX

75202–5007, OFC PHONE (214) 767–8300

Albuquerque, NM .......................... HUD—Albuquerque Office, 625 Silver Avenue SW, Suite 100, Albuquerque, NM 87102–3185, OFC PHONE (505) 346–6463

Houston, TX .................................. HUD—Houston Office, 2211 Norfolk, #200, Houston, TX 77098–

4096, OFC PHONE (713) 313–2274

Lubbock, TX .................................. HUD—Lubbock Office, 1205 Texas Avenue, Rm. 511, Lubbock, TX

79401–4093, OFC PHONE (806) 472–7265

San Antonio, TX ............................ HUD—San Antonio Office, 800 Dolorosa, San Antonio, TX 78207–

4563, OFC PHONE (210) 475–6806

Little Rock, AR .............................. HUD—Little Rock Office, 425 West Capitol Avenue #900, Little Rock,

AR 72201–3488, OFC PHONE (501) 324–5401

New Orleans, LA ........................... HUD—New Orleans Office, Hale Boggs Bldg.—501 Magazine Street,

9th Floor, New Orleans, LA 70130–3099, OFC PHONE (504) 589–

7201

Shreveport, LA .............................. HUD—Shreveport Office, 401 Edwards Street, Rm. 1510, Shreveport, LA 71101–3289, OFC PHONE (318) 676–3440

Oklahoma City, OK ....................... HUD—Oklahoma City Office, 500 W. Main Street, Suite 400, Oklahoma City, OK 73102–2233, OFC PHONE (405) 553–7500

Tulsa, OK ...................................... HUD Tulsa Office, 50 East 15th Street Tulsa, OK 74119–4030, OFC

PHONE (918) 581–7496

11658 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

APPENDIX A–1.—LIST OF HUD FIELD OFFICES—Continued

Jurisdiction Office Address and phone numbers

GREAT PLAINS ............................... Kansas City, KS ............................ HUD—Kansas City Office, 400 State Avenue, Room 200, Kansas

City, KS 66101–2406, OFC PHONE (913) 551–5462

Omaha, NE ................................... HUD—Omaha Office, 10909 Mill Valley Road, Suite 100, Omaha,

NE 68154–3955, OFC PHONE (402) 492–3103

St. Louis, MO ................................ HUD—St. Louis Office, 1222 Spruce Street #3207, St. Louis, MO

63103–2836, OFC PHONE (314) 539–6560

Des Moines, IA ............................. HUD—Des Moines Office, 210 Walnut Street, Room 239, Des

Moines, IA 50309–2155, OFC PHONE (515) 284–4573

ROCKY MOUNTAINS ...................... Denver, CO ................................... HUD—Denver Office, 633 17th Street, 14th Floor, Denver, CO

80202–3607, OFC PHONE (303) 672–5440

Salt Lake City, UT ......................... HUD—Salt Lake City Office, 257 East, 200 South, Rm. 550, Salt

Lake City, UT 84111–2048, OFC PHONE (801) 524–6071

Helena, MT ................................... HUD—Helena Office, 7 West Sixth Avenue, Power Block Building,

Helena, MT 59601, OFC PHONE (406) 449–5048

Sioux Falls, SD ............................. HUD—Sioux Falls Office, 2400 West 49th Street, Rm. I–201, Sioux

Falls, SD 57105–6558, OFC PHONE (605) 330–4223

Fargo, ND ..................................... HUD—Fargo Office, 657 2nd Avenue North, Room 366, Fargo, ND

58108, OFC PHONE (701) 239–5040

Casper, WY ................................... HUD—Wyoming Office, 150 East B Street, Room 1010, Casper, WY

82601–1969, OFC PHONE (307) 261–6250

PACIFIC/HAWAII .............................. San Francisco, CA ........................ HUD—San Francisco Office, 450 Golden Gate Avenue, Box 36003,

San Francisco, CA 94102–3448, OFC PHONE (415) 436–6532

Honolulu, HI .................................. HUD—Honolulu Office, 7 Waterfront Plaza, #500 Ala Moana Blvd.

#500, Honolulu, HI 96813–4918, OFC PHONE (808) 522–8175

Los Angeles, CA ........................... HUD—Los Angeles Office, 611 W. Sixth Street, Suite 800, Los Angeles, CA 90017, OFC PHONE (213) 894–8007

Sacramento, CA ............................ HUD—Sacramento Office, 925 L Street, Sacramento, CA 95814,

OFC PHONE (916) 498–5220

Reno, NV ...................................... HUD—Reno Office, 3702 S. Virginia Street, Suite G–2, Reno, NV

89502–6581, OFC PHONE (775) 784–5383

San Diego, CA .............................. HUD—San Diego Office, Symphony Towers, 750 B Street, Suite

1600, San Diego, CA 92101–8131, OFC PHONE (619) 557–5310

Las Vegas, NV .............................. HUD—Las Vegas Office, 333 N. Rancho Drive-Atrium Bldg., Suite

700, Las Vegas, NV 89106–3714, OFC PHONE (702) 388–6208/

6500

Phoenix, AZ .................................. HUD—Phoenix Office, 400 North Fifth Street, Suite 1600, Phoenix,

AZ 85004–2361, OFC PHONE (602) 379–4434

Santa Ana, CA .............................. HUD—Santa Ana Office, 1600 N. Broadway, Suite 100, Santa Ana,

CA 92706–3927, OFC PHONE (714) 796–5577

Tucson, AZ .................................... HUD—Tucson Office, 33 North Stone Avenue #700, Tucson, AZ

85701–1467, OFC PHONE (520) 670–6000

Fresno, CA .................................... HUD—Fresno Office, 2135 Fresno Street, Suite 100, Fresno, CA

93721–1718, OFC PHONE (559) 487–5032

NORTHWEST/ALASKA .................... Seattle, WA ................................... HUD—Seattle Office, 909 First Avenue, Suite 200, Seattle, WA

98104–1000, OFC PHONE (206) 220–5101

Portland, OR ................................. HUD—Portland Office, 400 SW 6th Avenue #700, Portland, OR

97204–1632, OFC PHONE (503) 326–2561

Anchorage, AK .............................. HUD—Anchorage Office, 949 East 36th Avenue, Suite 401, Anchorage, AK 99508–4399, OFC PHONE (907) 271–4170

Boise, ID ....................................... HUD—Boise Office, Suite 220, Plaza IV, 800 Park Boulevard, Boise,

Idaho 83712–7743, OFC PHONE (208) 334–1990

Spokane, WA ................................ HUD—Spokane Office, US Courthouse Bldg., 920 W. Riverside,

Suite 588, Spokane, WA 99201–1010, OFC PHONE (509) 353–

0682

Appendix A–2—List of EZs, ECs, Urban

Enhanced Enterprise Communities,

Strategic Planning Communities

AK, Anchorage

Ms. Linda Yarbrough, Municipality of

Anchorage, Department of Community

Planning and Development, P.O. Box

196650, Anchorage, AK 99501, 907–343–

4303 (Phone), 907–343–4220 (Fax)

Terrence Booth, Metlakatla Indian Enterprise

Community, Metlakatla, AK 99926, 907–

886–4441 (Phone), 907–886–7997 (Fax)

AL, Anniston

David Umling, Chambers County Enterprise

Community, Anniston, AL 36202, 256–

237–6741 (Phone), 256–237–6763 (Fax)

AL, Birmingham

Mr. Keith Strother, City of Birmingham, 710

N. 20th St. City Hall, Third Floor,

Birmingham, AL 35203, 205–254–2870

(Phone), 205–254–7741 (Fax)

AL, Epes

John Zippert, Greene and Sumter Enterprise

Community, Epes, AL 35460, 205–652–

9676 (Phone), 205–652–9678 (Fax)

AR, Blytheville

Sam Scruggs, Mississippi County Enterprise

Community, Blytheville, AR 72316, 870–

532–2348 (Phone), 870–532–2625 (Fax)

AR, Forrest City

Robert Cole, Eastern Arkansas Enterprise

Community, Forrest City, AR 72335, 870–

630–2005 (Phone), 870–630–2035 (Fax)

AR, Little Rock

Mr. Henry L. McHenry, County of Pulaski,

Enterprise Community Alliance, Inc., 3805

W. 12th St. Suite 205, Little Rock, AR

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11659

72204, 501–379–1543 (Phone), 501–379–

1571 (Fax)

AZ, Douglas

Art Macias, Jr., Arizona Border Region

Enterprise Community, Douglas, AZ 85607,

520–364–7501 (Phone), 520–364–7507

(Fax)

AZ, Nogales

Laura Ornelas, Arizona Border Region

Enterprise Community, Nogales, AZ 85621,

520–287–6571 (Phone), 520–287–9159

(Fax)

AZ, Phoenix

Steve Capobres, Arizona Border Region

Enterprise Community, Phoenix, AZ

85012–1920, 602–280–1365 (Phone), 602–

280–1470 (Fax)

Ms. Jennifer Harper, City of Phoenix,

Department of Neighborhood Services, 200

W. Washington St. Fourth Floor, Phoenix,

AZ 85003–1611, 602–262–4730 (Phone),

602–534–1555 (Fax)

AZ, San Luis

Frank Carrillo, Arizona Border Region

Enterprise Community, San Luis, AZ

85349, 520–627–2027 (Phone), 520–627–

3879 (Fax)

AZ, Window Rock

Anthony Perry, Four Corners Enterprise

Communities (Navajo Nation, Window

Rock, AZ 86515, 520 871–6504 (Phone),

520–871–7381 (Fax)

CA, El Centro

Ken Hollis, Imperial County Enterprise

Community, El Centro, CA 92243, 760–

337–7814 (Phone), 760–337–8907 (Fax)

CA, Fresno

Becki Mendibles Central California

Enterprise Community, Fresno, CA 93727,

559–452–0881 (Phone), 559–452–8038

(Fax)

CA, Indio

John Thurman, Desert Communities

Empowerment Zone, Indio, CA 92201,

760–863–8225 (Phone), 760–863–7049

(Fax)

CA, Los Angeles

Ms. Alicia DeCastro, City of Los Angeles,

Department of Community Development,

215 W. Sixth St., Third Floor, Los Angeles,

CA 90014, 213–485–1023 (Phone), 213–

847–0890 (Fax)

Mr. Robert Perez, City of Los Angeles,

Department of Community Development,

215 W. Sixth St., Third Floor, Los Angeles,

CA 90014, 213–485–8161 (Phone), 213–

847–0890 (Fax)

CA, Oakland

Mr. Mahlon Harmon, One Stop Capital Shop,

519 17th St. Sixth Floor, Oakland, CA

94612–2032, 510–238–2353 (Phone), 510–

238–7999 (Fax)

CA, San Diego,

Ms. Bonnie Contreras, City of San Diego,

Division of Economic Development, 1200

Third Ave. Suite 1300, San Diego, CA

92101–3863, 619–236–6846 (Phone), 619–

533–6515 (Fax)

CA, San Francisco

Ms. Anna Yee, City of San Francisco,

Enterprise Community Program, 25 Van

Ness Ave. Suite 700, San Francisco, CA

94102, 415–252–3130 (Phone), 415–252–

3110 (Fax)

CA, Santa Ana

Ms. Shawna Lahey, City of Santa Ana,

Community Development Agency, P.O.

Box 1988, Santa Ana, CA 92702, 714–647–

5372 (Phone), 714–647–6580 (Fax)

CA, Watsonville

Anna Espinoza, Watsonville/City of Santa

Cruz Enterprise Community, Watsonville,

CA 95076, 831–763–4033 (Phone), 831–

761–0736 (Fax)

CO, Denver

Mr. Ernest Hughes, City and County of

Denver, Community Planning and

Development Agency, 216 16th St. Suite

1400, Denver, CO 80202, 720–913–1547

(Phone), 720–913–1800 (Fax)

CT, Bridgeport

Ms. Janice B. Willis, City of Bridgeport,

Office of Central Grants, 999 Broad St. City

Hall Annex Chase Bldg., Bridgeport, CT

06604, 203–332–5662 (Phone), 203–332–

3060 (Fax)

CT, New Haven

Ms. Diana E. Edmonds, City of New Haven,

Office of Business Development, 200

Orange St. Fifth Floor, New Haven, CT

06510, 203–946–7727 (Phone), 203–946–

8049 (Fax)

Ms. Sherri Killins, Empower New Haven,

Inc., 59 Elm St. Fourth Floor, Suite 410,

New Haven, CT 06510, 203–776–2777

(Phone), 203–776–0537 (Fax)

DC, Washington

Ms. Judy Brown, Enterprise Community

Programs, Office of Economic Development

EZ/EC Urban Task Force, 801 N. Capitol

St., Sixth Floor, Washington, DC 20002,

202–442–7205 (Phone), 202–442–7090

(Fax)

DE, Wilmington

Ms. Edwina Bell-Mitchell, Wilmington

Enterprise Community/New Castle County,

800 French St. Louis L. Redding Bldg.,

Ninth Floor, Wilmington, DE 19801, 302–

571–4472 (Phone), 302–571–4326 (Fax)

FL, Marianna

Bill Stanton, Jackson County Enterprise

Community, Marianna, FL 32447, 850–

526–4005 (Phone), 850–526–4008 (Fax)

Stan Whitehurst, Jackson County Enterprise

Community, Marianna, FL 32447, 850–

526–7669 (Phone), 850–526–4008 (Fax)

FL, Miami

Mr. Bryan K. Finnie, Miami-Dade

Empowerment Trust, Inc., 140 W. Flagler

St., Suite 1107, Miami, FL 33130, 305–

372–7620 (Phone), 305–372–7629 (Fax)

FL, Naples

Barbara Cacchione, Empowerment Alliance

of Southwest Florida EC, Naples, FL 34103,

941–649–5000 (Phone), 941–649–5337

(Fax)

FL, Tampa

Ms. Jeanette LaRussa-Fenton, City of Tampa,

Department of Business and Community

Services, 2105 N. Nebraska Ave. Ybor

Service Center, Tampa, FL 33602–2529,

813–274–7966 (Phone), 813–274–7927

(Fax)

GA, Albany

Ms. Julie Duke, City of Albany, Office of the

City Manager, P.O. Box 447, Albany, GA

31702, 229–431–3234 (Phone), 229–431–

3223 (Fax)

GA, Atlanta

Ms. Charisse Richardson, Atlanta

Empowerment Zone Corp., 675 Ponce De

Leon Ave., N.E. City Hall East, Second

Floor, Atlanta, GA 30308, 404–853–7610

(Phone), 404–853–7315 (Fax)

GA, Augusta

Hilda Alexander, CSRA Enterprise

Community, Augusta, GA 30904, 706–667–

4179 (Phone), 706–737–1459 (Fax)

GA, Cordele

Robert Cooke, Southwest Georgia United

Empowerment Zone, Cordele, GA 31010,

912–273–9111 (Phone), 912–276–0450

(Fax)

Bambi Hayes, Southwest Georgia United

Empowerment Zone, Cordele, GA 31010,

912–273–9111 (Phone), 912–276–0450

(Fax)

HI, Kaunakakai

Stacy Crivello, Molokai Enterprise

Community, Kaunakakai, HI 96748, 808–

553–5123 (Phone), 808–553–3735 (Fax)

Karen M. Holt, Molokai Enterprise

Community, Kaunakakai, HI 96748, 808–

553–3244 (Phone), 808–553–3370 (Fax)

IA, Des Moines

Ms. Caroline Gathright, City of Des Moines,

Division of Neighborhood Planning, 602 E.

First St., Des Moines, IA 50309, 515–283–

4151 (Phone), 515–237–1713 (Fax)

IL, Chicago

Mr. Wallace Goode, City of Chicago, 20 N.

Clark St., 28th Floor, Chicago, IL 60602–

5086, 312–744–9623 (Phone), 312–744–

9696 (Fax)

IL, E. St. Louis

Mr. Ralph Muhammed, East St. Louis

Enterprise Community, 301 River Park Dr.,

Third Floor, E. St. Louis, IL 62201, 618–

482–6642 (Phone), 618–482–6788 (Fax)

IL, Springfield

Ms. Cleatia Bowen, City of Springfield, Office

of Economic Development, 231 S. Sixth St.,

Springfield, IL 62701, 217–789–2377

(Phone), 217–789–2380 (Fax)

IL, Ullin

Donna Raynalds, Southernmost Illinois Delta

Empowerment Zone, Ullin, IL 62992, 618–

634–9471 (Phone), 618–634–9452 (Fax)

11660 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

IN, Austin

Donald Campbell, Town of Austin Enterprise

Community, Austin, IN 47102, 812–794–

2877 (Phone), 812–794–2859 (Fax)

Charlotte Mathis, Town of Austin Enterprise

Community, Austin, IN 47102, 812–794–

9446 (Phone), 812–794–8765 (Fax)

IN, East Chicago

Mr. John D. Artis, City of East Chicago,

Department of Redevelopment and

Housing Authority, P.O. Box 498, East

Chicago, IN 46312–0498, 219–397–9974

(Phone), 219–397–4249 (Fax)

IN, Gary

Ms. Venus Cobb, City of Gary, Empowerment

Zone Office, 840 Broadway First Floor,

Gary, IN 46404, 219–886–9047 (Phone),

219–886–9051 (Fax)

IN, Hammond

Ms. Rocharda Moore-Harris, City of

Hammond, Department of Planning, 649

Conkey St., Hammond, IN 46324, 219–

853–6371 (Phone), 219–853–6334 (Fax)

IN, Indianapolis

Ms. Renia Colbert, City of Indianapolis,

Division of Community Development and

Financial Services, 200 E. Washington St.,

City County Bldg., Suite 1841,

Indianapolis, IN 46204, 317–327–5869

(Phone), 317–327–5908 (Fax)

KS, Leoti

Sharla Krenzel, Wichita County Enterprise

Community, Leoti, KS 67861, 316–375–

2182 (Phone), 316–375–4350 (Fax)

Elmer Ridder, Wichita County Enterprise

Community, Leoti, KS 67861, 316–375–

2731 (Phone), 316–375–4350 (Fax)

KY, Bowling Green

Lisa Ryan, City of Bowling Green Enterprise

Community, Bowling Green, KY 42102–

0430, 270–393–3658 (Phone), 502–393–

3698 (Fax)

KY, London

Jerry Rickett, Kentucky Highlands

Empowerment Zone, London, KY 40743,

606–864–5175 (Phone), 606–864–5194

(Fax)

KY, Louisville

Mr. Walter Munday, City of Louisville,

Empowerment Zone Community, 200 S.

Seventh St., Louisville, KY 40202, 502–

574–2682 (Phone), 502–574–4227 (Fax)

KY, Whitley City

Bruce Murphy, McCreary County Enterprise

Community, Whitley City, KY 42653, 606–

376–2413 (Phone), 606–376–9499 (Fax)

LA, Ferriday

Chip Rogers, Macon Ridge Enterprise

Community, Ferriday, LA 71334, 318–757–

3033 (Phone), 318–757–4212 (Fax)

LA, Monroe

Mr. Eric Loewe, Ouachita Enterprise

Community, P.O. Box 4268, Monroe, LA

71211, 318–329–4031 (Phone), 318–329–

4034 (Fax)

LA, New Orleans

Ms. Thelma H. French, City of New Orleans,

Office of Federal and State Programs, 1300

Perdido St., Room 2E04, New Orleans, LA

70112, 504–565–6445 (Phone), 504–565–

6423 (Fax)

LA, Tallulah

Moses Jr. Williams, Northeast Louisiana

Delta Enterprise Community, Tallulah, LA

71282, 318–574–0995 (Phone), 318–574–

3132 (Fax)

MA, Lowell

Ms. Kathy Muldoon, City of Lowell,

Department of Planning and Development,

50 Arcand Dr., City Hall, JFK Civic Center

Bldg., Lowell, MA 01852, 978–446–7150

(Phone), 978–446–7014 (Fax)

MA, Roxbury

Mr. Reginald Nunnally, Boston

Empowerment Zone, Boston Business

Assistance Center, 20 Hampdon St.,

Roxbury, MA 02119, 617–445–3413

(Phone), 617–445–5675 (Fax)

MA, Springfield

Mr. Miguel Rivas, City of Springfield,

Department of Community Development,

36 Court St., City Hall, Room 313,

Springfield, MA 01103, 413–750–2240

(Phone), 413–787–6027 (Fax)

MD, Baltimore

Ms. Diane Bell, Empower Baltimore

Management Corp., 34 Market Place, Suite

800, Baltimore, MD 21202, 410–783–4400

(Phone), 410–783–0526 (Fax)

ME, Lewiston

Carole J. Ansheles, City of Lewiston

Enterprise Community, Lewiston, ME

04240–7282, 207–777–5144 (Phone), 207–

786–4412 (Fax)

MI, Detroit

Ms. Denise Gray, Detroit Empowerment Zone

Development Corp., One Ford Place, Suite

1F, Detroit, MI 48202, 313–872–8050

(Phone), 313–872–8002 (Fax)

MI, Flint

Ms. Nancy Jurkiewicz, City of Flint, Flint

Area Enterprise Community, 805 Welch

Blvd., Flint, MI 48504, 810–341–1499

(Phone), 810–766–7351 (Fax)

MI, Harrison

Edward Kerr, Clare County Enterprise

Community, Harrison, MI 48625–0439,

517–539–7805 (Phone), 517–539–2791

(Fax)

MI, Muskegon

Ms. Cathy Brubaker-Clarke, City of

Muskegon, Department of Community and

Economic Development, P.O. Box 536,

Muskegon, MI 49443–0536, 231–724–6702

(Phone), 231–724–6790 (Fax)

MI, Scottville

Mary L. Trucks, Lake County Enterprise

Community, Scottville, MI 49454, 616–

757–3785 (Phone), 616–757–9669 (Fax)

MN, Minneapolis

Ms. Kim W. Havey, Minneapolis

Empowerment Zone, 350 S. Fifth St., City

Hall, Room 200, Minneapolis, MN 55415,

612–673–5415 (Phone), 612–673–3724

(Fax)

MN, St. Paul

Mr. Jeremy Lenz, City of St. Paul, Department

of Planning and Economic Development,

25 W. Fourth St., 1200 City Hall Annex, St.

Paul, MN 55102, 651–266–6603 (Phone),

651–228–3341 (Fax)

MO, East Prairie

Martha Ellen Black, City of East Prairie

Enterprise Community, East Prairie, MO

63845, 573–649–3731 (Phone), 573–649–

5028 (Fax)

MO, Kansas City

Ms. Marlene Nagel, Mid-American Regional

Council (MARC), 600 Broadway 300

Rivergate Center, Kansas City, MO 64105–

1554, 816–474–4240 (Phone), 816–421–

7758 (Fax)

MO, St. Louis

Ms. A. Danine Lard, Greater St., Louis

Regional Empowerment Zone

Management, 1015 Locust St., Suite 1030,

St. Louis, MO 63101, 314–622–3400

(Phone), 314–436–7983 (Fax)

MS, Itta Bena

Arthur Peyton, Mid-Delta Empowerment

Zone, Itta Bena, MS 38941, 662–254–9957

(Phone), 662–254–9941 (Fax)

MS, Jackson

Mr. Roosevelt T. Sanders, Jackson Urban

Enterprise Community Council, Inc., P.O.

Box 10353, Jackson, MS 39289, 601–949–

7879 (Phone), 601–981–2407 (Fax)

MS, Sardis

Stuart Guernsey, North Delta Enterprise

Community, Sardis, MS 38666, 662–487–

1968 (Phone), 662–487–0088 (Fax)

MT, Poplar

Mark Sansaver, Fort Peck Assiniboine and

Sioux Tribe EC, Poplar, MT 59255, 406–

768–3155 (Phone), 406–768–3581 (Fax)

NC, Charlotte

Mr. Franklin McCrary, Jr., City of Charlotte,

Department of Neighborhood

Development, 600 E. Trade St., Charlotte,

NC 28202, 704–336–5577 (Phone), 704–

336–2527 (Fax)

NC, Lumberton

Cynthia Johnson, Robeson County Enterprise

Community, Lumberton, NC 28358, 910–

618–0722 (Phone), 910–618–1504 (Fax)

NC, Rocky Mount

Terri Anderson, Halifax/Edgecombe/Wilson

Enterprise Community, Rocky Mount, NC

27802, 252–972–1609 (Phone), 252–972–

1590 (Fax)

ND, Cando

Joanne Rodenbiker, Center of North America

REAP Zone, Cando, ND 58324, 701–968–

3314 (Phone), 701–968–1747 (Fax)

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11661

ND, Dickenson

Shirley Brentrup, Southwest REAP Zone,

Dickenson, ND 58601, 701–227–1241

(Phone),

ND, Finley

Kim Sheffield, Griggs-Steele Empowerment

Zone, Finley, ND 58230, 701–524–2240

(Phone), 701–524–2241 (Fax)

NE, Omaha

Mr. Herb Patten, City of Omaha, Omaha

Enterprise Community/Enterprise Zone,

2421 N. 24th St., Blue Lion Centre, Omaha,

NE 68110–2282, 402–444–3514 (Phone),

402–444–3755 (Fax)

NH, Manchester

Mr. William J. Jabjiniak, City of Manchester,

Department of Planning and Community

Development, One City Hall Plaza,

Manchester, NH 03101, 603–624–6505

(Phone), (603–624–6529 (Fax)

NJ, Bridgeton

Mr. Gerard Velasquez, Cumberland

Empowerment Zone Corp., 50 E. Broad St.,

Bridgeton, NJ 08302, 856–459–1700

(Phone), 856–459–4099 (Fax)

NJ, Camden

Mr. Richard H. Cumming, Jr., Camden

Empowerment Zone Corp., 817 Carpenter

St., Hudson Square Complex, Camden, NJ

08102, 856–365–0300 (Phone), 856–365–

1058 (Fax)

NJ, Newark

Ms. Angela Corbo, City of Newark,

Department of Administration, 920 Broad

St., City Hall, Room B–16, Newark, NJ

07102, 973–733–4331 (Phone), 973–733–

3769 (Fax)

NM, Albuquerque

Ms. Sylvia Fettes, City of Albuquerque,

Department of Family and Community

Services, P.O. Box 1293, Albuquerque, NM

87103, 505–768–2932 (Phone), 505–768–

3204 (Fax)

NM, Deming

Richard McInturff, City of Deming Enterprise

Community, Deming, NM 88031, 505–546–

8848 (Phone), 505–546–6442 (Fax)

John Strand, City of Deming Enterprise

Community, Deming, NM 88031, 505–546–

8848 (Phone), 505–546–6442 (Fax)

NM, Penasco

Ron Martinez, La Jicarita Enterprise

Community, Penasco, NM 87553, 800–

458–7323 (Phone), 505–587–1687 (Fax)

NV, Las Vegas

Mr. Douglas Bell, County of Clark,

Department of Community Resources

Management, P.O. Box 551212, Las Vegas,

NV 89106–1212, 702–455–5025 (Phone),

702–455–5038 (Fax)

NY, Bronx

Ms. Maria Canales, Bronx Overall Economic

Development Corp., 198 E. 161st St., Suite

201, Bronx, NY 10451, 718–590–6201

(Phone), 718–590–3499 (Fax)

NY, Buffalo

Ms. Paula Alcala Rosner, City of Buffalo,

Federal Enterprise Community of Buffalo,

Inc., 911 City Hall, Buffalo, NY 14202,

716–851–5032 (Phone), 716–851–4388

(Fax)

NY, Ferndale

Rick Bishop, Sullivan-Wawarsing REAP

Zone, Ferndale, NY 12734, 845–295–2632

(Phone), 845–295–2633 (Fax)

NY, New York

Mr. Fernando Fernandez, Upper Manhattan

Empowerment Zone Development Corp.,

Department of Community Affairs, 290

Lenox Ave. Third Floor, New York, NY

10027, 212–410–0030 (Phone), 212–410–

9616 (Fax)

Mr. George Glatter, City of New York,

Department of Business Services, 110

William St., Third Floor, New York, NY

10038, 212–513–6442 (Phone), 212–618–

8987 (Fax)

Mr. James Ilako, New York EZ Corp., 633

Third Ave. 32nd Floor, New York, NY

10017, 212–803–3235 (Phone), 212–803–

3294 (Fax)

Mr. Marion Phillips, III, New York

Empowerment Zone Corp., 633 Third Ave.

32nd Floor, New York, NY 10017, 212–

803–3240 (Phone), 212–803–3294 (Fax)

Ms. June Van Brackle, City of New York,

Mayor’s Office of the New York City EZ,

100 Gold St., Second Floor, New York, NY

10038, 212–788–6777 (Phone), 212–788–

2718 (Fax)

NY, Newburgh

Ms. Sharon Hyder, Kingston-Newburgh

Enterprise Corp., 62 Grand St., Suite 211,

Newburgh, NY 12550, 914–569–1680

(Phone), 914–569–1630 (Fax)

NY, Owego

Michael Morse, Tioga County REAP Zone,

Owego, NY 13827, 607–687–8254 (Phone),

607–687–1435 (Fax)

NY, Rochester

Mr. Philip Banks, City of Rochester,

Department of Economic Development, 30

Church St., Room 005A, Rochester, NY

14614, 716–428–6965 (Phone), 716–428–

6042 (Fax)

NY, Schenectady

Mr. Anthony Tozzi, City of Schenectady,

Department of Development, Jay St.,

Schenectady, NY 12305, 518–382–5054

(Phone), 518–382–5275 (Fax)

OH, Akron

Mr. Jerry Egan, City of Akron, Department of

Planning and Urban Development, 166 S.

High St., Akron, OH 44308–1628, 330–

375–2090 (Phone), 330–375–2387 (Fax)

OH, Cincinnati

Ms. Susan Paddock, City of Cincinnati, 801

Plum St., City Hall, Room 104, Cincinnati,

OH 45202, 513–352–4648 (Phone), 513–

352–2458 (Fax)

OH, Cleveland

Ms. Valarie McCall, Cleveland Empowerment

Zone, 601 Lakeside Ave. City Hall, Room

335, Cleveland, OH 44114, 216–664–2804

(Phone), 216–420–8522 (Fax)

OH, Columbus

Mr. Jon C. Beard, Columbus Compact Corp.,

1000 E. Main St., Columbus, OH 43205,

614–251–0926 (Phone), 614–251–2243

(Fax)

OH, Portsmouth

Bob Walton, Greater Portsmouth Enterprise

Community, Portsmouth, OH 45662, 740–

354–7541 (Phone), 740–354–3933 (Fax)

OK, Ada

Chris Fields, Tri-County Indian Nations

Enterprise Community, Ada, OK 74820,

580–310–2264 (Phone), 580–436–0236

(Fax)

OK, Hugo

Bob Yandell, Southeast Oklahoma EC, Hugo,

OK 74743, 580–326–3351 (Phone), 580–

326–2305 (Fax)

OK, Oklahoma City

Mr. Carl D. Friend, City of Oklahoma City,

Division of Community Development, 420

W. Main St., Suite 920, Oklahoma City, OK

73102, 405–297–2574 (Phone), 405–297–

3796 (Fax)

OR, Cave Junction

Tena Marrington, Illinois Valley Community

Response Team, Cave Junction, OR 97523,

541–592–2838 (Phone), 541–592–4106

(Fax)

OR, Portland

Ms. Regena S. Warren, County of

Multnomah, 421 S.W. Sixth Ave. Suite

200, Portland, OR 97204, 503–988–3020

(Phone), 503–988–3710 (Fax)

OR, Wolf Creek

Louise Dix, Josephine County Enterprise

Community, Wolf Creek, OR 97497, 541–

866–2600 (Phone), 541–866–2449 (Fax)

PA, Harrisburg

Ms. Terri Martini, City of Harrisburg,

Department of Building and Housing

Development, Ten N. Second St., MLK City

Government Center, Suite 206, Harrisburg,

PA 17101–1681, 717–255–6408 (Phone),

717–255–6421 (Fax)

PA, Lock Haven

Maria Boileau, City of Lock Haven Enterprise

Community, Lock Haven, PA 17745, 570–

893–5907 (Phone), 570–893–5905 (Fax)

PA, Philadelphia

Ms. Eva Gladstein, City of Philadelphia, 1515

Arch St., I Pkwy. Ninth Floor,

Philadelphia, PA 19103, 215–683–0462

(Phone), 215–683–0493 (Fax)

PA, Pittsburgh

Ms. Joan Blaustein, City of Pittsburgh,

Department of Planning, 200 Ross St.,

Fourth Floor, Pittsburgh, PA 15219, 412–

255–2206 (Phone), 412–255–2838 (Fax)

PA, Uniontown

Joanne Hunt, Fayette Enterprise Community,

Uniontown, PA 15401, 724–437–7913

(Phone), 724–437–7315 (Fax)

11662 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

RI, Providence

Ms. Kim Santos Rose, The Providence Plan,

56 Pine St., Suite 3B, Providence, RI 02903,

401–455–8880 (Phone), 401–331–6840

(Fax)

SC, Allendale

Manuel, Tammy ‘‘Lynn’’ Futch, Allendale

County ALIVE Enterprise Community,

Allendale, SC 29810, 803–584–3600

(Phone), 803–584–0700 (Fax)

Henry Lefite, Allendale County ALIVE

Enterprise Community, Allendale, SC

29810, 803–584–7117 (Phone), 803–584–

0700 (Fax)

SC, Charleston

Ms. Geona Shaw Johnson, City of Charleston,

Department of Housing and Community

Development, 75 Calhoun St., Third Floor,

Charleston, SC 29401, 843–973–7285

(Phone), 843–720–3836 (Fax)

SC, Columbia

Mr. Milton Smalls, Sumter/Columbia

Empowerment Zone, Department of

Community Service, 1225 Laurel St.,

Columbia, SC 29201, 803–733–8314

(Phone), 803–733–8312 (Fax)

SC, Kingstree

John H. Whittleton, Williamsburg/Lake City

Enterprise Community, Kingstree, SC

29558, 843–354–9070 (Phone), 843–354–

3252 (Fax)

SC, Sumter

Mr. Talmadge Tobias, City of Sumter, P.O.

Box 1449, Sumter, SC 29151–1449, 803–

436–2577 (Phone), 803–436–2615 (Fax)

SD, Kyle

Head Herb Wounded, Oglala Sioux-Pine

Ridge Empowerment Zone, Kyle, SD

57752, 605–455–1570 (Phone), 605–455–

1571 (Fax)

SD, Yale

Lori Hintz, Beadle & Spink Enterprise

Community, Yale, SD 57752, 605–599–

2991 (Phone), 605–599–2992 (Fax)

TN, Huntsville

Leslie Winningham, Scott-McCreary

Enterprise Community, Huntsville, TN

37756, 423–663–3280 (Phone), 423–663–

3290 (Fax)

TN, Knoxville

Ms. Jeanette Kelleher, City of Knoxville,

Department of Community Development,

P.O. Box 1631, Knoxville, TN 37901, 865–

215–2116 (Phone), 865–215–2962 (Fax)

Ms. Sherry Kelley Marshall, Partnership for

Neighborhood Improvement, P.O. Box

2464, Knoxville, TN 37901, 865–251–5300

(Phone), 865–522–5085 (Fax)

TN, Memphis

Mr. Joseph C. Gibbs, City of Memphis,

Business Development Center, 555 Beale

St., Memphis, TN 38103–3297, 901–526–

9300 (Phone), 901–525–2357 (Fax)

John Sicola, Fayette/Haywood Enterprise

Community, Memphis, TN 38103, 901–

545–4610 (Phone), 901–545–3519 (Fax)

TN, Nashville

Mr. Paul Johnson, Metropolitan Development

and Housing Agency, Department of

Community Development, 701 S. Sixth St.,

Nashville, TN 37206, 616–252–8543

(Phone), 615–252–8559 (Fax)

TN, Rutledge

Marvin Hammond, Clinch-Powell Enterprise

Community, Rutledge, TN 37861, 865–

828–5927 (Phone), 865–828–5212 (Fax)

Lindy Turner, Clinch-Powell Enterprise

Community, Rutledge, TN 37861, 865–

828–5927 (Phone), 865–828–5212 (Fax)

TX, Dallas

Mr. Mark G. Obeso, City of Dallas,

Department of Housing, 1500 Marilla St.,

Suite 6D N., Dallas, TX 75201, 214–670–

3601 (Phone), 214–670–0156 (Fax)

TX, El Paso

Ms. Cecilia Vazquez, El Paso Empowerment

Zone, 201 S. Main St., Suite 1603, El Paso,

TX 79901, 915–351–1680 (Phone), 915–

351–1679 (Fax)

TX, Houston

Ms. Judith Garrett Butler, City of Houston,

Office of the Mayor, P.O. Box 1562,

Houston, TX 77252–1562, 713–247–2666

(Phone), 713–247–3985 (Fax)

TX, Mercedes

Yvonne ‘‘Bonnie’’ Gonzalez, Rio Grande

Valley Empowerment Zone, Mercedes, TX

78570, 956–514–4000 (Phone), 956–514–

4007 (Fax)

TX, San Antonio

Mr. Curley Spears, City of San Antonio,

Department of Housing and Community

Development, 419 S. Main St., Suite 200,

San Antonio, TX 78204, 210–207–6605

(Phone), 210–886–0006 (Fax)

TX, Uvalde

Tammye Carpinteyro, Futuro Enterprise

Community, Uvalde, TX 78801, 830–278–

6817 (Phone), 830–278–6905 (Fax)

TX, Waco

Mr. George Johnson, Jr., City of Waco, 300

Austin Ave., Waco, TX 76701–2570, 254–

750–5640 (Phone), 254–750–5880 (Fax)

UT, Blanding

Larry Rogers, Four Corners Enterprise

Community, Blanding, UT 84511, 435–

678–1468 (Phone), 435–678–1464 (Fax)

UT, Ogden

Ms. Karen Thurber, City of Ogden,

Department of Neighborhood

Development, 2484 Washington Blvd.

Suite 211, Ogden, UT 84401, 801–629–

8943 (Phone), 801–629–8902 (Fax)

VA, Nassawadox

Arthur Carter, Accomack/Northampton

Enterprise Community, Nassawadox, VA

23413, 757–442–4509 (Phone), 757–442–

7530 (Fax)

VA, Norfolk

Mr. Landis Faulcon, Norfolk Works, Inc.,

Empowerment 2010, 201 Granby St., Suite

100A, Norfolk, VA 23510, 757–624–8650

(Phone), 757–622–4623 (Fax)

VT, Burlington

Ms. Margaret Bozik, City of Burlington,

Office of Community and Economic

Development, 149 Church St., City Hall,

Room 32, Burlington, VT 05401, 802–865–

7171 (Phone), 802–865–7024 (Fax)

WA, Colville

Martin E. Wold, Five Star Enterprise

Community, Colville, WA 99114, 509–684–

4571 (Phone), 509–684–4788 (Fax)

WA, Seattle

Mr. Ben Wolters, City of Seattle, Office of

Economic Development, 600 Fourth Ave.,

Seattle Municipal Bldg., Room 205, Seattle,

WA 98104–1826, 206–684–8591 (Phone),

206–684–0379 (Fax)

WA, Sunnyside

Mike Gregory, Lower Yakima County

Enterprise Community, Sunnyside, WA

98944, 509–839–6847 (Phone), 509–839–

7462 (Fax)

WA, Tacoma

Dr. Shirl E. Gilbert, III, Tacoma Urban

League, 2550 S. Yakima Ave., Tacoma, WA

98405, 253–383–2007 (Phone), 253–383–

4818 (Fax)

Ms. Cynthia Spry, Tacoma/Pierce County

Chamber of Commerce, P.O. Box 1933,

Tacoma, WA 98401–1933, 253–627–2175

(Phone), 253–597–7305 (Fax)

WI, Lac du Flambeau

Karlene Zajicek, Northwoods NiiJii

Enterprise Community, Lac du Flambeau,

WI 54135, 715–588–3303 (Phone), 715–

588–9408 (Fax)

WI, Milwaukee

Mr. Glen Mattison, City of Milwaukee,

Community Block Grant Administration,

200 E. Wells St., City Hall, Room 606,

Milwaukee, WI 53202, 414–286–3760

(Phone), 414–286–5003 (Fax)

WV, Charleston

Ben Newhouse, Upper Kanawha Valley

Enterprise Community, Charleston, WV

25301, 304–340–7060 (Phone), 304–343–

3774 (Fax)

WV, Clay

Jerry Sizemore, Central Appalachia

Enterprise Community, Clay, WV 25043,

304–587–2034 (Phone), 304–587–2027

(Fax)

WV, Huntington

Ms. Cathy Burns, Huntington WV/Ironton

OH Empowerment Zone Inc., P.O. Box

1659, Huntington, WV 25717, 304–696–

5533 (Phone), 304–696–4465 (Fax)

WV, Wilcoe

Dr. Clif Moore, McDowell County Enterprise

Community, Wilcoe, WV 24895, 304–448–

2118 (Phone), 304–448–3287 (Fax)

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11663

Appendix B

This appendix to the General Section of the

SuperNOFA contains the standard forms,

certifications and assurances used by the majority if not all of the programs that are

part of the SuperNOFA.

BILLING CODE 4210–32–P

11664 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11665

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11668 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

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11670 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

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FUNDING AVAILABILITY FOR

COMMUNITY DEVELOPMENT

TECHNICAL ASSISTANCE (CD–TA)

PROGRAMS—CHDO, HOME,

McKINNEY-VENTO ACT HOMELESS

ASSISTANCE AND HOPWA

Program Overview

Purpose of the Program. The purposes

of the technical assistance programs in

this SuperNOFA are:

CHDO Technical Assistance. To

promote the ability of Community

Housing Development Organizations

(CHDOs) to maintain, rehabilitate and

construct housing for low-income and

moderate-income families and to

effectively use HOME program funds

and other sources of funding to produce

affordable housing; facilitate the

education of low-income homeowners

and tenants; and help women who

reside in low- and moderate-income

neighborhoods to rehabilitate and

construct housing in these

neighborhoods.

HOME Technical Assistance. To help

HOME participating jurisdictions design

and implement HOME programs,

including: improving their ability to

design and implement housing

strategies and incorporate energy

efficiency into affordable housing;

facilitating the exchange of information

to help participating jurisdictions carry

out their programs; facilitating the

establishment and efficient operation of

employer-assisted housing programs

and land bank programs; and

encouraging private lenders and forprofit developers of low-income housing

to participate in public-private

partnerships.

McKinney-Vento Act Homeless

Assistance Programs Technical

Assistance. To provide applicants,

potential applicants, grantees, and

project sponsors for McKinney-Vento

Act funded Emergency Shelter Grants,

Supportive Housing Program, Section 8

Moderate Rehabilitation Single Room

Occupancy and Shelter Plus Care

projects with technical assistance to

promote the development of housing

and supportive services as part of the

Continuum of Care approach, including

innovative approaches to assist

homeless persons in the transition from

homelessness, and to enable them to

live as independently as possible.

Housing Opportunities for Persons

with AIDS (HOPWA). To train HOPWA

grantees, project sponsors, and potential

recipients of program funds in

comprehensive housing strategies and

responsive area programs that assist

residents who are living with HIV/AIDS;

in the sound management of HOPWA

programs to support program operations

in an efficient and effective manner,

including undertaking community

consultations, program planning,

housing development and operations,

program evaluation and reporting on

accomplishments; and to build the

capacity of nonprofit organizations to

carry out activities as HOPWA project

sponsors.

Available Funds. Up to $21.18 million

is available for the four CD–TA

programs.

Eligible Applicants. Specific

eligibility requirements for the four CD–

TA programs are found below in Section

III(C). Forty percent of the CHDO,

HOME and McKinney-Vento Act

Homeless Assistance technical

assistance funds is limited to qualified

providers who have not previously

received a CPD technical assistance

award. This limitation is not applicable

to HOPWA technical assistance.

Application Deadline. May 22, 2001.

Match. None.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Submit your

completed applications (an original and

one copy) on or before 12:00 midnight,

Eastern time, on May 22, 2001, at the

address shown below.

The original application that you

submit to Headquarters is considered

the official application. Send a copy of

your application on or before the

application deadline date to the HUD

CPD Field Office(s) in which you are

seeking to provide services. Only one

application per applicant is permitted;

however, one application can include as

few as one or as many as all four CD–

TA programs.

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. HUD Headquarters. Your

completed application consists of one

original application and one copy.

Submit your original application to

HUD Headquarters, U.S. Department of

Housing and Urban Development, CPD

Processing and Control Branch, Room

7251, 451 Seventh Street, SW,

Washington, DC 20410.

Copy to Field Office. Send a copy of

the application to the appropriate CPD

Field Office(s) at the address shown on

the list of HUD CPD Field Offices

included in the application kit.

When submitting your application,

please refer to the Community

Development Technical Assistance

Program. Be sure to include your name,

mailing address (including zip code),

telephone number (including area code),

and fax number (including area code).

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. When

requesting an application kit, please

refer to ‘‘Community Development

Technical Assistance Programs or CD–

TA.’’ Please be sure to provide your

name, address (including zip code),

telephone number (including area code),

and fax number (including area code).

For Further Information and

Technical Assistance. You may contact

the HUD CPD Office serving your area

at the telephone number listed in the

list of HUD CPD Field Offices included

in the application kit, or you may

contact Penny McCormack at 202–708–

3176, x4391 in HUD Headquarters.

Information on this SuperNOFA also

may be obtained through the HUD web

site on the Internet at http://www/

HUD.gov/grants.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www/hud.gov/grants

II. Amount Allocated

(A) The amounts allocated for each

CD–TA program are as follows:

CHDO TA funds:

up to $7,600,000 Total

$3,200,000 Single State

$4,400,000 Multi-State

HOME TA funds:

up to $8,000,000

McKinney-Vento Act Homeless

Assistance Programs TA funds:

up to $3,000,000

HOPWA TA funds:

up to $2,580,000

(B) Each HUD/CPD Field Office has

been allocated a ‘‘fair-share’’ of CD–TA

funds for purposes of this competition,

except for the HOPWA TA funds which

will be awarded only through a national

competition (see CD–TA Appendix A

for the fair share allocations). The

amounts are based on allocations of

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HOME and McKinney-Vento Act

Homeless Assistance formula funds and

competitive programs for which Field

Offices have management oversight.

These amounts are only for guidance

purposes for you to develop your

program budgets by Field Office

jurisdiction and are not the exact

amounts to be awarded to you in each

area.

HUD will determine the total amount

to be awarded to any provider based

upon the size and needs of the

provider’s service area within each

Field Office jurisdiction in which the

provider is selected to operate, the

funds available for that area, the number

of other awardees selected in that area,

and the scope of the technical assistance

to be provided. Additionally, HUD may

reduce the amount of funds allocated for

Field Office jurisdictions to fund

national CD–TA providers and other

CD–TA providers for activities which

cannot be budgeted or estimated by

Field Office jurisdiction. HUD may

require selected applicants, as a

condition of funding, to provide

coverage on a geographically broader

basis than applied for in order to

supplement or strengthen the

intermediary network in terms of the

location (service area), types and scope

of technical assistance proposed.

(C) In order to reach new technical

assistance providers in the HOME,

CHDO and McKinney-Vento Act

Homeless Assistance program areas,

40% of the funds in each of these three

program areas within a Field Office (or

at the national level) will be awarded to

applicants who have not previously

been funded under a CPD technical

assistance competition. Therefore,

approximately $3.2 million will be

awarded to new providers in HOME; $3

million in CHDO; and $1.2 million in

McKinney-Vento Act Homeless

Assistance. With respect to CHDO

funds, 40% of the total funds (single

state and multi-state combined) are

earmarked for new providers. If

qualified new applicants are not found

in each program area in each Field

Office and/or at the national level, the

remaining funds will be made available

for previously funded providers. The

reverse also is true.

(D) To the extent permitted by

funding constraints, HUD intends to

provide coverage for as full a range as

possible, of eligible CD–TA activities of

each CD–TA program in each Field

Office jurisdiction. To achieve this

objective, HUD will fund the highest

ranking providers that bring the

required expertise in one or more

specialized activity areas, and fund

portions of providers’ proposed

programs in which they have the

greatest skill and capability for given

geographic areas or on a national basis.

HUD also may require national, multijurisdictional, or other providers to

provide coverage to Field Office

jurisdictions which cannot otherwise

receive cost-effective support from a

CD–TA provider. In selecting applicants

for funding, in addition to the rating

factors, HUD will apply program policy

criteria identified in Section V of this

CD–TA Program section of SuperNOFA

to select a range of providers and

activities that would best serve program

objectives for each program serviced by

the CD–TA funded under this

SuperNOFA.

III. Program Description; Program

Award Period; Eligible Applicants;

Eligible Activities; and Sub-Grants/Pass

Through Funds

(A) Program Description. Up to $21.18

million in technical assistance (TA)

funds is available from four separate

technical assistance programs:

Community Housing Development

Organization (CHDO) TA, HOME TA,

McKinney-Vento Act Homeless

Assistance TA, and HOPWA TA

(collectively ‘‘CD–TA’’).

The funding of these four CD–TA

programs through a single funding

availability announcement will not

affect the ability of eligible applicants to

seek CD–TA funding. Eligible applicants

are able to apply for funding under as

few as one, and as many as four,

separate CD–TA programs, individually

or collectively, singularly or in

combination. The specific provisions of

the four separate CD–TA programs have

not been changed. This Community

Development Technical Assistance

Programs section of the SuperNOFA

reflects the statutory requirements and

differences in the four different CD–TA

programs.

(B) Program Award Period.

(1) Cooperative Agreements will be

for a period of up to 36 months. HUD,

however, reserves the right to:

(a) Terminate awards in accordance

with provisions contained in OMB

Circular A–102, and 24 CFR parts 84

and 85 anytime after 12 months;

(b) Withdraw funds from a specific

provider, if HUD determines that the

urgency of need for the assistance is

greater in other Field Office

jurisdictions or the need for assistance

is not commensurate with the award for

assistance;

(c) Extend the performance period of

individual awardees up to a total of 12

additional months.

(2) In cases where an applicant

selected for funding under this CD–TA

program section of the SuperNOFA

currently is providing CD technical

assistance under an existing CD–TA

grant/cooperative agreement, HUD

reserves the right to adjust the start date

of funding under this program to

coincide with the conclusion of the

previous award, or to incorporate the

remaining activities from the previous

award into the new agreement, adjusting

the funding levels as necessary.

(C) Eligible Applicants.

(1) General. The eligible applicants

for each of the four CD–TA programs are

listed in paragraphs (2), (3), (4) and (5)

of this Section (C). This paragraph (1)

lists requirements applicable to all

applicants.

(a) Many organizations are eligible to

apply for more than one CD–TA

program and are encouraged to do so to

the extent they have the requisite

experience, expertise and capability.

(b) All applicant organizations must

have demonstrated ability to provide

CD–TA in a geographic area larger than

a single city or county and must propose

to serve an area larger than a single city

or county.

(c) An organization may not provide

assistance to itself, and any organization

funded to assist CHDOs under this CD–

TA Program section of the SuperNOFA

may not act as a CHDO itself within its

service area while under award with

HUD.

(d) A consortium of organizations may

apply for one or more CD–TA programs,

but HUD will require that one

organization be designated as the legal

applicant, where legally feasible. Where

one organization cannot be so

designated for all proposed activities,

HUD may execute more than one

cooperative agreement with the

members of a consortium. However, in

general HUD will not award more than

one cooperative agreement per

application unless necessary due to

legal requirements.

(e) All applicants must meet

minimum statutory eligibility

requirements for each CD–TA program

for which they are chosen in order to be

awarded a cooperative agreement.

Copies of the Technical Assistance

program regulations will be provided

with the application kit.

(f) All eligible CD–TA providers may

propose assistance using in-house staff,

consultants, sub-contractors and subrecipients, networks of private

consultants and/or local organizations

with requisite experience and

capabilities. Whenever possible,

applicants should make use of technical

assistance providers located in the Field

Office jurisdiction receiving services.

This draws upon local expertise and

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11699

persons familiar with the opportunities

and resources available in the area to be

served while reducing travel and other

costs associated with delivering the

proposed technical assistance services.

(g) All applicants must meet the

applicable threshold requirements of

Section II(B) of the General Section of

the SuperNOFA.

(2) McKinney-Vento Act Homeless

Assistance Programs TA Eligible

Applicants.

(a) States, units of general local

government, and public housing

authorities.

(b) Public and private non-profit or

for-profit groups, including educational

institutions and area-wide planning

organizations, qualified to provide

technical assistance on McKinney-Vento

Act Homeless Assistance projects.

(3) CHDO TA Eligible Applicants.

Public and private non-profit

intermediary organizations that

customarily provide services (in more

than one community) related to

affordable housing or neighborhood

revitalization to CHDOs, or similar

organizations that engage in community

revitalization, including all eligible

organizations under section 233 of the

Cranston-Gonzalez National Affordable

Housing Act, as amended.

HUD will consider an intermediary as

a primarily single State technical

assistance provider if it can document

that more than 50% of its past activities

in working with CHDOs or similar

nonprofit and other organizations (on

the production of affordable housing or

revitalization of deteriorating

neighborhoods and/or the delivery of

technical assistance to these groups)

was confined to the geographic limits of

a single State.

(4) HOME TA Eligible Applicants.

(a) A for-profit or non-profit

professional and technical services

company or firm that has demonstrated

capacity to provide technical assistance

services;

(b) A HOME participating jurisdiction

(PJ) or agency thereof;

(c) A public purpose organization

responsible to the chief elected official

of a PJ and established pursuant to State

or local legislation;

(d) An agency or authority established

by two or more PJs to carry out activities

consistent with the purposes of the

HOME program;

(e) A national or regional non-profit

organization that has membership

comprised predominantly of entities or

officials of entities of PJs or PJs’ agencies

or established organizations.

(5) HOPWA TA Eligible Applicants.

(a) Non-profit organizations; and

(b) States and units of general local

government.

(D) Eligible Activities. Eligible

activities as appropriate for each of the

four CD–TA programs are listed below:

(1) CHDO Technical Assistance.

CHDO Technical Assistance funds may

be used only for the following eligible

activities:

(a) Organizational Support—

Organizational support assistance may

be made available to community

housing development organizations to

cover operational expenses and to cover

expenses for training and technical,

legal, engineering and other assistance

to the board of directors, staff, and

members of the community housing

development organization;

(b) Housing Education—Housing

education assistance may be made

available to community housing

development organizations to cover

expenses for providing or administering

programs for educating, counseling,

organizing homeowners and tenants

who are eligible to receive assistance

under other provisions of the HOME

Program;

(c) Program-Wide Support of

Nonprofit Development and

Management—Technical assistance,

training, and continuing support may be

made available to eligible community

housing development organizations for

managing and conserving properties

developed under the HOME Program;

(d) Benevolent Loan Funds—

Technical assistance may be made

available to increase the investment of

private capital in housing for very lowincome families, particularly by

encouraging the establishment of

benevolent loan funds through which

private financial institutions will accept

deposits at below-market interest rates

and make those funds available at

favorable rates to developers of lowincome housing and to low-income

homebuyers;

(e) Community Development Banks

and Credit Unions—Technical

assistance may be made available to

establish privately owned, local

community development banks and

credit unions to finance affordable

housing;

(f) Community Land Trusts—

Organizational support, technical

assistance, education, training and

continuing support under this

subsection may be made available to

community land trusts (as such term is

defined in section 233(f) of the

Cranston-Gonzalez National Affordable

Housing Act) and to community groups

for the establishment of community

land trusts; and

(g) Facilitating Women in

Homebuilding Professions—Technical

assistance may be made available to

businesses, unions, and organizations

involved in construction and

rehabilitation of housing in low- and

moderate-income areas to assist women

residing in the area to obtain jobs

involving such activities, which may

include facilitating access by helping

such women develop nontraditional

skills, recruiting women to participate

in such programs, providing continuing

support for women at job sites,

counseling and educating businesses

regarding suitable work environments

for women, providing information to

such women regarding opportunities for

establishing small housing construction

and rehabilitation businesses, and

providing materials and tools for

training such women (in an amount not

exceeding 10% of any assistance

provided under this paragraph). HUD

shall give priority under this paragraph

to providing technical assistance for

organizations rehabilitating single

family or multifamily housing owned or

controlled by HUD pursuant to title II of

the National Housing Act and which

have women members in occupations in

which women constitute 25% or less of

the total number of workers in the

occupation (in this section referred to as

‘‘nontraditional occupations’’).

(2) HOME Technical Assistance. HUD

will provide assistance to:

(a) Facilitate the exchange of

information that would help

participating jurisdictions carry out the

purposes of the HOME statute,

including information on program

design and accessibility, housing

finance, land use controls, and building

construction techniques;

(b) Improve the ability of States and

units of local government to design and

implement housing strategies,

particularly those States and units of

local government that are relatively

inexperienced in the development of

affordable housing;

(c) Encourage private lenders and forprofit developers of low-income housing

to participate in public-private

partnerships to achieve the purposes of

the HOME statute;

(d) Improve the ability of States and

units of local government, community

housing development organizations,

private lenders, and for-profit

developers of low-income housing to

incorporate energy efficiency into the

planning, design, financing,

construction and operation of affordable

housing;

(e) Facilitate the establishment and

efficient operation of employer-assisted

housing programs, through research,

11700 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

technical assistance, and demonstration

projects; and

(f) Facilitate the establishment and

efficient operation of land bank

programs, under which title to vacant

and abandoned parcels of real estate

located in or causing blighted

neighborhoods is cleared for use

consistent with the purposes of the

HOME statute.

(3) McKinney-Vento Act Homeless

Assistance Programs Technical

Assistance. Funds are available to

provide technical assistance to

McKinney-Vento Act funded Homeless

Assistance projects. Funds may be used

to provide technical assistance to

prospective applicants, applicants,

recipients or other providers (project

sponsors) of McKinney-Vento Act

funded housing and supportive services

for homeless persons. The assistance

may include, but is not limited to,

written information such as papers,

manuals, guides and brochures; personto-person exchanges; on-site

assessments and provision of technical

expertise; and training and related costs.

(4) HOPWA Technical Assistance. For

the purposes of this CD-TA program

section of the SuperNOFA, HOPWA

technical assistance shall mean the

transfer to HOPWA grantees and project

sponsors and potential recipients of

program funds, the skills and

knowledge needed to develop, operate

and support HOPWA-eligible projects

and activities.

An applicant for HOPWA TA funds

must propose activities on a national

basis, a regional basis (e.g. serving a

multi-state area) or within a State or

community. The application should

emphasize how activities will advise

and train communities and project

sponsors in undertaking program

planning, community consultations,

housing development and operations,

coordination with related health-care

and other supportive services, and

evaluation and reporting on program

performance. The Department has

established the following national goal

for all HOPWA TA projects:

• National Goal—Sound

Management of HOPWA Programs and

Projects.

HOPWA TA funds can be used to

help to strengthen the management,

operation, and capacity of grantees,

project sponsors, and potential

applicants to ensure that organizations

use funds in a manner that upholds the

public trust in the operation of

programs. To achieve this goal, HOPWA

TA can be used in the following areas:

(i) Management and operations

through such activities as:

(A) Advising on management

practices to ensure responsive, efficient

and cost effective facility and program

operations;

(B) Advising on fiscal management to

ensure accountability in the use of

funds; and

(C) Assisting projects in using the

Department’s information technology,

financial systems and information

management systems.

(ii) State, local, and community

planning through such activities as:

(A) Advising on the coordination of

housing with health-care and other

related supportive services for eligible

persons;

(B) Assisting in developing

collaborations with local, State and

Federal agencies that administer HIV/

AIDS-related programs, including

programs funded under the Ryan White

CARE Act;

(C) Creating or linking to existing

needs assessments of the area’s housing

needs of persons living with HIV/AIDS

and their families;

(D) Creating or linking to

comprehensive multiple-year HIV/AIDS

housing plans that are undertaken in

collaboration with local, State and

federal programs including the Ryan

White CARE Act programs; and

(E) Creating or linking to existing

plans that address specialized needs of

clients, including assistance for clients

with serious mental illness, chronic

alcohol and other drug abuse issues, and

homelessness.

(iii) Program evaluation through such

activities as:

(A) Advising on data collection and

program evaluation; and

(B) Developing and providing

program handbooks, guidance materials,

audio/visual products, training, and

other activities to promote good

management practices.

As a part of providing for the sound

management of HOPWA programs and

projects, HOPWA TA providers should

demonstrate an outreach and assistance

program to identified underserved

populations. The Department has been

advised by persons living with HIV/

AIDS, HIV/AIDS housing providers, and

national organizations, of the continuing

disparity in accessing health-care and

HIV/AIDS treatment among underserved

populations, such as, racial and ethnic

minority populations, women, youth,

post-incarcerated populations and

persons living in rural areas. For the

purposes of the HOPWA TA portion of

this NOFA, underserved populations are

defined as low-income populations

living with HIV/AIDS and their families,

such as racial or ethnic minority groups,

women, persons living in rural areas,

youth, post-incarcerated populations, or

other underserved groups as determined

by your service area, whose housing and

related service needs are not currently

being met in your service area. To meet

this definition of an underserved

population, you must present reliable

statistics and data sources (i.e. Census,

health department statistics, research,

scientific studies, Consolidated Plan,

and Continuum of Care documentation),

showing the unmet need in the

provision of housing and supportive

services for the identified underserved

population under Rating Factor 2, (1).

HUD will consider your presentation of

statistics and data sources based on

soundness and reliability and the

specificity of information to the

underserved population and the area to

be served.

In an effort to meet this continuing

need, the highest rated applicants will

demonstrate an outreach and assistance

program to an identified underserved

population as detailed under Rating

Factor 3, Soundness of Approach (2)

and will support the National HOPWA

Goal of Sound Management. Such

assistance could include, linking

HOPWA grantees and project sponsors

to other community based organizations

serving an underserved population but

may have no or limited experience with

providing housing services.

Additionally, HOPWA TA providers

could provide assistance to

collaborations targeting as underserved

population funded under the HOPWA

competitive program.

(E) Sub-Grants/Pass-Through Funds.

Applicants may propose to make subgrants to achieve the purposes of their

proposed CD-TA programs in

accordance with program requirements

in Section IV of this CD-TA Program

section of the SuperNOFA. In the case

of CHDO TA, these sub-grants (also

called ‘‘pass-through’’ funds) may be

made for eligible activities and to

eligible entities as identified in Section

233(b)(1), (2), and (7) of the CranstonGonzalez National Affordable Housing

Act. When CHDO TA sub-grants are

made to CHDOs, two statutory

provisions apply:

(1) The sub-grant amount, when

combined with other capacity building

and operating support available through

the HOME program, cannot exceed the

greater of 50% of the CHDO’s operating

budget for the year in which it receives

the funds, or $50,000 annually;

(2) An amount not exceeding 10% of

the total funds awarded for the ‘‘Women

in the Homebuilding Professions’’

eligible activity may be used to provide

materials and tools for training such

women.

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IV. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, applicants

are subject to the following

requirements:

(A) Program Requirements for CHDO,

HOME and McKinney-Vento Act

Homeless Assistance.

(1) Profit/Fee. No increment above

cost, no fee or profit, may be paid to any

recipient or subrecipient of an award

under this CD-TA Program section of

the SuperNOFA.

(2) Demand/Response Delivery

System.

(a) As an awardee, you must operate

within the structure of the demand/

response system described in this

section. You must coordinate your plans

with, and operate under the direction of,

each HUD Field Office within whose

jurisdiction you are operating. When so

directed by a Field Office, you will

coordinate your activities instead

through a lead CD-TA provider or other

organization designated by the Field

Office.

(b) If selected as the lead CD-TA

provider in any Field Office

jurisdiction, as an awardee you must

coordinate the activities of other CD-TA

providers selected under this CD-TA

Program section of the SuperNOFA

under the direction of the HUD Field

Office. Joint activities by CD-TA

providers may be required.

(c) Under the demand/response

system, CD-TA providers will be

required to:

(i) When requested by a Field Office

or Government Technical

Representative (GTR), market the

availability of their services to existing

and potential clients to include local

jurisdictions in which the assistance

will be delivered.

(ii) Respond to requests for assistance

from the HUD Field Office(s) with

oversight of the geographic service area

for which the technical assistance will

be delivered, including responding to

priorities established by the Field Office

in its Grants Management System.

CHDOs, HOME PJs, and McKinneyVento Act Homeless Assistance grantees

may request assistance from the CD-TA

provider directly, but such requests

must be approved by the local HUD

Field Office.

(iii) When requested by a Field Office

or GTR, conduct a Needs Assessment to

identify the type and nature of the

assistance needed by the recipients of

the assistance. These needs assessments

should typically identify the nature of

the problem to be addressed by the

technical assistance services; the plan of

action to address the need including the

type of technical assistance services to

be provided, the duration of the service,

the staff assigned to provide the

assistance, anticipated products and/or

outcomes, and the estimated cost for the

provision of services; and the

relationship of the proposed services to

the planned or expected Consolidated

Plan submission to HUD and to other

technical assistance providers providing

service within the locality.

(iv) Obtain approval for the Technical

Assistance Delivery Plan (TADP) from

the HUD Field Office(s) with oversight

for the area in which service will be

provided. (See Section 3 below).

(v) Work cooperatively with other

CD–TA providers in their geographic

areas to ensure that clients are provided

with the full range of CD–TA services

needed and available. CD–TA providers

are expected to be knowledgeable about

the range of services available from

other providers, make referrals and

arrange visits by other CD–TA providers

when appropriate, and carry out CD–TA

activities concurrently when it is costeffective and in the interests of the

client to do so. HUD Field Offices may

direct CD–TA providers to conduct joint

activities.

(3) Technical Assistance Delivery Plan

(TADP).

(a) After selection for funding but

prior to award, you must develop a

TADP for each Field Office jurisdiction

or National Program for which you have

been selected, in consultation with the

Field office and/or GTR.

(b) In developing the TADP, you must

follow the Field Office’s Business

Operating Plan (BOP) and management

strategies/workplans for each

community/State in the Field Office’s

jurisdiction. You must use these BOP/

management strategies/workplans in

determining your priority work

activities, location of activities, and

organizations to be assisted during the

cooperative agreement performance

period.

(c) The BOP/grantee management

strategies/workplans are part of the

Field Office’s Grants Management

Process (GMP) and should indicate the

issues to be addressed by CD–TA, the

improved performance expected as a

result of CD–TA, and methods for

measuring the success of the CD–TA.

(d) The TADP must delineate all the

tasks and sub-tasks for each CD program

the applicant will undertake in each

Field Office jurisdiction. The TADP

must show the location of the

community/State in which the CD–TA

activities will occur, the level of CD–TA

funding and proposed activities by

location, the improved program

performance or other results expected

from the CD–TA and the methodology

to be used for measuring the success of

the CD–TA. A time schedule for

delivery of the activities, budget

summary, budget-by-task and staffing

plan must be included in the TADP.

(4) Negotiation. After all applications

have been rated and ranked and a

selection has been made, HUD requires

that all winners participate in

negotiations to determine the specific

terms of the TADP and the budget. HUD

will follow the negotiation procedures

described in Section III(D) of the

General Section of the SuperNOFA.

(5) Forms, Certifications and

Assurances. You must submit with your

application the forms, certifications and

assurances listed in the General Section

of this SuperNOFA. After selection for

funding but prior to your providing

services to a specific community you

must submit the CHDO TA designation

letter (where applicable).

(6) Financial Management and Audit

Information. After selection for funding

but prior to award, you must submit a

certification from an Independent

Public Accountant or the cognizant

government auditor, stating that your

financial management system meets

prescribed standards for fund control

and accountability required by 24 CFR

part 84 for Institutions of Higher

Education and other Non-Profit

Institutions, 24 CFR part 85 for States

and local governments, or the Federal

Acquisition Regulations (for all other

applicants). The information should

include the name and telephone number

of the independent auditor, cognizant

Federal auditor, or other audit agency as

applicable.

(7) Designation for CHDO Technical

Assistance Providers. CHDO TA

providers will be responsible for

securing a technical assistance

designation letter from a PJ stating that

a CHDO or prospective CHDO to be

assisted by the provider is a recipient or

intended recipient of HOME funds and

indicating, at its option, subject areas of

assistance that are most important to the

PJ.

(8) Training Sessions. When

conducting training sessions as part of

its CD–TA activities, CD–TA providers

are required to:

(a) Design the course materials as

‘‘step-in’’ packages (also called ‘‘trainthe trainer’’ packages) so that a Field

Office or other CD–TA provider may

separately give the course on its own;

(b) Arrange for joint delivery of the

training with Field Office participation

when so requested by the Field Office

or by the GTR for national grants; and

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(c) When requested by a Field Office

and/or GTR, provide for professional

videotaping of the workshops/courses

and ensure their production in a

professional and high-quality manner,

suitable for viewing by other CD clients

(if this requirement is implemented,

additional funds may be requested).

(d) When required by HUD, deliver

HUD-approved training courses that

have been designed and developed by

other HUD contractors or HUD

cooperating parties on a ‘‘step-in’’ basis

for CD–TA clients, and send trainers to

HUD-approved Train-the Trainer

sessions.

(9) Reports to Field Offices and/or

GTRs. CD–TA providers will be

required to report to the HUD Field

Office(s) with oversight of the

geographic area(s) in which CD–TA

services are provided or to Headquarters

GTRs in the case of national providers.

At a minimum, this reporting will be on

a quarterly basis unless otherwise

specified in the approved TADP.

(10) Active Participation. HUD Field

Offices will be active participants in the

delivery of all technical assistance by

funded providers throughout the term of

the cooperative agreement.

(11) CHDO Pass-Through Funds. CD–

TA providers proposing pass-through

grants are required to:

(a) Establish written criteria for

selection of CHDOs receiving passthrough funds which includes the

following:

(i) Participating jurisdictions (PJs)

must designate the organizations as

CHDOs.

(ii) Generally, the organizations

should not have been in existence more

than 3 years.

(b) Enter into an agreement with the

CHDO that the agreement and passthrough funding may be terminated at

the discretion of the Department if no

written legally binding agreement to

provide assistance for a specific housing

project (for acquisition, rehabilitation,

new construction or tenant-based rental

assistance) has been made by the PJ

with the CHDO within 24 months of

receiving the pass-through funding.

(12) CHDO TA Program Limitations.

(a) Pursuant to section 233(d)(1) and (2)

of the Cranston-Gonzalez National

Affordable Housing Act, funding to any

single eligible nonprofit intermediary

organization seeking to provide CHDO

TA, whether as an independent or joint

applicant, is limited to the lesser of 20%

of all funds, or an amount not to exceed

20% of the organization’s operating

budget for any one year (not including

funds sub-awarded or passed through

the intermediary to CHDOs).

(b) Pursuant to section 233(e), HUD is

making available through this CD–TA

program section of the SuperNOFA 40%

of the total CHDO TA funds to single

state providers within the Field Offices.

As discussed in Section III(C)(3), CHDO

Eligible Applicants, to be considered a

single state provider you must be able

to document that 50% of your past

activities working with CHDOs or

similar nonprofits and other

organizations was confined to the

geographic limits of a single state.

Therefore, you can be designated a

single state provider in one Field Office

jurisdiction only and you should so

indicate on your funding matrix

submission. In all other Field Offices in

which you are applying for CHDO TA

funding, you are a multi-state provider.

If there are no single state applicants or

the qualified single state applicants

utilize less than the 40% set-aside in a

given Field Office, that Field Office’s

single state CHDO set-aside will be

redistributed among the qualified multistate providers in that Field Office.

Field Offices also may utilize their

multi-state set-aside for single state

applicants if the reverse is true.

(13) HOME TA Program Limitations.

Pursuant to section 243(b) of the

Cranston-Gonzalez National Affordable

Housing Act, funding to any single

eligible HOME TA organization,

whether as an independent or joint

applicant, is limited to not more than

20% of the operating budget of the

recipient organization in any one year

and is limited to 20% of the funds

available under this CD–TA program

section of the SuperNOFA.

(14) CHDO and HOME National TA

Program Guidance. With the funds

designated for a national TA program,

HUD intends to fund applications

which propose activities to support the

following purposes:

(a) CHDO Technical Assistance. To

promote the ability of Community

Housing Development Organizations

(CHDOs) to own, develop or sponsor

housing for low and very-low income

families; to facilitate the education of

low-income homebuyers, homeowners

and tenants; and/or to help women who

reside in low-income neighborhoods to

rehabilitate or construct housing in their

communities. Proposals should directly

address how the capacity of CHDOs may

be improved to ensure that HOME funds

are used effectively, efficiently and in

compliance with the HOME rules to

develop affordable housing. Emphasis

should be placed on basic skills needed

to develop, maintain and manage well

designed and constructed affordable

housing over the long term when using

Federal funds.

(b) HOME Technical Assistance. To

help HOME participating jurisdictions

design and implement HOME programs,

including: improving their ability to

design and implement housing

strategies and incorporate energy

efficiency into affordable housing,

facilitating the exchange of information

to help participating jurisdictions carry

out their programs; facilitating the

establishment and efficient operation of

employer-assisted housing programs;

and/or encouraging private lenders and

for-profit developers of low-income

housing to participate in public-private

partnerships. Proposals should directly

address how the capacity of

participating jurisdictions may be

improved to ensure that HOME funds

are used effectively, efficiently and in

compliance with the HOME rules to

develop affordable housing. Emphasis

should be placed on the basic skills and

systems needed to develop, maintain

and manage well designed and

constructed affordable housing over the

long term when using Federal funds.

(15) Affirmatively Furthering Fair

Housing. Section II(D) of the General

Section of the SuperNOFA does not

apply to these technical assistance

programs.

(B) Program Requirements for

HOPWA Technical Assistance.

(1) General Requirements. The items

listed below specify the requirements

that apply to the HOPWA TA

applications as follows: in Section (A),

Paragraphs: (1) On Profit/Fee; (4)

Negotiation, except that the TADP

reference will apply to a workplan

negotiated between the applicant and

the GTR for the HOPWA TA grant in

HUD Headquarters; (5) Forms,

Certifications and Assurances; (6)

Financial Management and Audit

Information; (8) Training Sessions; (9)

Reports to Field Offices and/or GTRs,

except that you must report to the

HOPWA Headquarters GTR, at a

minimum, on a quarterly basis, unless

otherwise specified in an approved

HOPWA TA workplan and you will be

expected to meet the following

performance benchmarks: (i) You are

required to begin technical assistance

activities within one year of your

selection (i.e., one year from the date of

the signing of your selection letter by

HUD); and (ii) you are requested to

provide an initial report to the Field

Office and the Headquarters GTR on the

startup of the planned activities within

six months of your selection. Please

outline any accomplishments in

implementing the funds along with

identifying any barriers or issues for

which the Department may provide

assistance. If a selected project does not

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11703

meet the appropriate performance

benchmark, HUD reserves the right to

cancel or withdraw the grant funds.

(2) Coordination of HOPWA TA

Requests. Except for national meetings,

research, information and other

activities that are conducted on a

program-wide basis in cooperation with

HUD Headquarters, as the grantee of

HOPWA TA funds, you must work

cooperatively with HUD Field Offices.

You must notify the applicable HUD

Field Office of the planned activities;

must consider the views or

recommendations of that office, if any;

must follow those recommendations, to

the degree practicable; and must report

to the applicable Field Office on the

accomplishments of this assistance.

V. Application Selection Process

(A) Rating and Ranking

(1) HUD will evaluate applications

competitively and rank them against all

other applicants that have applied for

the same CD–TA program (HOME,

McKinney-Vento Act Homeless

Assistance) within each Field Office or

as a National Provider under HOPWA.

CHDO applications are similarly

evaluated and ranked but are separated

into two sub-groups—single State

providers and multi-State providers.

There will be separate rankings for each

CD–TA program, and you will be ranked

only against others that have applied for

the same CD–TA program.

(2) Once scores are assigned, all

applications will be listed in rank order

for each CD–TA program for which they

applied by Field Office jurisdiction and/

or the HOPWA National Program. In

each Field Office jurisdiction or

National Program area, all applications

for the HOME TA program will be listed

in rank order on another list, all

applications for the McKinney-Vento

Act Homeless Assistance TA program

will be listed in rank order on another

list, and all applications for the HOPWA

TA national projects will be ranked

separately on another list. All

applications for the CHDO TA program

will be ranked separately on either the

single state provider list or the multistate provider list. Under this system, a

single application from one organization

for all CD–TA programs could be

assigned different scores and different

rankings for each program in different

Field Offices.

(3) Applications will be funded in

rank order for each CD–TA program by

Field Office jurisdiction, except for

HOPWA TA national providers and

others which cannot be ranked by Field

Office jurisdiction. National providers

and others will be ranked separately and

funded in rank order for each CD–TA

program. Irrespective of final scores,

HUD may apply program policy criteria

to select one applicant in each of the

three (CHDO, HOME and McKinneyVento Act Homeless Assistance) CD–TA

programs in each Field Office or

nationally, to ensure diversity of

methods, approaches, or kinds of

projects. HUD will apply these program

policy criteria to provide coverage of

CD–TA services for minorities; women,

particularly women in the

homebuilding professions under section

233(b)(7) of the Cranston-Gonzalez

National Affordable Housing Act;

persons with disabilities; homeless;

persons with special needs; and rural

areas.

(4) In addition to the authority in the

General Section to adjust funding, HUD

reserves the right to adjust funding

levels for each applicant for each CD–

TA program, as follows:

(a) Adjust funding levels for any

provider based upon the size and needs

of the provider’s service area within

each Field Office jurisdiction in which

the provider is selected to operate, the

funds available for that area, the number

of other awardees selected in that area,

funds available on a national basis for

providers that will be operating

nationally, or the scope of the technical

assistance to be provided;

(b) To negotiate increased grant

awards with applicants approved for

funding if HUD requests them to offer

coverage to geographic areas for which

they did not apply or budget, or if HUD

receives an insufficient amount of

applications.

(5) If funds remain after all selections

have been made, remaining funds may

be:

(a) Distributed among all HUD Field

Offices (in proportion to their fair-share

awards) and/or the National Program, or

(b) Made available for other CD–TA

program competitions.

(6) If you apply for HOPWA TA

funds, you must propose activities that

will be carried out on a national,

regional, State or community basis. The

Department reserves the right to adjust

the amount of requested funds that are

awarded to correspond with the size of

the intended service area in comparison

to the planned national scope of

activities to ensure the best use of these

limited resources. Additionally, HUD

may also modify the service area of a

selected application, if practicable.

(B) Factors for Award Used to

Evaluate and Rate Applications. The

factors and maximum points for each

factor are provided below. The

maximum number of points to be

awarded for a CD–TA application is

100. The minimum score for an

applicant to be considered in funding

range is 55, with a minimum of 11

points in Factor 1. The CD–TA program

is not an eligible program for the EZ/EC

bonus points, as described in Section

III(C)(1) of the General Section of the

SuperNOFA.

Rating of the ‘‘applicant’’ or the

‘‘applicant’s organization and staff’’,

unless otherwise specified, will include

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

which are firmly committed to the

project.

When addressing the Factors for

Award, you should discuss the specific

TA projects, activities, tasks, etc. that

you suggest be carried out during the

term of the cooperative agreement. See

Sections IV(A)(2) and (3) of this CD–TA

program section for a discussion of the

extent to which such activities may be

revised at or after the time of award.

You should also be specific when

detailing the communities, populations

(HOPWA only) and/or organizations

which you propose to serve, especially

in response to Factor 3, Subfactor 2 and

in detailing the dollar amounts you have

leveraged in Factor 4.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (20 Points) (Minimum for

Funding Eligibility—11 Points)

In rating this factor, HUD will

consider the extent to which the

application demonstrates in relation to

CD–TA program funding that is

requested:

(1) (10 points) Recent, relevant and

successful experience of your

organization and staff in providing

technical assistance in all eligible

activities and to all eligible entities for

the CD–TA program(s) applied for, as

described in the regulations;

(2) (5 points) The relevant experience

and competence of your key personnel

in managing complex, multi-faceted or

multi-disciplinary programs that require

coordination with other CD–TA entities

or multiple, diverse units in an

organization;

(3) (5 points) You have sufficient

personnel or access to qualified experts

or professionals to deliver the proposed

level of technical assistance in each

proposed service area in a timely and

effective fashion.

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Rating Factor 2: Potential Effectiveness

of the Application in Meeting Needs of

Target Groups/Localities and

Accomplishing Project Objectives for

Each CD–TA Program for which Funds

Are Requested (20 Points)

In rating this factor, HUD will

consider the extent to which your

application:

(1) (10 points) Identifies high priority

needs and issues for the CD program in

each community or Field Office

jurisdiction for which CD–TA funding is

requested, or on a national or regional

basis for national HOPWA grants;

(2) (5 points) Outlines a clear and

cost-effective plan of suggested TA

activities for addressing those needs and

aiding a broad diversity of eligible

grantees and/or beneficiaries, including

those which traditionally have been

under-served; and

(3) (5 points) Identifies creative

activities to assist eligible grantees in

participating in the development of, and

improving, local Consolidated Plans and

comprehensive strategies.

Rating Factor 3: Soundness of Approach

(40 Points)

In rating this factor, HUD will

consider the extent to which your

application evidences a sound approach

in addressing identified needs and:

(1) (15 points) Provides a cost

effective plan for designing, organizing,

and carrying out the suggested technical

assistance activities within the

framework of the Demand/Response

System or, for HOPWA TA applicants,

in addressing the HOPWA TA goal.

(2) (15 points) Demonstrates an

effective outreach and assistance

program to specifically identified

disadvantaged communities,

populations (HOPWA only) and/or

organizations which previously have

been underserved and have the

potential to participate in CPD

programs.

(3) (5 points) Provides for full

geographic coverage, including urban

and rural areas, (directly or through a

consortium of providers) of a single

State or Field Office jurisdiction or is

targeted to address the needs of rural

areas, minority groups or other underserved groups or for HOPWA TA

applicants, addresses other approaches

that respond to identified needs.

(4) (5 points) Proposes a feasible,

creative plan, which uses state of the art

or new promising technology, to transfer

models and lessons learned in each of

its CD–TA program’s activities to

grantees and/or program beneficiaries in

other CD–TA programs.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses your ability 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 you have

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 you are

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.

You also may partner with other

program funding recipients to

coordinate the use of resources in the

target area.

You 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. 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 you coordinate your activities

with other known organizations,

participate or promote participation in a

community’s Consolidated Planning

process and Continuum of Care

homeless assistance strategy, and are

working towards addressing a need in a

holistic and comprehensive manner

through linkages with other activities in

the community.

In evaluating this factor, HUD will

consider the extent to which you

demonstrate you have:

(1) Coordinated your 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 you will take

to share information on solutions and

outcomes with others. Describe any

written agreements, memoranda of

understanding in place, or that will be

in place after award.

(2) Taken or will take specific steps to

work with recipients of technical

assistance services 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 you propose.

(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.

VI. Application Submission

Requirements

In addition to the forms, certifications

and assurances listed in Section II(G) of

the General Section of the SuperNOFA

(collectively referred to as the ‘‘standard

forms’’), your application must, at a

minimum, contain the following items

(except that the following paragraphs

(C), (D), (E), (F), and (G) do not apply

to HOPWA TA applicants). The

standard forms can be found in

Appendix B to the General Section of

the SuperNOFA.

(A) Transmittal Letter which

identifies the SuperNOFA, the CD–TA

programs for which funds are requested

and the dollar amount requested for

each program, and the applicant or

applicants submitting the application. If

your organization has never received a

CPD technical assistance award, please

include a statement to this effect in the

transmittal letter. Additionally, HOPWA

TA applicants are requested to submit a

two-page executive summary outlining

the key elements of the proposed TA

activities.

(B) Narrative statement addressing the

Factors for Award described in Section

V(B) of this CD–TA Program section of

this SuperNOFA. You should number

the narrative response in accordance

with each factor for award. This

narrative statement will be the basis for

evaluating your application. It should

include a plan of suggested TA activities

as described in Factors 2, 3, and

elsewhere. These suggested TA

activities may form a starting point for

negotiating the TADP described in

Section IV(A)(3) of this CD–TA Program

section of the SuperNOFA. However,

they are used primarily for purposes of

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11705

rating and evaluation and may be

substantially altered and revised during

negotiations with the Field Offices on

the content of the TADPs (see Section

IV(A)(3)) or Headquarters program office

for national projects.

(C) Statement that identifies the Field

Office jurisdictions in which you

propose to offer services. If you will not

offer services throughout the full

jurisdictional area of the Field Office,

your statement should identify the

service areas involved (e.g., States,

counties, etc.), as well as the

communities in which you propose to

offer services.

(D) A matrix that summarizes the

amount of funds you are requesting for

each CD–TA program in each Field

Office jurisdiction. (See the CD–TA

application kit for a copy of the matrix

to be submitted.)

(E) A statement as to whether you

propose to use pass-through funds for

CHDOs under the CHDO TA program,

and, if so, the amount and proposed

uses of such funds.

(F) If applying for the CHDO TA

program, a certification as to whether

you qualify as a primarily single-State

provider under section 233(e) of the

Cranston-Gonzalez Affordable Housing

Act and as discussed in Section III(C)(3)

of this CD–TA Program section of this

SuperNOFA.

(G) A statement as to whether you

propose to be considered for the role of

lead CD–TA provider in one or more

specific program areas in a Field Office

jurisdiction, and if so, your

organization’s capabilities and attributes

that qualify you for the role.

(H) Budget Summary identifying costs

for implementing the plan of suggested

TA activities by cost category for each

CD–TA program for which funds are

requested by Field Office or as a

National Provider (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,

quantity, unit cost per item, estimated

cost per item, and the total estimated

material costs;

(4) Transportation Costs, as

applicable.

(5) Equipment charges, if any.

Equipment charges should identify the

type of equipment, quantity, unit costs

and total estimated equipment costs;

(6) Consultant Costs, if applicable.

Indicate the type, estimated number of

consultant days, rate per day, total

estimated consultant costs per

consultant and total estimated costs for

all consultants;

(7) Subcontract Costs, if applicable.

Indicate each individual subcontract

and amount;

(8) Other Direct Costs listed by item,

quantity, unit cost, total for each item

listed, and total other 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.

These line items should total the

amount requested for each CD–TA

program area. The grand total of all CD–

TA program funds requested should

reflect the grand total of all funds for

which application is made.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

In accordance with 24 CFR 50.19(b)(9)

and 58.34(a)(9), the assistance provided

by these programs relates only to the

provision of technical assistance and is

categorically excluded from the

requirements of the National

Environmental Policy Act and not

subject to environmental review under

the related laws and authorities. This

determination is based on the

ineligibility of real property acquisition,

construction, rehabilitation, conversion,

leasing or repair for HUD assistance

under these technical assistance

programs.

IX. Authority

CHDO Technical Assistance. The

CHDO Technical Assistance Program is

authorized by the HOME Investment

Partnerships Act (42 U.S.C. 12773); 24

CFR part 92.

HOME Technical Assistance. The

HOME Technical Assistance Program is

authorized by the HOME Investment

Partnerships Act (42 U.S.C. 12781–

12783); 24 CFR part 92.

McKinney-Vento Act Homeless

Assistance Programs Technical

Assistance. The Supportive Housing

Program is authorized under 42 U.S.C.

11381 et seq.; 24 CFR 583.140. The

Emergency Shelter Grant, Section 8

Moderate Rehabilitation Single Room

Occupancy Program and Shelter Plus

Care Technical Assistance Programs are

authorized by the FY 2001 HUD

Appropriations Act.

HOPWA Technical Assistance. The

HOPWA Technical Assistance program

is authorized under the FY 2001 HUD

Appropriations Act. The HOPWA

program is authorized under the AIDS

Housing Opportunities Act (42 U.S.C.

12901) and the HOPWA regulations are

found at 24 CFR part 574.

APPENDIX A TO CD–TA PROGRAM: ‘‘FAIR-SHARE’’ AMOUNTS ALLOCATED TO EACH HUD CPD OFFICE

HUD CPD field office CHDO TA

single state

CHDO TA

multi-state HOME TA

McKinneyvento act

homeless

assistance

TA

HOPWA TA

Alabama State Office ............................................................................... $48,000 $42,000 $90,000 $40,000 ....................

Alaska State Office .................................................................................. 30,000 30,000 50,000 40,000 ....................

Arkansas State Office .............................................................................. 30,000 30,000 54,000 40,000 ....................

California State Office .............................................................................. 256,000 224,000 480,000 242,000 ....................

Los Angeles Area Office .......................................................................... 224,000 196,000 420,000 255,000 ....................

Caribbean Office ...................................................................................... 57,600 50,400 108,000 40,000 ....................

Colorado State Office .............................................................................. 89,600 78,400 168,000 40,000 ....................

Connecticut State Office .......................................................................... 35,200 30,800 66,000 40,000 ....................

District of Columbia Office ....................................................................... 30,000 30,000 54,000 83,000 ....................

Florida State Office .................................................................................. 38,400 33,600 72,000 70,000 ....................

Jacksonville Area Office .......................................................................... 76,800 67,200 144,000 49,000 ....................

Georgia State Office ................................................................................ 73,600 64,400 138,000 40,000 ....................

Hawaii State Office .................................................................................. 30,000 30,000 50,000 40,000 ....................

11706 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

APPENDIX A TO CD–TA PROGRAM: ‘‘FAIR-SHARE’’ AMOUNTS ALLOCATED TO EACH HUD CPD OFFICE—Continued

HUD CPD field office CHDO TA

single state

CHDO TA

multi-state HOME TA

McKinneyvento act

homeless

assistance

TA

HOPWA TA

Illinois State Office ................................................................................... 156,800 137,200 294,000 145,000 ....................

Indiana State Office ................................................................................. 57,600 50,400 108,000 40,000 ....................

Kansas/ Missouri State Office ................................................................. 64,000 56,000 120,000 40,000 ....................

St. Louis Area Office ................................................................................ 30,000 30,000 50,000 40,000 ....................

Kentucky State Office .............................................................................. 48,000 42,000 90,000 40,000 ....................

Louisiana State Office ............................................................................. 64,000 56,000 120,000 40,000 ....................

Maryland State Office .............................................................................. 38,400 33,600 72,000 40,000 ....................

Massachusetts State Office ..................................................................... 131,200 114,800 246,000 182,000 ....................

Michigan State Office ............................................................................... 118,400 103,600 222,000 138,000 ....................

Minnesota State Office ............................................................................ 41,600 36,400 78,000 52,000 ....................

Mississippi State Office ............................................................................ 32,000 30,000 60,000 40,000 ....................

Nebraska State Office .............................................................................. 44,800 39,200 84,000 40,000 ....................

New Jersey State Office .......................................................................... 89,600 78,400 168,000 52,000 ....................

New Mexico State Office ......................................................................... 30,000 30,000 50,000 40,000 ....................

New York State Office ............................................................................. 261,600 204,400 500,000 239,000 ....................

Buffalo Area Office .................................................................................. 44,800 39,200 104,000 57,000 ....................

North Carolina State Office ...................................................................... 67,200 58,800 126,000 40,000 ....................

Ohio State Office ..................................................................................... 140,800 123,200 264,000 104,000 ....................

Oklahoma State Office ............................................................................ 35,200 30,800 66,000 40,000 ....................

Oregon State Office ................................................................................. 54,400 47,600 102,000 40,000 ....................

Pennsylvania State Office ....................................................................... 124,800 109,200 234,000 106,000 ....................

Pittsburgh Area Office .............................................................................. 54,400 47,600 102,000 57,000 ....................

South Carolina State Office ..................................................................... 35,200 30,800 66,000 40,000 ....................

Tennessee Knoxville Area Office ............................................................ 57,600 50,400 108,000 40,000 ....................

Texas State Office ................................................................................... 160,000 140,000 300,000 88,000 ....................

San Antonio Area Office .......................................................................... 35,200 30,800 66,000 40,000 ....................

Virginia State Office ................................................................................. 51,200 44,800 96,000 40,000 ....................

Washington State Office .......................................................................... 54,400 47,600 102,000 67,000 ....................

Wisconsin State Office ............................................................................. 57,600 50,400 108,000 54,000 ....................

National .................................................................................................... .................... 1,600,000 2,000,000 .................... 2,580,000

Total .................................................................................................. 3,200,000 4,400,000 8,000,000 3,000,000 2,580,000

BILLING CODE 4210–32–P

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11707

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11709

FUNDING AVAILABILITY FOR THE

COMMUNITY DEVELOPMENT BLOCK

GRANT PROGRAM FOR INDIAN

TRIBES AND ALASKA NATIVE

VILLAGES

Program Overview

Purpose of the Program. The purpose

of the Community Development Block

Grant Program for Indian Tribes and

Alaska Native Villages (ICDBG) is the

development of viable Indian and

Alaska Native communities, including

the creation of decent housing, suitable

living environments, and economic

opportunities primarily for persons with

low and moderate incomes as defined in

24 CFR 1003.4.

Available Funds. Approximately

$71,284,661 is available for the ICDBG

Program.

Eligible Applicants. Eligible

applicants are Indian tribes or tribal

organizations on behalf of Indian tribes.

Application Deadline. May 23, 2001.

Match. None.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application (one original and

two copies) is due on or before 12:00

midnight, Eastern time, on May 23,

2001.

See the General Section of this

SuperNOFA for specific procedures that

you must follow for the form of

application submission (e.g., mailed

applications, express mail, overnight

delivery, or hand carried).

Addresses for Submitting

Applications to the Appropriate Area

ONAP. Submit original signed

application and two copies to the

appropriate Area Office of Native

American Programs for your

jurisdiction. A list of jurisdictions is

given below. A hand carried application

will be accepted at the specified HUD

Area ONAP during normal business

hours before the application due date.

On the application due date, business

hours will be extended to 6:00 p.m.

local time. Please be sure to arrive at the

Area ONAP with adequate time to

submit the application before the 6:00

p.m. deadline by the application due

date.

If you are applying from this geographic location then . . . send your application to this Area ONAP:

All States East of the Mississippi River, plus Iowa and Minnesota.Eastern/Woodlands Office of Native American Programs, Grants Management

Division, 77 West Jackson Blvd., Room 2400, Chicago, IL 60604–3507, Telephone: (312) 886–4532, Ext. 2815.

Louisiana, Kansas, Oklahoma, and Texas, except West

Texas.

Southern Plains Office of Native American Programs, Grants Management Division, 500 W. Main Street, Suite 400, Oklahoma City, OK 73102–3202, Telephone: (405) 553–7525.

Colorado, Montana, Nebraska, North Dakota, South Dakota,

Utah, and Wyoming.

Northern Plains Office of Native American Programs, Grants Management Division, First Interstate Tower North, 633 17th Street, Denver, CO 80202–3607,

Telephone: (303) 672–5465.

Arizona, California, and Nevada .............................................. Southwest Office of Native American Programs, Grants Management Division,

Two Arizona Center, Suite 1650, 400 N. Fifth Street, Phoenix, AZ 85004–2361,

Telephone: (602) 379–3865.

New Mexico and West Texas .................................................. Southwest Office of Native American Programs, Grants Management Division,

Albuquerque Plaza, 201 3rd Street N.W., Suite 1830, Albuquerque, NM

87102–3368, Telephone: (505) 346–6923.

Idaho, Oregon, Washington ..................................................... Northwest Office of Native American Programs, Grants Management Division,

Federal Office Building, 909 First Avenue, Suite 300, Seattle, WA 98104–1000,

Telephone: (206) 220–5271.

Alaska ....................................................................................... Alaska Office of Native American Programs, Grants Management Division, 949

E. 36th Avenue, Suite 401, Anchorage, AK 99508–4399, (907) 271–4603.

In order to expedite the review of

your application and to ensure that your

application is given a thorough and

complete review of all responses to each

of the components of the selection

criteria, HUD strongly requests that you

use separate tabs for each selection

criterion and sub-criterion. In order to

be rated, make sure the response is

beneath the appropriate heading. Keep

the responses in the same order as the

NOFA. Limit your narrative

explanations to 200 words or less and

provide the necessary data such as a

market analysis, a pro forma, housing

survey data, etc., that support the

response. Include all relevant material

to a response under the same tab. Do not

assume the reviewer will search for the

answer or information to support the

answer elsewhere in the application. Do

not include documentation that is not

required by the selection criteria

because irrelevant information will be

disregarded during the review of your

application. HUD asks that you do a

preliminary rating for your project,

providing a score according to the

NOFA point system and submit your

preliminary rating with your

application. This will help to show you

how your project might be scored by

reviewers. Also, it will help to show you

where the strengths and weaknesses of

the application are located so that you

may improve your application prior to

its submission by the deadline date.

For Application Kits. For an

application kit and any supplemental

material please call the SuperNOFA

Information Center at 1–800-HUD–8929

or the appropriate Area ONAP for your

jurisdiction as listed above. Persons

with hearing or speech impairments

may call the Center’s TTY number at 1–

800-HUD–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 ICDBG

and provide your name, address

(including zip code), and telephone

number (including area code).

For Further Information. You should

direct general program questions to the

Area ONAP serving your area or to

Jackie Kruszek, Office of Native

American Programs, Office of Public

and Indian Housing, Department of

Housing and Urban Development, 1999

Broadway, Suite 3390, Denver, C0

80202; telephone (800) 561–5913.

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.

11710 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

For Technical Assistance. Before the

application deadline, we will be

available to provide you with general

guidance. We cannot, however, provide

you with guidance on the actual

contents of your application. If

applicable, after selection but before

award, we will be available to assist you

in clarifying or confirming information

that is required to address a pre-award

requirement or condition.

II. Amount Allocated

Approximately $70,843,800 is

available for the ICDBG Program.

General. Title I of the Housing and

Community Development Act of 1974

(the CDBG statute) requires grants for

Indian tribes be awarded on a

competitive basis in accordance with

selection criteria contained in a

regulation promulgated by the Secretary

after notice and public comment. All

grant funds awarded in accordance with

this NOFA are subject to the

requirements of 24 CFR part 1003.

Applicants within an Area ONAP’s

geographic jurisdiction compete only

against each other for that Area ONAP’s

allocation of funds.

Allocations. The requirements for

allocating funds to Area ONAPs

responsible for program administration

are found at 24 CFR 1003.101.

Following these requirements, based on

an appropriation of $ 70,843,800, the

allocations for FY 2001 are as follows:

Eastern/Woodland ................ $5,481,761

Southern Plains .................... 12,972,631

Northern Plains ..................... 10,941,946

Southwest ............................. 29,848,823

Northwest .............................. 4,180,664

Alaska ................................... 5,858,836

Total ............................... $69,284,661

The total allocation includes $440,861

in unused funds from the amount

reserved by the Assistant Secretary in

Fiscal Year 2000 for Imminent Threat

grants. As indicated below, $2,000,000

will be retained to fund Imminent

Threat grants.

Grant Ceilings. The authority to

establish grant ceilings is found at 24

CFR 1003.100(b)(1). Grant ceilings are

established for FY 2001 funding at the

following levels:

Area ONAP Population Ceiling

Eastern/Woodlands:ALL ................ $500,000

Southern

Plains:

ALL ............... 750,000

Northern

Plains:

ALL ............... 800,000

Southwest: 50,001+ ......... 5,000,000

10,501–

50,000.

2,500,000

7,501–10,500 2,000,000

Area ONAP Population Ceiling

6,001–7,500 .. 1,000,000

1,501–6,000 .. 750,000

0–1,500 ......... 550,000

Northwest: ..... ALL ............... 350,000

Alaska: ........... ALL ............... 500,000

For the Southwest Area ONAP

jurisdiction, the population used to

determine ceiling amounts is the Native

American population that resides on a

reservation or rancheria. Please contact

that office before submitting your

application if you are unsure of the

population level to use to determine the

ceiling amount for your tribe or if you

believe that the level used for previous

years needs to be revised or corrected.

The Southwest ONAP must accept any

corrections or revisions before you

submit your application.

Imminent Threats. The criteria for

grants to alleviate or remove imminent

threats to health or safety that require an

immediate solution are described at 24

CFR part 1003, subpart E. In order to

satisfy these criteria, the problem to be

addressed must be such that an

emergency situation exists or would

exist if the problem were not addressed.

In addition, you may use funds

provided under that subpart only to

address imminent threats that are not of

a recurring nature and that represent a

unique and unusual circumstance that

impacts an entire service area. In

accordance with the provisions of 24

CFR part 1003, subpart E, we will retain

$2,000,000 to meet the funding needs of

imminent threat applications submitted

to any of the Area ONAPs. The grant

ceiling for imminent threat applications

for FY 2001 is $350,000. We established

this ceiling pursuant to the provisions of

24 CFR 1003.400(c).

You do not have to submit a request

for assistance under the imminent threat

set-aside (24 CFR part 1003, subpart E)

by the deadline established in this

NOFA; the deadline applies only to

applications submitted for assistance

under 24 CFR part 1003, subpart D,

Single purpose grants.

If, in response to a request for

assistance, an Area ONAP issues you a

letter to proceed under the authority of

1003.401(a), then your application must

be submitted to and approved by the

Area ONAP before a grant agreement

may be executed. This application must

contain: Standard Form 424,

Application for Federal Assistance; a

brief description of the proposed

project; Form HUD–4123, Cost

Summary; Form HUD–4125,

Implementation Schedule; Form HUD–

2880, Applicant/Recipient Disclosure/

Update Report; Form HUD–4126,

Certifications; and, Form HUD–50070,

Certification for a Drug-Free Workplace.

III. Program Description; Eligible

Applicants; and Eligible Activities

Program Description. The purpose of

the ICDBG Program is the development

of viable Indian and Alaska Native

communities, including the creation of

decent housing, suitable living

environments, and economic

opportunities primarily for persons with

low and moderate incomes.

Eligible Applicants. To apply for

funding you must be eligible as an

Indian Tribe (or as a tribal organization)

by the application submission date.

Tribal organizations are permitted to

submit applications under 24 CFR

1003.5(b) on behalf of eligible tribes

when one or more eligible tribe(s)

authorize the organization to do so

under concurring resolutions. As is

stated in this regulatory section, the

tribal organization must itself be eligible

under title I of the Indian SelfDetermination and Education

Assistance Act. A determination of such

eligibility must be made by the Bureau

of Indian Affairs or the Indian Health

Service, as appropriate. This

determination must be provided to the

ONAPs by the application submission

date.

If a tribe or tribal organization claims

that it is a successor to an eligible entity,

the ONAPs must review the

documentation to determine whether it

is in fact the successor entity.

Due to the unique structure of tribal

entities eligible to submit ICDBG

applications in Alaska, and as only one

ICDBG application may be submitted for

each area within the jurisdiction of an

entity eligible under 24 CFR 1003.5, a

tribal organization that submits an

application for activities in the

jurisdiction of one or more eligible

tribes or villages must include a

concurring resolution from each such

tribe or village authorizing the submittal

of the application. Each such resolution

must also indicate that the tribe or

village does not itself intend to submit

an ICDBG application for that funding

round. The hierarchy for funding

priority continues to be the IRA

Council, the Traditional Village

Council, the ANCSA Village

Corporation, and the ANCSA Regional

Corporation.

On March 13, 2000 (65 FR 13298), the

Bureau of Indian Affairs published a

Federal Register notice entitled ‘‘Indian

Entities Recognized and Eligible to

Receive Services From the United States

Bureau of Indian Affairs.’’ This notice

provides a listing of Indian Tribal

Entities in Alaska found to be Indian

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11711

Tribes as the term is defined and used

in 25 CFR part 83. Additionally,

pursuant to title I of the Indian SelfDetermination and Education

Assistance Act, ANCSA Village

Corporations and Regional Corporations

are also considered tribes and therefore

eligible applicants for the ICDBG

program.

Any questions regarding eligibility

determinations and related

documentation requirements for entities

in Alaska should be referred to the

Alaska Area ONAP prior to the

application submission date. (See 24

CFR 1003.5 for a complete description

of eligible applicants.)

Please note: when used in this NOFA the

word ‘‘tribe’’ means an Indian tribe, band,

group or nation, including Alaska Indians,

Aleuts, Eskimos, Alaska Native Villages,

ANCSA Village Corporations, and ANCSA

Regional Corporations.

Eligible Activities. Activities that are

eligible for ICDBG funding are identified

at 24 CFR part 1003, subpart C. Please

note that although this subpart has not

yet been revised to include the

restrictions on activity eligibility which

was added to section 105 of the CDBG

statute by section 588 of the Quality

Housing and Work Responsibility Act of

1998, these restrictions apply.

Specifically, ICDBG funds may not be

used to assist directly in the relocation

of any industrial or commercial plant,

facility, or operation, from one area to

another, if the relocation is likely to

result in a significant loss of

employment in the labor market area

from which the relocation occurs. The

rating factors included under IV (K)

specify many of the activities listed as

eligible under part 1003, subpart C.

Those listed include new housing

construction, housing rehabilitation,

land acquisition, homeownership

assistance, public facilities and

improvements, economic development,

and micro-enterprise programs.

However, the following eligible

activities not clearly identified by the

rating factors may be proposed and

rated as described below. For a

complete description of eligible

activities, please refer to 24 CFR Part

1003 Subpart C.

Acquisition of property. This activity

can be proposed as Land to Support

New Housing or as part of New Housing

Construction, Community Facilities or

Economic Development depending on

the purpose of the land acquisition.

Assistance to Institutions of Higher

Learning. If such entities have the

capacity, they can help the ICDBG

grantees to implement eligible projects.

Assistance to Community Based

Development Organizations (CBDO’s).

Grantees may provide assistance to

these organizations to undertake

activities related to neighborhood

revitalization, community economic

development or energy conservation.

Clearance, Demolition. These

activities can be proposed as part of

Housing Rehabilitation, New Housing

Construction, Community Facilities or

Land to Support New Housing.

Code Enforcement. This activity can

be proposed as Housing Rehabilitation.

The activity must comply with the

requirements at 24 CFR 1003.202. HUD

approval is required prior to demolition

of any assisted housing.

Comprehensive Planning. This

activity is eligible, and can be proposed,

as part of any otherwise eligible project

to the extent allowed by the 20 percent

cap on the grant for planning/

administration.

Energy Efficiency. Associated

activities can be proposed under

Housing Rehabilitation or Community

Facilities depending upon the type of

energy efficiency activity.

Lead Based Paint Abatement and

Evaluation. These activities can be

proposed under Housing Rehabilitation.

Non-Federal Share. ICDBG funds can

be used as a match for any non-ICDBG

funding to the extent allowed by such

funding and the activity is eligible

under 24 CFR part 1003, Subpart C.

Privately and Publicly Owned

Commercial or Industrial Buildings (real

property improvements). These

activities can be proposed under

Economic Development. Privately

owned commercial rehabilitation is

subject to the requirements at 24 CFR

1003.202.

Privately Owned Utilities. Assistance

to privately owned utilities can be

proposed under Community Facilities.

Removal of Architectural Barriers.

This includes removing barriers that

restrict mobility and access for elderly

and severely disabled persons. This

activity can be proposed under Housing

Rehabilitation or Community Facilities

depending upon the type of structure

where the barrier will be removed.

IV. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, as an

applicant you must comply with the

following requirements:

Indian Preference. HUD has

determined that the ICDBG program is

subject to section 7(b) of the Indian SelfDetermination and Education

Assistance Act (25 U.S.C. 450e(b)). The

provisions and requirements for

implementing this section are in 24 CFR

1003.510.

Anti-discrimination Provisions. Under

the authority of section 107(e)(2) of the

CDBG statute, HUD waived the

requirement that recipients comply with

the anti-discrimination provisions in

section 109 of the CDBG statute with

respect to race, color, and national

origin. You must comply with the other

prohibitions against discrimination in

section 109 (HUD’s regulations for

section 109 are in 24 CFR part 6) and

with the Indian Civil Rights Act.

Conflict of Interest. In addition to the

conflict of interest requirements with

respect to procurement transactions

found in 24 CFR 85.36 and 84.42, as

applicable, the provisions of 24 CFR

1003.606 apply to such activities as the

provision of assistance by the recipient

or sub-recipients to businesses,

individuals, and other private entities

under eligible activities that authorize

such assistance.

Economic Opportunities for Low and

Very Low-Income Persons (Section 3).

Section 3 requirements apply to the

ICDBG Program, but as stated in

§ 135.3(c), the procedures and

requirements of 24 CFR part 135 apply

to the maximum extent consistent with,

but not in derogation of, compliance

with Indian Preference.

Please note that the requirements in

the General Section regarding

applicability of affirmatively furthering

fair housing do not apply. The

requirement is inconsistent with section

106(a) of the Housing and Community

Development Act of 1974, as amended,

which specifically makes inapplicable

to the ICDBG program the requirement

of section 104(b)(2) that the grantee

certify that it will affirmatively further

fair housing.

V. Application Selection Process

You, the applicant, must meet all of

the applicable threshold requirements of

Section II(B) of the General Section of

the SuperNOFA. HUD will review each

application and assign points in

accordance with the selection factors

described in this section. The maximum

number of points is 100.

(A) Screening for acceptance. ONAPs

will screen applications for single

purpose grants. The ONAPs will reject

an application that fails this screening

and will return the application unrated.

The ONAPs will accept your application

if it meets all the criteria listed below as

items (1) through (6):

(1) Your application is received or

submitted in accordance with the

requirements set forth under

APPLICATION DUE DATE in this NOFA;

(2) You are eligible;

(3) The proposed activities are

eligible;

11712 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(4) Your application contains

substantially all the components

specified in VI of this notice;

(5) Your application shows that at

least 70% of the grant funds are to be

used for activities that benefit low and

moderate income persons, in

accordance with the requirements of 24

CFR 1003.208; and

(6) Your application is for an amount

that does not exceed the grant ceilings

that are established by the NOFA.

(B) Threshold review. ONAPs will rate

and rank each application that passes

the screening process to ensure that

each applicant and each proposed

project meets the applicant threshold

requirements set forth in 24 CFR

1003.301(a) and the project specific

threshold requirements set forth in

1003.302.

(C) Rating. The ONAPs will review

and rate each project that meets the

acceptance criteria and threshold

requirements. The total points for all

rating factors is 100. This is the

maximum any project can receive. As

indicated below, please note that to be

considered for funding, a project must

receive a minimum of 25 points under

Rating Factor 1.

(D) Public Service Projects. Because

there is a statutory 15 percent cap on the

amount of grant funds that may be used

for public services activities, you may

not receive a single purpose grant solely

to fund public services activities. Your

application, however, may contain a

public services component for up to 15

percent of the total grant. This

component may be unrelated to the

other project(s) included in your

application. If your application does not

receive full funding, we will reduce the

public services allocation

proportionately so that it comprises no

more than 15 percent of the total grant

award. In making such reductions, the

feasibility of the proposed project will

be taken into consideration. If a

proportionate reduction of the public

services allocation renders such a

project infeasible, the project will not be

funded.

(E) Final Ranking. We will rank all

projects against each other according to

the point totals they receive, regardless

of the type of project or component

under which the points were awarded.

We will select projects for funding

based on this final ranking, to the extent

that funds are available. We will

determine individual grant amounts in

a manner consistent with the

considerations set forth in 24 CFR

1003.100(b)(2). Specifically, ONAPs

may approve a grant amount less than

the amount requested. In doing so,

ONAPs may take into account the size

of the applicant, the level of demand,

the scale of the activity proposed

relative to need and operational

capacity, the number of persons to be

served, the amount of funds required to

achieve project objectives, the

reasonableness of the project costs, and

the administrative capacity of the

applicant to complete the activities in a

timely manner.

If the ONAPs determine that there are

not enough funds available to fund a

project as proposed by the applicant,

they may decline to fund that project

and may fund the next highest ranking

project or projects for which adequate

funds are available. The ONAPs may

select, in rank order, additional projects

for funding if one of the higher ranking

projects is not funded or if additional

funds become available.

(F) Tiebreakers. When rating results

in a tie among projects and insufficient

resources remain to fund all tied

projects, the ONAPs will approve

projects that can be fully funded over

those that cannot be fully funded. When

that does not resolve the tie, the ONAPs

will use the following factors in the

order listed to resolve the tie:

(1) The applicant that has not

received an ICDBG over the longest

period of time.

(2) The applicant with the fewest

active ICDBGs.

(3) The project that would benefit the

highest percentage of low and moderate

income persons.

(G) Pre-award requirements. If there

are technical deficiencies in successful

applications, you must satisfactorily

address these deficiencies before we can

make a grant award. Please see Section

VIII of this NOFA for a definition of

such a deficiency and a description of

the process to address and correct the

deficiency. You must correct all

technical deficiencies within the

timeframe established by HUD. If they

are not corrected, we will not make the

grant award and will reject your

application.

We also may require a successful

applicant to provide supporting

documentation concerning the

management, maintenance, operation,

or financing of proposed projects before

a grant agreement can be executed. We

will normally give you no less than

thirty (30) calendar days to respond to

these requirements. If you do not

respond within the prescribed time

period or you make an insufficient

response, the ONAPs may determine

that you have not met the requirements

and may withdraw the grant offer. The

ONAPs require you to submit

supporting documentation if specific

questions remain concerning the scope,

magnitude, timing, or method of

implementing the project; or you have

not provided information verifying the

commitment of other resources required

to complete, operate, or maintain the

proposed project. You may not

substitute new projects for those

originally proposed in your application.

We will award, in accordance with the

provisions of this NOFA, grant amounts

that had been allocated for applicants

unable to meet pre-award requirements.

(H) Definitions.

Adopt means to approve by formal

tribal resolution.

Assure means to comply with a

specific NOFA requirement. As an

applicant, you should state your

compliance or your intent to comply in

your application.

Document means to supply

supporting written information and/or

data in the application that satisfies the

NOFA requirement.

Entity Other than Tribe. A distinction

is made between the requirements for

point award under Rating Factor 3 if a

tribe or an entity other than the tribe

will assume maintenance and related

responsibilities for projects other than

economic development and land

acquisition for housing. Entities other

than the tribe must have the following

characteristics: must be legally distinct

from the tribal government; their assets

and liabilities cannot be considered to

be assets and liabilities of the tribal

government; claims against such entities

cannot be made against the tribal

government; and, must have governing

boards, boards of directors, or groups or

individuals similar in function and

responsibility to such boards which are

separate from the tribe’s general council,

tribal council, or business council, as

applicable.

Entities other than the tribe may be

completely external to the tribe, e.g., a

Federal agency, or may be an entity

formed or chartered under provisions of

tribal law, e.g., a tribally chartered nonprofit or for-profit corporation, tribal

utility authority, or tribal political

subdivision.

If the nature of the entity is such that

it is apparent that it is not the tribe, e.g.,

it is a Federal or state department or

agency, information establishing that it

is an entity other than the tribe need not

be provided. However, if it is not

apparent that the entity has all of the

characteristics stated above, it is the

applicant’s responsibility to provide

information to HUD to establish that

this is true. If potential applicants are

unsure whether or not a specific entity

has the necessary characteristics, a

request for review should be submitted

to the ONAPs prior to the submission of

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11713

the application for assistance. If an

applicant waits to submit the

information on entity characteristics

with an application and HUD found the

information to be inadequate or

inconclusive, the award of points would

be jeopardized.

Homeownership Assistance Programs.

Tribes may apply for assistance to

provide direct homeownership

assistance to low- and moderate-income

households to: subsidize interest rates

and mortgage principal amounts for

low- and moderate-income homebuyers;

finance the acquisition by low- and

moderate-income homebuyers of

housing that is occupied by the

homebuyers; acquire guarantees for

mortgage financing obtained by lowand moderate-income homebuyers from

private lenders (except that ICDBG

funds may not be used to guarantee

such mortgage financing directly, and

grantees may not provide such

guarantees directly); provide up to 50

percent of any downpayment required

from a low- and moderate-income

homebuyer; or, pay reasonable closing

costs (normally associated with the

purchase of a home) incurred by a lowor moderate-income homebuyer.

Leverage means resources that you

will use in conjunction with ICDBG

funds to achieve the objectives of the

project. Resources include, but are not

limited to: tribal trust funds; loans from

individuals or organizations; State or

Federal loans or guarantees; other

grants; and non-cash contributions and

donated services. (See Rating Factor 4 of

this NOFA for documentation

requirements for point award for

leveraged resources.)

Microenterprise Programs. Tribes may

apply for assistance to operate programs

to fund the development, expansion and

stabilization of microenterprises.

Microenterprises are defined as

commercial entities with five or fewer

employees, including the owner.

Microenterprise program activities may

entail the following assistance to

eligible businesses: providing credit,

including, but not limited to, grants,

loans, loan guarantees, and other forms

of financial support for the

establishment, stabilization, and

expansion of microenterprises;

providing technical assistance, advice,

and business support services to owners

of microenterprises and persons

developing microenterprises; and,

providing general support, including,

but not limited to, peer support

programs, counseling, child care,

transportation, and other similar

services to owners of microenterprises

and persons developing

microenterprises.

Operations and Maintenance (O&M)

for Community Facilities. While various

items of cost will vary in importance

and significance depending on the type

of facility proposed, there are items of

expense related to the operation of the

physical plant which must be addressed

in a maintenance and operation plan

(tribe assumes responsibility) or letter of

commitment (entity other than tribe will

assume these responsibilities). These

items include daily or other periodic

maintenance activities; repairs such as

replacing broken windows; capital

improvements or replacement reserves

for repairs such as replacing the roof;

fire and liability insurance (may not be

applicable to most types of

infrastructure projects such as water and

sewer lines); and, security (may not be

applicable to many types of

infrastructure projects such as roads).

Please note that while it is possible

that the service provider may, in its

agreement with a tribe, commit itself to

cover certain or all facility O&M costs,

as defined, these O&M costs do not

include the program service provision

costs related to the delivery of services

(social, health, recreational, educational

or other) which may be provided in a

facility.

Project Cost means the total cost to

implement the project. Project cost

includes both ICDBG and non-ICDBG

funds and resources.

Section 8 standards means housing

quality standards contained in 24 CFR

982.401 (Section 8 Tenant-Based

Assistance: Unified Rule for TenantBased Assistance Under the Section 8

Rental Certificate Program and the

Section 8 Rental Voucher Program).

Standard Housing/Standard

Condition means housing that meets the

housing quality standards (HQS)

adopted by the applicant. The HQS

adopted by the applicant must be at

least as stringent as the Section 8

standards unless the ONAPs approve

less stringent standards based on a

determination that local conditions

make the use of Section 8 standards

infeasible. You may submit, before the

application due date, a request for the

approval of standards less stringent than

Section 8 standards. If you submit the

request with your application, you

should not assume automatic approval

by the ONAPs. The adopted standards

must provide for a safe house, in

physically sound condition with all

systems performing their intended

design functions; a livable home

environment and an energy efficient

building and systems that incorporate

energy conservation measures; and, an

adequate space and privacy for all

intended household members.

(I) General threshold requirement.

According to 24 CFR 1003.301(a), an

applicant that has an outstanding

ICDBG obligation to HUD that is in

arrears, or one that has not agreed to a

repayment schedule, will be

disqualified from the competition.

(J) Project specific threshold

requirements. (1) Housing Projects (New

Construction, Rehabilitation, Land

Acquisition and Homeownership

Assistance). For housing projects, you

must provide an assurance that

households that have been evicted from

HUD-assisted housing within the past

five years will not be assisted by the

proposed project except in emergency

situations. The ONAP Administrator

will review each emergency situation

proposed by an applicant on a case-bycase basis to determine whether an

exception is warranted.

You also must provide an assurance

that the proposed housing category

project is consistent with and, to the

extent possible, identified in the Indian

Housing Plan (IHP) (One-Year Financial

Resources Narrative; Table 2, Financial

Resources, Part I., Line 1E; and, Table 2,

Financial Resources, Part II) submitted

by you or on your behalf for the Indian

Housing Block Grant Program under the

Native American Housing Assistance

and Self Determination Act of 1996 (25

U.S.C. 4101 et seq.). If the IHP for the

IHBG program year that coincides with

the implementation of the ICDBG

proposed project has not been

submitted, you must provide an

assurance that when submitted, the IHP

will specifically reference the proposed

housing category project.

(2) Housing Rehabilitation Projects.

For housing rehabilitation projects, you

must adopt rehabilitation standards and

rehabilitation policies before you submit

an application. You must submit these

standards and policies with the

application. You must also provide an

assurance that:

(a) All households that receive grant

assistance under a housing

rehabilitation project will be of low and

moderate income status.

(b) Any house to be rehabilitated will

be the permanent non-seasonal

residence of the occupants; the residents

will live in the unit at least nine months

per year.

(c) Houses designated for eventual

replacement will only receive repairs

essential for the health and safety of the

occupants.

(d) Project funds will be used to

rehabilitate HUD-assisted houses only

when the tenant/homebuyer’s payments

are current or the tenant/homebuyer is

current in a repayment agreement. In

emergency situations, the ONAP

11714 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Administrator may grant exceptions to

this requirement on a case-by-case basis.

(e) Houses that have received

comprehensive rehabilitation assistance

from any ICDBG or other federal grant

program within the past 8 years will not

be assisted with ICDBG funds to make

the same repairs if the repairs are

needed as a result of abuse or neglect.

(f) Although you do not have to

provide an assurance, grant funds spent

on rehabilitation per house must fall

within the following limits for each

Area ONAP jurisdiction:

(i) Eastern/Woodlands .................. $35,000

(ii) Southern Plains ....................... 20,000

(iii) Northern Plains ....................... 35,000

(iv) Southwest ............................... 40,000

(v) Northwest ................................ 40,000

(vi) Alaska ..................................... 55,000

(3) Land Acquisition Projects. For

land acquisition projects, your

application must contain information

and documentation, such as a

preliminary plot plan or its equivalent,

establishing that there is a reasonable

ratio between the number of net usable

acres to be acquired and the number of

low and moderate income households

with documented housing needs. A

clear objective of the applicant must be

to make the most effective and

economic use of the land proposed for

acquisition.

Your application must clearly

demonstrate and document housing

assistance needs with a survey that

identifies the households to be served,

their size, income levels, and the

condition of current housing or, if

applicable, Table I, Statement of Needs

from your Tribe’s Indian Housing Plan

(IHP). The survey and/or Table I from

the IHP must be submitted with the

application.

Your application must include

evidence of a commitment and an

ability to construct at least 25 percent of

the housing units to be built on the land

proposed for acquisition. This evidence

must consist of one (or more) of the

following: a firm or conditional

commitment to construct (or to finance

the construction of) the units;

documentation that an approvable

application for the construction of these

units has been submitted to a funding

source or entity; or, documentation that

these units are specifically identified in

the Indian Housing Plan submitted on

or on behalf of the applicant as an

affordable housing resource with a

commensurate commitment of Indian

Housing Block Grant (IHBG) resources.

(4) New Housing Construction. New

housing construction can only be

implemented through a Community

Based Development Organization

(CBDO). Eligible CBDOs are described

in 24 CFR 1003.204(c). You must

provide an assurance that you

understand this requirement.

You must include in the application,

documentation supporting the following

determinations: all households to be

assisted under a new housing

construction project must be of low or

moderate income status; no other

housing is available in the immediate

reservation area that is suitable for the

households to be assisted; no other

funding sources including an Indian

Housing Block Grant can meet the needs

of the household(s) to be served; the

house occupied by the household to be

assisted is not in standard condition and

rehabilitation is not economically

feasible, the household is currently in

an overcrowded house (sharing house

with another household(s)), or the

household to be assisted has no current

residence.

Before you submit an application for

new housing construction projects, you

must adopt construction standards and

construction policies. You must identify

the building code to be used when

constructing the houses and must

document that this code has been

adopted. The building code may be a

tribal building code or a nationally

recognized model code. If it is a tribal

code, it must regulate all of the areas

and sub-areas identified in 24 CFR

200.925(b). If the code is recognized

nationally, it must be the latest edition

of one of the codes incorporated by

reference in 24 CFR 200.925(c).

You must provide an assurance that

any house to be constructed will be the

permanent non-seasonal residence of

the household to be assisted. This

household must live in the house at

least nine months per year.

(5) Homeownership Assistance

Projects. No project specific thresholds.

(6) Infrastructure. No project specific

thresholds.

(7) Buildings. If you propose a facility

that would provide health care services

funded by the Indian Health Service

(IHS), you must assure that the facility

meets all applicable IHS facility

requirements. We recognize that tribes

that are contracting services from the

IHS may establish other facility

standards. These tribes must assure that

these standards at least compare to

nationally accepted minimum

standards.

(8) Economic Development. Economic

development assistance may be

provided only when a financial analysis

is provided that shows public benefit

commensurate with the assistance to the

business can reasonably be expected to

result from the assisted project. The

analysis should also establish that to the

extent practicable, reasonable financial

support will be committed from nonfederal sources prior to disbursement of

federal funds; any grant amount

provided will not substantially reduce

the amount of non-federal financial

support for the activity; not more than

a reasonable rate of return on

investment is provided to the owner;

and that grant funds used for the project

will be disbursed on a pro-rata basis

with amounts from other sources. In

addition, it must be established that the

project is financially feasible and has a

reasonable chance of success.

Microenterprise Projects. No project

specific thresholds.

(K) Factors for Award Used To

Evaluate and Rate Applications. The

factors for rating and ranking

applications and the points for each

factor are provided below. The

maximum number of points for all

rating factors is 100. This is the

maximum any project can receive.

Rating Factor 1: Capacity of the

Applicant (35 Points)

This factor addresses the extent to

which you have the organizational

resources necessary to successfully

implement the proposed activities in a

timely manner. If applicable, past

performance in administering previous

ICDBG will be taken into consideration.

Please specifically address the existence

or availability of these resources for the

specific type of activity for which you

are applying. You must receive a

minimum of 25 points under this factor

for your proposed activity to be eligible

for funding. HUD will not rate any

projects further that do not receive a

minimum of 25 points under this factor.

Your application must include

documentation demonstrating that you

possess or can obtain managerial,

technical, and/or administrative

capability necessary to carry out the

proposed project. Your application must

address who will administer the project

and how you plan to handle the

technical aspects of executing the

project.

Your application describes the

experience and expertise of existing

staff in the implementation of the

specific activity for which you are

applying and what responsibilities they

will have in project implementation, as

well as those aspects of project

implementation that will be contracted

to outside parties. (5 points)

Your application addresses overall

project management. (5 Points)

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11715

Your application addresses financial

management. (4 Points)

Your application addresses procurement

and contract administration. (3

Points)

Your application addresses

environmental reviews. (3 Points)

Your performance in administering

ICDBG grants over the preceding 12-

month period on any open grant will be

evaluated based on the following

performance measures. If you do not

have any open ICDBG grants, then you

will receive 15 points under this subfactor.

You have had satisfactory progress in

meeting the time frames established in

the HUD-approved Implementation

Schedule for the ICDBG Program. (3

Points)

You have had timely submission of

required reports including the Annual

Status and Evaluation Report and

Federal Cash Transaction Report for the

ICDBG Program. (3 Points)

You have submitted close-out

documents to HUD in a timely manner.

Close-out documents are required for

the ICDBG program within 90 days of

completion of project activities. (3

Points)

You have submitted in a timely

fashion annual audits in accordance

with the ICDBG Program requirements.

(3 Points)

You have resolved in a timely fashion

ICDBG monitoring findings and

controlled audit findings or no findings

in current reports. (3 Points)

Rating Factor 2: Need/Extent of the

Problem (25 Points)

This factor addresses the extent to

which there is a need for the proposed

project to address a documented

problem among the intended

beneficiaries.

Your application includes

documentation demonstrating that the

proposed project meets an essential

community development need by

fulfilling a function that is critical to the

continued existence or orderly

development of the community. (10

points)

For public facilities and

improvements and economic

development projects, the proposed

activities benefit the neediest segment of

the population, as identified below. You

must include information demonstrating

that income data were collected in a

statistically reliable and independently

verifiable manner.

85 percent or more of the beneficiaries

are low or moderate income. (15 points)

At least 75 percent but less than 85

percent of the beneficiaries are low or

moderate income. (10 points)

At least 55 percent but less than 75

percent of the beneficiaries are low or

moderate income. (5 points)

Less than 55 percent of the

beneficiaries are low or moderate

income. (0 points)

For new housing, housing

rehabilitation, land acquisition, and

homeownership assistance projects, the

proposed activities are limited to low or

moderate income beneficiaries. To

evaluate need, the applicant must

demonstrate that the amount of the

Indian Housing Block Grant (IHBG)

most recently received by the tribe or its

tribally designated housing entity

(TDHE) is not sufficient to have a

significant impact on identified housing

needs of low or moderate income

households.

The Indian tribe’s IHBG amount was

$100,000 or less in IHBG funds. (15

points)

The Indian tribe’s IHBG amount was

more than $100,000 but at most

$300,000 in IHBG funds. (10 points)

The Indian tribe’s IHBG amount was

more than $300,000 but at most

$500,000 in IHBG funds. (5 points)

The Indian tribe’s IHBG amount was

more than $500,000 in IHBG funds. (0

points)

For programs which will assist in the

development, expansion, or

stabilization of microenterprises, the

owner(s) of the microenterprise must be

low or moderate income and the

majority of the jobs created or retained

will be for low or moderate income

persons. To evaluate need, the nature of

the jobs created or retained will be

evaluated. The owners of the

microenterprises are low and moderate

income and:

All employees are low or moderate

income. (15 points)

At least 75 percent but less than 100

percent of the employees are low or

moderate income. (10 points)

At least 55 percent but less than 75

percent of the employees are low or

moderate income. (5 points)

Less than 55 percent of the employees

are low and moderate income. (0 points)

Rating Factor 3: Soundness of

Approach (25 Points)

This factor addresses the quality and

cost effectiveness of your proposal, the

degree to which your project provides

other benefits to community members,

and the commitment to sustain your

proposed activities.

(1) Your proposed project is a viable

and cost effective approach to address

the identified need. Appropriate

information to include in the

application to address this factor is a

description of other options considered

during project planning, an explanation

of how the size, type, and location of the

project, if applicable and appropriate,

were determined, and a discussion of

anticipated cost savings due to

innovative program design and/or

construction methods. (5 points)

(2) Your proposed project will

contribute to community objectives

other than the direct objective of the

project, such as job creation or

retention, education and job training

opportunities, economic selfsufficiency, homeownership, and

reduction of drug-related crime. (5

points)

(3) Your application demonstrates

your commitment to sustain your

proposed activities. This commitment

must be demonstrated in the following

project specific ways:

(a) Public facilities and

improvements. (i) If the tribe assumes

operation and maintenance

responsibilities for public facilities and

improvements, a resolution that both

adopts the operation and maintenance

plan and commits necessary funds must

be included in the application.

The plan itself is included and

addresses maintenance, repairs,

insurance, replacement reserves and

includes a cost breakdown for annual

expenses; for community buildings

only, the source of operating funds is

identified for any recreation, social or

other services to be provided by other

entity/ies and letters of commitment

from service providers are included

which address both operating expenses

and space needs. (15 points)

A resolution adopting the operation

and maintenance plan and committing

funds is included; the plan is included

and addresses most, but not all above

items, but does include a satisfactory

cost breakdown; for community

buildings only, above service provider

commitments (if applicable) as well as

the source of operating funds are

included. Information provided is

sufficient to determine that the project

will proceed effectively. (10 points)

A resolution adopting the plan and

committing funds, or a plan addressing

most of the above items is included.

Information provided is sufficient to

determine that the project will proceed

effectively. (5 points)

None of the above criteria are met. (0

points)

(ii) If an entity other than the tribe

commits to pay for operation and

maintenance for public facilities and

improvements, the application must

contain a letter of commitment from the

entity that assumes the operation and

maintenance responsibilities.

11716 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Your application contains a letter of

commitment from the entity that

identifies the maintenance

responsibilities and, if applicable,

responsibilities for operations the entity

will assume, as well as its financial

capacity to provide for these

responsibilities; for community

buildings only, the source of funds for

program service provision is identified

for any recreation, social or other

services to be provided by other entities

and letters of commitment from service

providers are included which address

both these funds and space needs. (15

points)

Your application contains a letter of

commitment identifying maintenance

responsibilities and, if applicable,

responsibilities for operations the entity

will assume, but no information

regarding the entity’s financial capacity

is included; for community buildings

only, the source of funds for program

service provision is identified for any

applicable services to be provided and

letters of commitment from applicable

providers are included which address

both these funds and space needs. (10

points)

Your application identifies the

maintenance provider and, if applicable,

responsibilities for operations the entity

will assume, but a letter of commitment

is not provided; for community

buildings only, letters of commitment to

provide services are included but no

information regarding the provision of

these funds or space needs is provided.

(5 points)

None of the above criteria are met. (0

points)

(b) New housing construction,

housing rehabilitation, and

homeownership assistance projects.

The ongoing maintenance

responsibilities are clearly identified for

the tribe and/or the participants, as

applicable. All participant maintenance

responsibilities are included on a

statement to be signed by the participant

as a condition of receiving grant

assistance and the statement to be used

is included in the application. (15

points)

Maintenance responsibilities are

identified, but in insufficient detail, and

the above statement to be signed by the

participant is submitted. (10 points)

Tribal maintenance responsibilities

are identified but participant

responsibilities are either not addressed

or do not exist. (5 points)

None of the above criteria are met. (0

points)

(c) Economic development. You must

include information or documentation

which addresses or provides the

following in the application: a

description of the organizational system

and capacity of the entity that will

operate the business; the feasibility and

market analysis of the proposed

business activity and the financial

viability of the project.

Appropriate documents to include in

the application to address these items

include:

(i) Articles of incorporation, by-laws,

resumes of key management positions

and board members.

(ii) Business operating plan.

(iii) Market study no more than two

years old.

(iv) Feasibility study indicating how

the proposed business will capture a fair

share of the market.

(v) Detailed cost summary for the

development of the project.

(vi) Five year operating or cash flow

financial projections.

(vii) For the expansion of an existing

business, copies of financial statements

for the most recent three years (or the

life of the business, if less than three

years).

All above documents applicable to the

proposed project are included in your

application and the chances for

financial success are excellent. (15

points)

All or most of the above documents

applicable to the proposed project are

included in your application and the

chances for financial success are

reasonable. (8 points)

Neither of the above criteria are met.

(0 points)

(d) Micro enterprise assistance. You

must include the following information

or documentation in the application:

(i) Program description: You must

submit a description of the proposed

microenterprise program, including the

types of entities that will be eligible to

apply for funds through the

microenterprise program.

(ii) Business plan. You must

demonstrate that you will require each

microenterprise applicant to submit a

business plan. You must describe your

process for reviewing and analyzing

these plans.

(iii) Underwriting. If a credit program

is intended, you must indicate what

your underwriting criteria will be. A

thorough description of the process for

how you will analyze the financial

status of microenterprise applications is

included.

(iv) Loan terms. If a credit program is

intended, you must indicate their range

of loan terms (i.e. interest rate,

maximum loan amount, duration, loan

servicing provisions) and you must also

indicate how you will determine the

terms offered to individual

microenterprise applicants.

(v) Market. You must indicate how

you will analyze the market for the

proposed microenterprise businesses

and ensure that each funded business

has a well defined market strategy.

All above documents applicable to the

proposed project are included in the

application and the chances for success

are excellent. (15 points)

All or most of the above documents

applicable to the proposed project are

included in the application and the

chances for success are reasonable. (8

points)

Neither of the above criteria are met.

(0 points)

(e) Land Acquisition: Submissions

should include the results of a

preliminary investigation conducted by

a qualified independent entity

demonstrating that the proposed site has

suitable soil conditions for housing and

related infrastructure, available drinking

water, access to utilities, vehicular

access, drainage, nearby social and

community services, and no known

environmental problems.

The submissions include all of the

above mentioned items and all

necessary infrastructure is in place. (15

points)

The submissions demonstrate that the

proposed site(s) is/are suitable for

housing but that not all necessary

infrastructure is in place. A detailed

description of resources to be used and

a detailed implementation schedule for

development of all necessary

infrastructure demonstrates that such

infrastructure, as needed for proposed

housing development, will be

developed in time for such

development, but no later than two

years after site purchase. (8 points)

Neither of the above criteria are met.

(0 points)

Rating Factor 4: Leveraging Resources

(10 Points)

HUD believes that ICDBG funds can

be used more effectively to benefit a

larger number of Native American

persons and communities if projects are

developed that use tribal resources and

resources from other entities in

conjunction with ICDBG funds. To

encourage this, we will award points

based on the percentage of non-ICDBG

resources provided relative to project

costs as follows:

Non-ICDBG resources to project

costs Points

Less than 5 percent .......................... 0

At least 5 percent but less than 10

percent .......................................... 2

At least 10 percent but less than 15

percent .......................................... 4

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11717

Non-ICDBG resources to project

costs Points

At least 15 percent but less than 20

percent .......................................... 6

At least 20 percent but less than 25

percent .......................................... 8

25 percent or more ........................... 10

Contributions which could be

considered as leveraged resources for

point award include, but are not limited

to: tribal trust funds; loans from

individuals or organizations; State or

Federal loans or guarantees; other

grants; donated goods and services

needed for the project; land needed for

the project; and, direct administrative

costs.

Contributions that will not be

considered include, but are not limited

to: indirect administrative costs as

identified in OMB Circular A–87,

attachment A, section F; contributions

of resources to pay for anticipated

operations and maintenance costs of the

proposed project; and, in the cases of

expansions to existing facilities, the

value of the existing facility.

To be considered for point award,

firm and projected commitments must

be demonstrated at the time of

application.

To demonstrate the commitment of

tribal resources, the application must

contain a council resolution or legal

equivalent that identifies and commits

the tribal resources to the project,

subject to approval of the ICDBG

assistance and favorable outcome of any

environmental review required under 24

CFR part 58 for the project.

To demonstrate the commitment of

public agency, foundation, or other

private party resources, a letter of

commitment, memorandum of

understanding, and/or agreement to

participate, including any conditions to

which the contribution may be subject,

must be submitted with the application.

All letters of commitment must include

the donor organization’s name, the

specific resource proposed, the dollar

amount of the financial or in-kind

resource and method for valuation, and

the purpose of that resource within the

proposed project. The commitment

must be signed by an official of the

organization legally authorized to make

commitments on behalf of the

organization and must be conditional

upon favorable outcome of any

environmental review required under 24

CFR part 58 for the project.

HUD recognizes that in some cases,

firm commitments of non-tribal

resources may not be obtainable by your

tribe by the application due date. For

such projected resources, your

application must include a statement

from the contributing entity that

describes why the firm commitment

cannot be made at the current time and

affirms that your tribe and the proposed

project meets eligibility criteria for

receiving the resource. In addition, a

date by which the funding decisions

will be made must be included. This

date cannot be more than six months

from the anticipated date of grant

approval notification by HUD. Should

HUD not receive notification of the firm

commitment within 6 months of the

date of grant approval, HUD will

recapture the grant funds approved and

will use them in accordance with the

requirement of 24 CFR 1003.102.

In addition to the above requirements,

for all contributions of goods, services

and land, you must demonstrate that the

donated items are necessary to the

actual development of the project and

include comparable costs (or time

estimates, if appropriate) that support

the donation. Land valuation must be

established using one of the following

methods and the documentation must

be contained in the application: a site

specific appraisal no more than two

years old; an appraisal of a nearby

comparable site also no more than two

years old; or a reasonable extrapolation

of land value based on current area

realtor value guides.

Rating Factor 5: Comprehensiveness

and Coordination (5 Points)

This factor addresses the extent to

which your project planning and

proposed implementation reflect a

coordinated, community-based process

of identifying and addressing needs.

Your application includes a tribal

resolution stating that the proposed

project is included in an adopted

comprehensive community plan. In the

case of new housing, housing

rehabilitation, land acquisition projects,

and homeownership assistance projects,

the NAHASDA Indian Housing Plan

may be considered a comprehensive

community plan. The resolution must

identify the title and approval date of

the plan and indicate how project

implementation will be coordinated

with tribal and other efforts directed

towards addressing the identified needs.

(5 Points)

Your application documents active

participation in tribal planning efforts to

coordinate your proposed project, but

the project is not included in an

adopted comprehensive community

plan. (3 Points)

Your application contains no

documentation regarding the inclusion

of the project in a comprehensive

community plan or planning process. (0

Points)

VI. Application Submission

Requirements

(A) Demographic data. You may

submit data that are unpublished and

not generally available in order to meet

the requirements of this section. You

must certify that:

(1) Generally available, published

data are substantially inaccurate or

incomplete;

(2) Data provided have been collected

systematically and are statistically

reliable;

(3) Data are, to the greatest extent

feasible, independently verifiable; and

(4) Data differentiate between

reservation and BIA service area

populations, when applicable.

(B) Publication of Community

Development Statement. You must

prepare and publish or post the

community development statement

portion of your application according to

the citizen participation requirements of

1003.604.

(C) Application Submission. Your

application must contain the items

listed below. You must also include the

forms, standard forms, certifications,

and assurances listed in the General

Section of the SuperNOFA that are

applicable to this funding and can be

found in Appendix B to the General

Section of the SuperNOFA. Those forms

listed in that Appendix which are not

applicable to this funding are: SF 424

A—Standard Form for Budget

Information—Non-Construction

Programs; SP 424–B—Standard Form for

Assurances—Non-Construction

Programs; SP 424 C—Standard Form for

Budget Information—Construction

Programs; and, SP 424 D—Standard

Form for Assurances—Construction

Programs. In addition, if the application

has been submitted by a tribal

organization as defined in 24 CFR

1003.5(b), on behalf of an Indian tribe,

you must submit concurring resolutions

from the Indian tribe stating that the

tribal organization is applying on the

tribe’s behalf. The other required items

are as follows:

(1) Community Development

Statement that includes:

(a) Components that address the

relevant selection criteria;

(b) A brief description or an updated

description of community development

needs;

(c) A brief description of projects

proposed to address needs, including

scope, magnitude, and method of

implementing the project;

11718 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(d) A schedule for implementing the

project (form HUD–4125,

Implementation Schedule); and

(e) Cost information for each separate

project, including specific activity costs,

administration, planning, technical

assistance, and total HUD share (form

HUD–4123, Cost Summary);

(2) Certifications (form HUD 4126);

(3) A map showing project location, if

appropriate;

(4) If the proposed project will result

in displacement or temporary

relocation, a statement that identifies:

(a) The number of persons (families,

individuals, businesses, and nonprofit

organizations) occupying the property

on the date of the submission of the

application (or date of initial site

control, if later);

(b) The number to be displaced or

temporarily relocated;

(c) The estimated cost of relocation

payments and other services;

(d) The source of funds for relocation;

and

(e) The organization that will carry

out the relocation activities;

(5) If applicable, evidence of the

disclosure required by 24 CFR

1003.606(e) regarding conflict of

interest.

(6) If applicable, the demographic

data certification described in Section

IV(B) of the NOFA. The data

accompanying the certification must

identify the total number of persons

benefiting from the project and the total

number of low-and-moderate persons

benefiting from the project. Supporting

documentation should include a sample

copy of a completed survey form and an

explanation of the methods used to

collect the data, and a listing of incomes

by household.

VII. Clarifying Information

After the application due date, the

ONAPs may not, consistent with 24 CFR

part 4, subpart B, consider unsolicited

information from you. The ONAPs may,

however, but is under no obligation to,

contact you to clarify an item in the

application. You should note, however,

that the ONAPs may not seek

clarification of items or responses that

improve the substantive quality of the

applicant’s response to any eligibility or

selection criterion. The ONAPs will

make any requests for clarifying

information in writing and will specify

the item, or items, that need

clarification and a timeframe for

response. Failure on your part to

provide such requested information will

result in the rejection of the application.

VIII. Correction of Technical

Deficiencies

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

Additionally, as indicated under

Section V(G) above, only successful

applicants will be required to address

technical deficiencies and this must be

done before we make a grant award. If

you do not provide the information

necessary to address the deficiency

within the time allowed, we will not

award you the grant and will reject your

application. The ONAPs will notify you

in writing and will describe the

technical deficiency, what must be done

to correct it, and the date by which you

must submit this information. The

ONAPs will notify you by facsimile or

by return receipt requested. Your

response must be submitted

(postmarked) by no later than the date

established by the ONAPs. The ONAPs

must provide you at least 14 calendar

days to respond to the request.

IX. Error and Appeals

Judgments made within the

provisions of this NOFA and the

program regulations (24 CFR part 1003)

are not subject to claims of error. You

may bring arithmetic errors in the rating

and ranking of applications to the

attention of the ONAPs within 30 days

of being informed of your score. If an

arithmetic error was made in the

application review and rating process

that, when corrected, would result in

the award of sufficient points to warrant

the funding of an otherwise approvable

project, the ONAPs may fund that

project in the next funding round

without further competition.

X. Environmental Requirements

As required by 24 CFR 1003.605,

ICDBG grantees must perform

environmental reviews of ICDBG

activities in accordance with 24 CFR

part 58. Grantees may not commit or

expend any ICDBG or nonfederal funds

on project activities (other than those

listed in 24 CFR 58.34 or 58.35(b)) until

HUD has approved a Request for Release

of Funds and environmental

certification submitted by the grantee.

The expenditure or commitment of

ICDBG or nonfederal funds for such

activities prior to this HUD approval

may result in the denial of assistance for

the project or activities under

consideration.

XI. Authority

Title I of the Housing and Community

Development Act of 1974 (42 U.S.C.

5301 et seq.) and the regulations in 24

CFR part 1003.

Appendix A

The non-standard forms, which follow, are

required for your ICDBG application.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR THE

COMMUNITY OUTREACH

PARTNERSHIP CENTERS PROGRAM

(COPC)

Program Overview

Purpose of the Program. To provide

funds to community colleges, four-year

colleges, and universities to establish

and operate Community Outreach

Partnership Centers (COPCs) to address

the problems of urban areas.

Available Funds. Approximately $8

million.

Eligible Applicants. Public and

private nonprofit institutions of higher

education granting two- or four-year

degrees and accredited by a national or

regional accrediting agency recognized

by the U.S. Department of Education.

Application Deadline. June 1, 2001.

Match. 50% of the total costs of

establishing and operating research

activities and 25% of the total costs of

establishing and operating outreach

activities.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application is due on or

before 12:00 midnight, Eastern time, on

June 1, 2001, 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.

Your completed application consists of

an original and two copies. Submit your

completed application to: Processing

and Control Branch, Office of

Community Planning and Development,

U.S. Department of Housing and Urban

Development, 451 Seventh Street, SW,

Room 7251, Washington, DC 20410.

When submitting your application,

please refer to COPC and include your

name, mailing address (including zip

code) and telephone number (including

area code).

For Application Kits. For an

application kit and supplemental

material you should 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. When requesting an application

kit, you should refer to COPC and

provide your name, address (including

zip code), and telephone number

(including area code). You may also

download the application kit on the

Internet through the HUD web site at

http://www.hud.gov.

For Further Information and

Technical Assistance. You may contact

Jane Karadbil of HUD’s Office of

University Partnerships at (202) 708–

1537, ext. 5918. If you have a speech or

hearing impairment, you 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. You may also reach Ms.

Karadbil via the Internet at

Jane_R._Karadbil@hud.gov.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of an

application. For more information about

the date and time of this broadcast, you

should consult the HUD web site at the

web address listed above.

II. Amount Allocated

Up to $8 million has been allocated to

fund grants under the program. This

year, HUD will award two kinds of

grants—(A) New Grants to applicants

who have never received a COPC grant

before to undertake eligible work and

(B) New Directions Grants to fund

previous COPC recipients (as identified

in Section III.(B) below) to undertake

new directions in their activities.

Institutionalization Grants will not be

funded under this funding

announcement for COPC. HUD will use

up to $6.4 million to fund

approximately 16 New Grants and up to

$1.2 million to fund approximately 8

New Directions Grants.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. The main

purpose of this COPC Program is to

assist in establishing or carrying out

outreach and applied research activities

addressing the problems of urban areas.

But HUD also looks to the program to

encourage structural change, both

within an institution of higher

education and in the way the institution

relates to its neighbors. Funding under

this program is used to establish and

operate local Community Outreach

Partnership Centers (COPC). The five

key concepts that your COPC Program

should include are:

(1) Outreach, technical assistance, and

applied research should be provided to

neighborhoods and neighborhood-based

organizations based on what the

residents decide is needed, rather than

what the institution concludes is

appropriate for that neighborhood;

(2) Community-based organizations

and residents should be empowered by

the project and be your partners

throughout the life of the project and

beyond, from planning to

implementation to activities beyond the

grant;

(3) Your applied research should be

related to the outreach activities and be

used to influence your activities within

the grant period or shortly after it ends.

HUD will not fund research without

practical application;

(4) The assistance you provide should

be primarily by faculty, students, or to

a limited extent, by neighborhood

residents or community-based

organizations funded by the university;

and

(5) Your program should be part of

your institution’s broader effort to meet

its urban mission, and be supported by

its senior officials, rather than just the

work of a few faculty members. Your

proposed activities should not duplicate

those of other entities in the community

and should be appropriate for an

institution of higher education to

undertake in light of its teaching, and

research, and service missions.

(B) Eligible Applicants. Eligible

applicants for both New Grants and

New Directions Grants are public or

private nonprofit institutions of higher

education granting two- or four-year

degrees and accredited by a national or

regional accrediting agency recognized

by the U.S. Department of Education.

For New Grants, only applicants that

have never previously received a New

Grant, a New Directions Grant, or an

Institutionalization Grant are eligible.

For New Directions Grants, applicants

must meet the following requirements:

you must have received a New Grant in

FY 1994, 1995, 1996, 1997, or 1998; you

must never have received a New

Directions Grant; and you must have

drawn down (i.e., requests for

reimbursement have been processed), by

the application due date, at least 75% of

the funds you received from any

previous COPC award. Joint Community

Development Program grantees are not

eligible for either kind of funding, nor

are FY 1999 and 2000 COPC Grantees.

Consortia of eligible institutions may

apply, as long as one institution is

designated the lead applicant. Since the

Statement of Work and other facets of

the technical review are assessed in the

context of the proposed staffing, and in

order to fund as many eligible

applicants as possible, HUD has

determined that you may be part of only

one consortium or submit only one

11728 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

application or you will be disqualified.

HUD will hold you responsible for

ensuring that neither you nor any part

of your institution, including specific

faculty, participate in more than one

application. For New Directions Grants,

if you originally received funding as a

consortium, you are not required to

submit again with all the consortium

members. Members of a previously

approved consortium may submit on

their own or as part of their old

consortium. However, as with New

Grants, only one application from an

institution will be permitted.

Different campuses of the same

university system are eligible to apply,

even if one campus has already received

COPC funding. Such campuses are

eligible as separate applicants only if

they have administrative and budgeting

structures independent of other

campuses in the system.

(C) Eligible Activities. Your COPC

Program must combine research with

outreach, work with communities and

local governments and address the

multidimensional problems that beset

urban areas. To meet the threshold

requirements, your New Grant

application must be multifaceted and

address three or more urban problems

and you must propose at least one

distinct activity to address each separate

urban problem. Urban problems include

issues related to housing, economic

development, neighborhood

revitalization, infrastructure, health

care, job training, education, crime

prevention, planning, the environment,

community organizing, and other areas

deemed appropriate by the Secretary.

Single purpose applications are not

eligible. For example, if you propose to

undertake health education for

elementary school children, organizing

around health issues, and job readiness

for the health professions, HUD will

deem your application as single

purpose, because it really only

addresses the problem of health care.

Likewise, if you propose to address

housing, economic development, and

health care problems by developing a

Geographic Information System, your

application would also be considered

single purpose because it does not

propose separate and distinct activities

for each of the problems you will

address. As examples of eligible

projects, if you propose a health care

project for the elderly, a job training

program on construction trades for high

school seniors, and an affordable

housing fair, you would meet the test of

addressing three urban problems, each

with a separate activity. Alternatively, if

you propose a Geographic Information

System to identify economic

development potential, an oral history

of the neighborhood, and the creation of

block watches, you would also meet the

test. These are just examples. For more

information about the projects that have

actually been funded under the

program, you should look at the Office

of University Partnerships’ web site at

www.oup.org. If you are applying for a

New Directions Grant, you will only be

required to address two urban problems

and undertake at least one activity for

each of these problems.

The statute creating COPC is very

specific that the program address the

problems of urban areas. HUD uses the

Census definition of an urban area: a

single geographic place (e.g., a city,

town, or village, but not a county) with

a population of 2,500 or more. You

cannot meet this test by aggregating

several places smaller than the

population threshold in order to meet

this requirement.

Funded research must have a clear

near-term potential for solving specific,

significant urban problems. You must

have the capacity to apply your research

results and to work with communities

and local institutions, including

neighborhood groups, local

governments, and other appropriate

community stakeholders, in applying

these results to specific real-life urban

problems.

While the list of eligible and ineligible

activities is the same for both New Grant

applicants and New Directions Grant

applicants, New Directions Grant

applicants must demonstrate that the

proposed activities either implement

new eligible projects in the current

target neighborhood(s) or implement

eligible projects in a new target

neighborhood(s).

Eligible activities include:

(1) Research activities that have

practical application for solving specific

problems in designated communities

and neighborhoods, including

evaluation of the effectiveness of the

outreach activities. In order to ensure

that the primary focus of your project is

on outreach, research may not total

more than one-quarter of the total

project costs contained in any grant

made under this COPC funding

announcement (including the required

50% match).

(2) Outreach, technical assistance and

information exchange activities which

are designed to address specific urban

problems in designated communities

and neighborhoods. Such activities

must total no less than three-quarters of

your total project costs (including the

required 25% match). Examples of

outreach activities include, but are not

limited to:

(a) Job training and other training

projects, such as workshops, seminars,

and one-on-one and on-the-job training;

(b) Design of community or

metropolitan strategies to resolve urban

problems of communities and

neighborhoods;

(c) Innovative use of funds to provide

direct technical expertise and assistance

to local community groups, residents,

and other appropriate community

stakeholders to assist them in resolving

local problems such as homelessness,

housing discrimination, and

impediments to fair housing choice;

(d) Technical assistance in business

start-up activities for low-and moderateincome individuals and organizations,

including business start-up training and

technical expertise and assistance,

mentor programs, assistance in

developing small loan funds, business

incubators, etc;

(e) Technical assistance to local

public housing authorities on welfareto-work initiatives and physical

transformations of public or assisted

housing, including development of

accessible and visitable housing;

(f) Assistance to communities to

improve consolidated housing and

community development plans and

remove impediments to the design and

implementation of such plans;

(g) Assistance to communities to

design ways to use HUD’s Partnership

for Advancing Technology in Housing

(PATH) technology such as analyzing

building codes and building materials or

designing new building systems.

(Remember that actual physical

development activities are not eligible

under COPC.) For more information, see

the General Section of the SuperNOFA

or visit the website at www.pathnet.org;

(h) Assistance to communities to

improve their fair housing planning

process;

(i) Services to assist low-income

students to attend college, as part of the

U.S. Department of Education’s Gaining

Awareness and Readiness for

Undergraduate Program (GEAR UP).

(For more information call 202–502–

7676 or visit the Department of

Education’s website at www.ed.gov.);

and

(j) Regional projects that maximize the

interaction of targeted inner city

distressed neighborhoods with suburban

job opportunities similar to HUD’s

Bridges-to-Work or Moving to

Opportunity programs.

(3) Funds for faculty development

including paying for course time or

summer support to enable faculty

members to work on the COPC.

(4) Funds for stipends or salaries for

students (but the program cannot cover

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11729

tuition and fees) while they are working

on the COPC.

(5) Activities to carry out the

‘‘Responsibilities’’ listed under Section

IV (B) below. These activities may

include leases for office space in which

to house the Community Outreach

Partnership Center, under the following

conditions:

(a) The lease must be for existing

facilities not requiring rehabilitation or

construction;

(b) No repairs or renovations of the

property may be undertaken with

Federal funds; and

(c) Properties in the Coastal Barrier

Resource System designated under the

Coastal Barrier Resources Act (16 U.S.C.

3501) cannot be leased with Federal

funds.

(6) Components of your program may

address metropolitan or regional

strategies. You must clearly demonstrate

how:

(a) Your strategies are directly related

to what the targeted neighborhoods and

neighborhood-based organizations have

decided is needed; and

(b) Neighborhoods and neighborhood

organizations are involved in the

development and implementation of the

metropolitan or regional strategies.

(D) Ineligible Activities. Activities

ineligible for funding under this

program are as follows:

(1) Research activities that have no

clear and immediate practical

application for solving urban problems

or do not address specific problems in

designated communities and

neighborhoods.

(2) Any type of construction,

rehabilitation, or other physical

development costs.

(3) Costs used for routine operations

and day-to-day administration of

institutions of higher education, local

governments or neighborhood groups.

IV. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, grantees

must meet the following program

requirements:

(A) Grant Sizes and Terms. If you are

applying for a New Grant, you may not

request less than $250,000 nor more

than $400,000. This amount must be

spent over a three-year period, and your

budget must reflect this period. Since

the Statement of Work (in Section

VI.(G)) and the Narrative Statement

Addressing the Factors for Award (in

Section VI.(H)) are assessed in the

context of the proposed budget and

grant request, and in the interest of

fairness to all applicants, HUD will not

accept a New Grant application that is

under $250,000 or over $400,000.

If you are applying for a New

Directions Grant, you may not request a

grant that exceeds $150,000. This

amount must be spent over a two-year

period. Since the Statement of Work and

other facets of the technical review are

assessed in the context of the proposed

budget and grant request, and in the

interest of fairness to all applicants,

HUD will not accept a New Directions

application that is over $150,000.

(B) Responsibilities. You are required

to:

(1) Employ the research and outreach

resources of your institution of higher

education to solve specific urban

problems identified by communities

served by your Center;

(2) Establish outreach activities in

areas identified in your application as

the communities to be served;

(3) Establish a community advisory

committee comprised of representatives

of local institutions and residents of the

communities to be served to assist in

identifying local needs and advise on

the development and implementation of

strategies to address those issues;

(4) Coordinate outreach activities in

communities to be served by your

Center;

(5) Facilitate public service projects in

the communities served by your Center;

(6) Act as a clearinghouse for

dissemination of information;

(7) Develop instructional programs,

convene conferences, and provide

training for local community leaders,

when appropriate; and

(8) Exchange information with other

Centers.

The clearinghouse function in Section

IV(B)(6) above refers to a local or

regional clearinghouse for

dissemination of information and is

separate and distinct from the functions

in (8) above, which relate to the

provision of information to the

University Partnerships Clearinghouse,

which is the national clearinghouse for

the program.

(C) Cap on Research Costs. No more

than 25% of your total project costs

(Federal share plus match) can be spent

on research activities. You are, however,

not required to undertake any research

as part of your project. You may apply

for a project that is totally for outreach

activities.

(D) Match. The non-Federal share may

include cash or the value of non-cash

contributions, equipment and other

allowable in-kind contributions as

detailed in 24 CFR part 84, and in

particular § 84.23 entitled ‘‘cost sharing

or matching.’’ You may not count as

match any costs that would be ineligible

for funding under the program (e.g.,

housing rehabilitation).

(1) If you are a New Grant applicant,

you must meet the following match

requirements:

(a) Research Activities. 50% of the

total project costs of establishing and

operating research activities.

(b) Outreach Activities. 25% of the

total project costs of establishing and

operating outreach activities.

(2) If you are a New Directions Grant

applicant, you must meet the following

match requirements:

(a) Research Activities. 60% of the

total project costs of establishing and

operating research activities.

(b) Outreach Activities. 35% of the

total project costs of establishing and

operating outreach activities.

In previous competitions, some

applicants incorrectly based their match

calculations on the Federal grant

amount, not the total project costs. An

example of how you should calculate

the match correctly and a worksheet for

the calculation are included in the

application kit. The worksheet, which is

also included in the program area

section of the SuperNOFA, should be

included with your application.

(E) Administrative. Your grant will be

governed by the provisions of 24 CFR

part 84 (Grants and Agreements with

Institutions of Higher Education,

Hospitals, and Other Non-Profit

Organizations), A–21 (Cost Principles

for Education Institutions), and A–133

(Audits of States, Local Governments,

and Non-Profit Organizations. You may

not spend more than 20% of your grant

on planning or administrative costs. The

application kit contains a detailed

explanation of what these costs are. You

can access the OMB circulars at the

White House website at http://

whitehouse.gov/WH/EOP/OMB/html/

circulars.

V. Application Selection Process

There will be two separate

competitions—one for New Grants and

one for New Directions Grants. For each

type of grant, applications will be rated,

ranked, and selected separately. Two

types of reviews will be conducted: a

threshold review to determine your

application’s eligibility; and a technical

review to rate your application based on

the rating factors in Section V.(A)

below.

(A) Additional Threshold

Requirements For Funding

Consideration. Under the threshold

review, your application can only be

rated if you are both in compliance with

the requirements of the General Section

of the SuperNOFA and if the following

additional standards are met:

11730 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(1) You have met the statutory match

requirements, if applying for a New

Grant or the higher match levels

described above, if applying for a New

Directions Grant.

(2) You have proposed a program in

which at least 75% of the total project

costs will be for outreach activities.

(3) For New Grants, you have

requested a Federal grant between

$250,000 and $400,000. For New

Directions Grants, you have requested a

Federal grant that is no more than

$150,000.

(4) You have addressed at least three

urban problems, such as affordable

housing, fair housing, economic

development, neighborhood

revitalization, infrastructure, health

care; job training, education, crime

prevention, planning, the environment,

and community organizing and have

proposed at least one separate and

distinct activity for each problem you

propose to address.

(5) You and any part of your

organization are participating in only

one application.

(6) Your project will operate in an

urban area.

(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 102. This

includes two EZ/EC bonus points, as

described in the General Section of the

SuperNOFA. Unless otherwise noted,

New Grant applications and New

Directions Grant applications will

receive the same number of points on a

given factor.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (15 Points)

This factor addresses the extent to

which you have 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) For New Grants (15 points): For

New Direction Grants (7 points).

(a) The knowledge and experience of

your 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, relevant and successful

experience of your staff to undertake

eligible program activities. In rating this

factor, HUD will consider experience

within the last 5 years to be recent;

experience pertaining to the specific

activities being proposed to be relevant;

and experience producing specific

accomplishments to be successful. The

more recent the experience and the

more experience your own staff

members who work on the project have

in successfully conducting and

completing similar activities, the greater

the number of points you will receive

for this rating factor. The following

categories will be evaluated:

(i) Undertaking research activities in

specific communities that have a clear

near-term potential for practical

application to significant urban issues,

such as affordable housing, fair housing

including accessible and visitable

housing, economic development,

neighborhood revitalization,

infrastructure, health care, job training,

education, crime prevention, planning,

and community organizing;

(ii) Undertaking outreach activities in

specific communities to solve or

ameliorate significant urban issues;

(iii) Undertaking projects with

community-based organizations or local

governments; and

(iv) Providing leadership in solving

community problems and making

national contributions to solving longterm and immediate urban problems.

(2) For New Directions Grants only (8

points). The extent to which you

performed successfully under your

previous COPC grant(s), as measured by:

(a) Your achievement of specific

measurable outcome objectives;

(b) Your leveraging of funding beyond

the funds originally proposed to be

leveraged for that project; and

(c) The effectiveness of your

administration of any previous COPC

grants (including the timeliness and

completeness of your compliance with

COPC reporting requirements and your

ability to have resolved problems which

presented themselves during the grant

period). In addressing timeliness of

reports, you should compare when your

reports were due with when they were

actually submitted.

Rating Factor 2: Need/Extent of the

Problem (15 Points)

This factor addresses the extent to

which there is a need for funding your

proposed program activities and your

indication of the urgency of meeting the

need in the target area. In responding to

this factor, you will be evaluated on the

extent to which you document the level

of need for the proposed activity and the

urgency in meeting the need.

You should use statistics and analyses

contained in a data source(s) that is

sound and reliable. To the extent that

the targeted community’s Consolidated

Plan and Analysis of Impediments to

Fair Housing Choice (AI) identify the

level of the problem and the urgency in

meeting the need, you should include

references to these documents in your

response.

If the proposed activity is not covered

under the scope of the Consolidated

Plan and Analysis of Impediments to

Fair Housing Choice (AI), you 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 Census reports,

Continuum of Care gaps analysis, law

enforcement agency crime reports,

Public Housing Authorities’

Comprehensive Plan, and other sound

and reliable sources appropriate for

your program. You may also address

needs in terms of fulfilling court orders

or consent decrees, settlements,

conciliation agreements, and voluntary

compliance agreements.

To the extent possible, the data you

use should be specific to the area where

the proposed activity will be carried

out. You should document needs as

they apply to the area where activities

will be targeted, rather than the entire

locality or state.

Rating Factor 3: Soundness of

Approach (50 Points)

This factor addresses the quality and

cost-effectiveness of your proposed

work plan. There must be a clear

relationship between your proposed

activities, community needs and the

purpose of the program funding for you

to receive points for this factor. The

factor will be evaluated based on the

extent to which the proposed work plan

will:

(1) (10 points) Identify the specific

services or activities to be performed.

Note that you are not required to

undertake research as part of the grant.

In reviewing this subfactor, HUD will

consider the extent to which:

(a) There is a clear research agenda;

(i) With identifiable research projects

and outcomes (e.g., reports, surveys,

etc.)

(ii) That identifies each task and who

will be responsible for it;

(iii) Which is tied to the outreach

agenda (e.g., if you proposed to study

the extent of housing abandonment in a

neighborhood and then design a plan for

reusing this housing, you would be able

to demonstrate the link between your

proposed research and outreach

strategies); and

(iv) Which does not duplicate

research by your institution or by others

for the target area previously completed

or currently underway. If other

complementary research is underway,

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11731

you need to describe how the proposed

research agenda would complement it.

(b) There is a clear outreach agenda:

(i) With identifiable outreach projects;

(ii) That identifies each task and who

will be responsible for it;

(iii) That involves your institution as

a whole (i.e., many academic disciplines

and administrative offices);

(iv) That provides for on-site or

frequent presence in the target area; and

(v) That does not duplicate outreach

activities by your institution or others

for the target area previously completed

or currently underway.

(2) (10 points) Involve the

communities to be served in a

partnership for the planning and

implementation of your activities. In

reviewing this subfactor, HUD will look

at the extent to which:

(a) You have formed or will form one

or more Community Advisory

Committees, representative of the

communities’ diversity (including

businesses, community groups,

residents, and others) to be served to

develop and implement strategies to

address the needs identified in Factor 2.

You will be expected to demonstrate

that you have already formed such a

committee(s) or secured the

commitment of the appropriate persons

to serve on the committee(s), rather than

just describing generally the types of

people whose involvement you will

seek.

(b) You have involved a wide range of

neighborhood organizations and local

government entities in the identification

of your research and outreach activities.

(c) The committee and your partners

will play an active role in all stages of

the project and will not serve as merely

advisors or monitors.

(d) Your outreach agenda includes

training projects for local community

leaders, for example, to increase their

capacity to direct their organizations or

undertake various kinds of community

development projects.

(3) (6 points) Help solve or address an

urgent problem as identified in Rating

Factor 2 and will achieve the purposes

of the program within the grant period.

In reviewing this subfactor, HUD will

look at the extent to which:

(a) You identify specific time phased

and measurable objectives to be

accomplished; your proposed short and

long term program objectives to be

achieved as a result of the proposed

activities; the tangible and measurable

impacts your work program will have

on the community in general and the

target area or population in particular

including affirmatively furthering fair

housing for classes protected under the

Fair Housing Act; and the relationship

of your proposed activities to other

ongoing or proposed efforts to improve

the economic, social or living

environment in the impact area; and

(b) Grant funds will pay for activities

you conduct directly, rather than

passing funds through to other entities

(In order for your application to be

competitive, no more than 25 percent of

your grant funds should be passed to

other entities); and

(c) The activities you propose to

undertake are pressing and urgent

needs, as identified in the documents

described in Factor 2.

(4) (4 points) Potentially yield

innovative strategies or ‘‘best practices’’

that can be replicated and disseminated

to other organizations, including

nonprofit organizations, State and local

governments. In reviewing this

subfactor, HUD will assess your

demonstrated ability to disseminate

results of research and outreach

activities to other COPCs and

communities. HUD will evaluate your

past experience and the scope and

quality of your plan to disseminate

information on COPC results, strategies,

and lessons learned through such means

as conferences, cross-site technical

assistance, publications, etc. The more

proactive your plan for providing

information to a wide range of

audiences, the greater the number of

points you will receive.

(5) (8 points) HUD priorities;

(a) (3 points) Further and support the

policy priorities of HUD including:

(i) Promoting healthy homes;

(ii) Providing opportunities for selfsufficiency, particularly for persons

enrolled in welfare to work programs;

(iii) Enhancing ongoing efforts to

eliminate drugs and crime from

neighborhoods through program policy

efforts such as ‘‘One Strike and You’re

Out’’ or the ‘‘Officer or Teacher Next

Door’’ initiative;

(iv) Providing educational and job

training opportunities through such

initiatives as GEAR UP, Neighborhood

Networks, Twenty/20 Education

Communities (formerly known as

Campus of Learners) and linking to

AmeriCorps activities; or

(v) HUD’s Partnership for Advancing

Technology in Housing (PATH)

initiative.

The Healthy Homes initiative

implements a series of activities to

protect children from home hazards

such as lead-based paint, radon, fires,

and accidents around the home.

The GEAR UP initiative promotes

partnerships between colleges and

middle or junior high schools in lowincome communities, to help teach

students how they can go to college by

informing them about college options,

academic requirements, costs, and

financial aid, and by providing support

services, including tutoring, counseling,

and mentoring.

The Neighborhood Networks initiative

enhances the self-sufficiency,

employability, and economic selfreliance of low-income families and the

elderly living in HUD-insured and HUDassisted properties by providing them

with on-site access to computer and

training resources.

The Twenty/20 Education

Communities initiative is designed to

transform public housing into safe and

livable communities where families

undertake training in new

telecommunications and computer

technology and partake in educational

opportunities and job training

initiatives.

The Partnership for Advancing

Technology in Housing (PATH)

initiative is a voluntary public/private

partnership that seeks to speed the

creation and widespread use of

advanced technologies in order to

radically improve the quality,

durability, energy efficiency, and

environmental performance and

affordability of housing. For more

information, you can go to the PATH

web site at www.pathnet.org.

(b) (5 points) Include activities that

affirmatively further fair housing, for

example:

(i) Working with other entities in the

community to overcome impediments to

fair housing, such as discrimination in

the sale or rental of housing or in

advertising, provision of brokerage

services, or lending;

(ii) Promoting fair housing choice

through the expansion of

homeownership opportunities and

improved quality of services for

minorities, families with children, and

persons with disabilities; or

(iii) Providing housing mobility

counseling services.

(6) For New Grants (12 points): For

New Directions Grants (7 points). Result

in the COPC function and activities

becoming part of the urban mission of

your institution and being funded in the

future by sources other than HUD. The

bases for rating an application for this

selection factor will be different,

depending on whether the application is

for a New Grant or a New Directions

Grant.

In reviewing this subfactor for a New

Grant, HUD will consider the extent to

which:

(a) COPC activities relate to your

institution’s urban mission; demonstrate

support and involvement of the

institution’s executive leadership; are

11732 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

linked by a formal organizational

structure to other units related to

outreach and community partnerships;

are reflected in budget and planning

documents; are part of a climate that

rewards faculty work on these activities

through promotion and tenure policies;

benefit students because they are part of

a service learning program or

professional training at your institution

(rather than just volunteer activities);

and are reflected in your curriculum.

HUD will look at your institution’s

commitment to faculty and staff

continuing work in COPC

neighborhoods or replicating successes

in other neighborhoods and to your

longer term commitment (e.g., five years

after the start of the COPC) of hard

dollars to COPC work. HUD will

consider the extent to which your

proposed activities are appropriate for

an institution of higher education

because they are tied to your

institution’s teaching or research

mission. In addition, HUD will consider

the extent to which your faculty, staff

and students from across many

disciplines are involved in COPC-like

activities as a way of demonstrating

your institution’s commitment to these

kinds of activities.

(b) You have received commitments

for funding from sources outside the

university for related COPC-like projects

and activities in the targeted

neighborhood or other distressed

neighborhoods. Funding sources to be

considered include, but are not limited

to, local governments, neighborhood

organizations, private businesses, your

institution, and foundations.

In reviewing this subfactor for a New

Directions Grant, HUD will consider the

extent to which your New Directions

project will sustain the institutional

capacity and commitment of your

institution to undertake outreach

activities. HUD will be looking for

increases in the number of faculty

undertaking this kind of work, increases

in the number of courses linked to

outreach activities and the number of

students taking these courses, formal

changes in institutional policies related

to support of outreach, and other

measures of the impact of this work on

your institution.

(7) For New Direction Grants only (5

points). Previous grantees have a wealth

of knowledge that they can and should

share with other institutions. If you

send a faculty member of your team

who has been listed in your application

to participate in the peer review process

for New Grants, you will receive 5

points.

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. This factor measures

the extent to which you have

established partnerships with other

entities to secure additional resources to

increase the effectiveness of your

proposed program activities. Resources

may include funding or in-kind

contributions, such as services or

equipment, allocated to the purpose(s)

of the award you are seeking. Resources

may be provided by governmental

entities, public or private nonprofit

organizations, for-profit private

organizations, or other entities willing

to establish partnerships with you. You

may also establish partnerships with

funding recipients in other grant

programs to coordinate the use of

resources in the target area. In

evaluating this factor, HUD will allocate

points as follows:

(1) Five (5) points will be awarded for

a match that is 50% over the required

match, as described in Section IV(D)

above. Fewer points will be assigned

depending on the extent of the match.

Matching funds must be provided

unconditionally in order to be counted

for this factor.

HUD is concerned that applicants

should be providing hard dollars as part

of their matching contributions to

enhance the tangible resources going

into targeted neighborhoods. Thus,

while indirect costs can count towards

meeting the required match, they will

not be used in calculating match

overage. Only direct costs can count in

this factor.

(2) Up to an additional 5 points will

be awarded for the extent to which you

document that matching funds are

provided from eligible sources other

than your institution (e.g., funds from

the city, including CDBG, other State or

local government agencies, public or

private organizations, or foundations).

Fewer points will be assigned

depending on the extent of the outside

match.

You must provide evidence of

leveraging/partnerships by including in

the application letters of firm

commitment, memoranda of

understanding, or agreements to

participate from any entity, including

your own institution, that will be

providing matching funds to the project.

Each letter of commitment,

memorandum of understanding, or

agreement to participate should include

the organization’s name, proposed total

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. Unless matching funds are

accompanied by a commitment letter,

they will not be counted towards the

match.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

This factor addresses the extent to

which you coordinated your activities

with other known organizations,

participate or promote participation in

your community’s Consolidated

Planning process, and are working

towards addressing a need in a holistic

and comprehensive manner through

linkages with other activities in the

community. If you propose to work in

a Community Development Block Grant

(CDBG) non-entitlement jurisdiction,

you will only need to address subfactors

(1) and (3). If you are working in a

CDBG non-entitlement area, please note

that at the beginning of the discussion

of this factor.

In evaluating this factor, HUD will

consider the extent to which you have:

(1) Coordinated your 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 you 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 Federal, State or locally

funded activities, including those

proposed or ongoing in the community.

(c) Selections. In order to be funded

under COPC, you must receive a

minimum score of 70. HUD intends to

fund at least one eligible applicant that

serves colonias, as defined by section

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11733

916(d) of the Cranston-Gonzalez

National Affordable Housing Act, as

long as the applicant receives a

minimum score of 70. HUD will select

the highest ranking colonias application

from among the rated colonias

applications.

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.

HUD reserves the right to make

selections out of rank order to provide

for geographic distribution of funded

COPCs. If HUD decides to use this

option, it will do so only if two adjacent

HUD regions do not yield at least one

fundable COPC on the basis of rank

order. If this occurs, HUD will fund the

highest ranking applicant within the

two regions as long as the minimum

score of 70 points is achieved.

After all applications have been rated

and ranked and selections have been

made, HUD may require you, if you are

selected, to participate in negotiations to

determine the specific terms of your

Statement of Work and grant budget. In

cases where HUD cannot successfully

conclude negotiations, or you fail to

provide HUD with requested

information, an award 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 that applicant.

VI. Application Submission

Requirements

You should include an original and

two copies of the items listed below. In

order to be able to recycle paper, please

do not submit applications in bound

form; binder clips or loose leaf binders

are acceptable. Also, please do not use

colored paper. Please note the page

limits for some of the items listed below

and do not exceed them.

Your application must contain the

items listed in this section. These items

include the standard forms,

certifications, and assurances listed in

the General Section of the SuperNOFA

that are applicable to this funding

(collectively, referred to as the

‘‘standard forms’’). The standard forms

can be found in Appendix B to the

General Section of the SuperNOFA. The

remaining application items that are

forms (i.e., excluding such items as

narratives), referred to as the ‘‘nonstandard’’ forms, can be found as

Appendix A to this program section of

the SuperNOFA. The items are as

follows:

(A) SF–424, Application for Federal

Assistance.

(B) HUD–424M, Federal Assistance

Funding Matrix.

(C) Application Checklist.

(D) Transmittal Letter signed by the

Chief Executive Officer of your

institution or his or her designee. If a

designee signs, your application must

include the official delegation of

signatory authority;

(E) Abstract. (1 page limit) An abstract

describing the goals and activities of

your program.

(F) Narrative statement addressing the

Factors for Award in Section V(B). (50

page limit, including letters of

commitment, tables and maps, but not

including letters of matching

commitments, the match calculation

worksheet, and budget forms). (Please

note that although submitting pages in

excess of the page limit will not

disqualify your application, HUD will

not consider the information on any

excess pages, which may result in a

lower score or failure to meet a

threshold.) For FY 2001 the statement of

work and the budget are now a part of

Factor 3, Soundness of Approach.

(1) The Statement of Work

incorporates all activities to be funded

in your application and details how

your proposed work will be

accomplished. Following an activity

and tasks under each activity format,

your Statement of Work must:

(a) Arrange the presentation of related

major activities by project functional

category (e.g., economic development,

affordable housing, capacity building),

summarize each activity, identify the

primary persons involved in carrying

out the activity, and delineate the major

tasks involved in carrying it out.

(b) Indicate the sequence in which the

tasks are to be performed, noting areas

of work which must be performed

simultaneously.

(c) Identify specific numbers of

quantifiable intermediate and end

products and objectives you will deliver

by the end of the award agreement

period as a result of the work

performed.

(c) Identify whether you propose to

work in a Community Development

Block Grant (CDBG) entitlement area or

not.

(2) Your budget presentation should

be consistent with your Statement of

Work and include:

(a) Budget Form—The budget form

(Form HUD–30003) should be used to

prepare the budget.

(b) A narrative explanation of how

you arrived at your cost estimates, for

any line item over $5,000.

(c) A statement of your compliance

with the 20% limitation on ‘‘Planning

and Administration’’ Costs.

(d) An explanation of your

compliance with the requirement that

not more than 25% of the total budget

be allocated to research activities (Form

HUD–30002).

(e) An explanation of your

compliance with the matching

requirements (Form).

(3) Your narrative response should be

numbered in accordance with each

factor and subfactor.

(G) Certifications.

(1) SF–424B, Assurances for NonConstruction Programs.

(2) HUD–50071, Certification of

Payments to Influence Certain Federal

Transactions;

(3) SF–LLL, Disclosure of Lobbying

Activities (if applicable);

(4) HUD–2880, Applicant/Recipient

Disclosure/Update Form;

(5) HUD–50070, Certification of DrugFree Workplace;

(6) HUD–2992, Certification

Regarding Debarment and Suspension;

(7) HUD–2991, Certification of

Consistency with the Consolidated Plan;

and

(8) HUD–2990, Certification of

Consistency with the EZ/EC Strategic

Plan (if applicable);

(H) Acknowledgment of Receipt of

Applications (HUD–2993). If you wish

to confirm that HUD received your

application, please complete this form.

This form is optional.

(I) Client Comments and Suggestions

(HUD–2994). If you wish to offer

comments on the COPC NOFA of this

SuperNOFA or the SuperNOFA process,

please complete this form. This form is

optional.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

In accordance with 24 CFR 50.19(b) of

the HUD regulations, activities assisted

under this program are categorically

excluded from the requirements of the

National Environmental Policy Act and

are not subject to environmental review

under the related laws and authorities.

IX. Authority

This program is authorized under the

Community Outreach Partnership Act of

1992 (42 U.S.C. 5307 note; the ‘‘ COPC

Act’’). The COPC Act is contained in

section 851 of the Housing and

Community Development Act of 1992

(Pub.L. 102–550, approved October 28,

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1992) (HCD Act of 1992). Section 801(c)

of the HCD Act of 1992 authorized $7.5

million for each year of the 5-year

demonstration to create Community

Outreach Partnership Centers as

authorized in the COPC Act. The FY

2001 HUD Appropriations Act

continued the program beyond the

initial five-year demonstration by

providing funding for Community

Outreach Partnership Centers for FY

2001.

Appendix A

The non-standard forms, which follow, are

required for your COPC application.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR THE

HISTORICALLY BLACK COLLEGES

AND UNIVERSITIES PROGRAM

Program Overview

Purpose of the Program. To assist

HBCUs expand their role and

effectiveness in addressing community

development needs in their localities,

including neighborhood revitalization,

housing, and economic development,

principally for persons of low and

moderate income, consistent with the

purposes of Title I of the Housing and

Community Development Act of 1974.

Available Funds. Approximately $10

million.

Eligible Applicants. Only HBCUs as

determined by the Department of

Education in 34 CFR 608.2 in

accordance with that Department’s

responsibilities under Executive Order

12876, dated November 1, 1993, are

eligible for funding under the HBCU

Program.

Application Deadline. June 1, 2001.

Match: None

Additional Information

If you are interested in applying for

funding under the HBCU program,

please review carefully the General

Section of this SuperNOFA and the

following additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application is due on or

before 12:00 midnight, Eastern time, on

June 1, 2001, at HUD Headquarters with

a copy to the appropriate HUD CPD

Field Office.

See the General Section of this

SuperNOFA for specific procedures

covering the form of application

submission (e.g., mailed applications,

express mail, overnight delivery, or

hand carried).

Address for Submitting Applications.

Your completed application consists of

one original and two copies of your

application. Submit your original signed

application and one of the two copies to

the following address: Processing and

Control Branch, Office of Community

Planning and Development, Department

of Housing and Urban Development,

451 Seventh Street, SW, Room 7251,

Washington, DC, 20410. When

submitting your application, please refer

to the HBCU Program, and include your

name, mailing address (including zip

code) and telephone number (including

area code).

Copies of Applications to HUD

Offices. To facilitate processing and

review of your application, submit one

copy (the second copy) to the

Community Planning and Development

(CPD) Director in the appropriate HUD

Field Office for the HBCU by 6:00 pm,

local time, on June 1, 2001.The list of

HUD Field Offices with CPD Directors is

included in Appendix A.

HUD will accept only one application

per HBCU. If HUD receives more than

one application from a single HBCU,

HUD will ask the HBCU to identify

which application it wants evaluated. If

the HBCU does not respond within the

stipulated period (see Section V of the

General Section of this SuperNOFA), all

of the applications received from the

HBCU will be disqualified. You should

take this policy into account to ensure

that multiple applications are not

submitted.

For Application Kits. For an

application kit and any supplemental

materials, you should call the

SuperNOFA Information Center at 1–

800–HUD–8929. If you have a hearing or

speech impairment please call the

Center’s TTY number at 1–800–HUD–

2209. When requesting an application

kit, you should refer to the HBCU

Program and provide your name,

address (including zip code), and

telephone number (including area code).

You may also download the application

on the Internet through the HUD web

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

For Further Information and

Technical Assistance. You may contact

Delores Pruden or Ophelia Wilson,

Historically Black Colleges and

Universities Program, Office of the

Deputy Assistant Secretary for

Economic Development, Community

Planning and Development, Department

of Housing and Urban Development,

451 Seventh St, SW, Washington, DC

20410; telephone (202) 401–6367. (This

is not a toll-free number.) If you have a

hearing or speech impairment, you may

access this number via TTY by calling

the Federal Information Relay Service

toll-free at 1–800–877–8339. You may

also obtain information from the HUD

Field Office located in your geographic

area. Appendix A contains the names,

addresses and telephone numbers of the

HUD Field Offices. For general

information and information regarding

training on this HBCU Program section

of the SuperNOFA, you can call the

SuperNOFA Information Center at 1–

800–HUD–8929.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov.

II. Amount Allocated

Approximately $10 million is being

made available for funding under this

program section of the SuperNOFA.

Additional funds may be available if

funds are recaptured, deobligated,

appropriated or otherwise made

available during the fiscal year.

(A) Allocation of Funding. In order to

ensure that some previously unfunded

HBCUs will receive awards in this

competition, approximately $1.5 million

of the available funds will be awarded

to HBCUs that have not previously been

funded under the HUD HBCU program.

The FY 1991 competition was the first

funded under the current HBCU

Program authorization, section 107(b)(3)

of the Housing and Community

Development Act of 1974. Previously

unfunded HBCUs are listed in

Appendix B of this HBCU Program

section of the SuperNOFA.

The remaining approximately $8.5

million of FY 2001 funds will be

awarded to HBCUs that have received

funding under such competitions.

Previously funded HBCUs are listed in

Appendix C of this HBCU Program

section of the SuperNOFA.

If recaptured funds are made

available, those funds will also be

divided proportionately between the

two types of applicant funding pools.

HUD reserves the right to make

awards for less than the maximum

amount or less than the amount

requested in a particular application.

Awards will be made in the form of

grants. The maximum amount awarded

to previously unfunded applicants will

be up to $300,000 and the maximum

amount awarded to previously funded

applicants will be up to $500,000.

(B) Term of Grant. The maximum

period for performance of your

proposed program under this

SuperNOFA for the HBCU Program is 24

months. The performance period will

commence on the effective date of your

grant agreement.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description.

Approximately $10,000,000 is available

in funding for the Historically Black

Colleges and Universities (HBCU)

Program. The HBCU Program assists

HBCUs expand their role and

effectiveness in addressing community

development needs in their localities,

including neighborhood revitalization,

housing, and economic development,

consistent with the purposes of Title I

of the Housing and Community

Development Act of 1974.

(1) For the purposes of this program,

the term ‘‘locality’’ includes any city,

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county, town, township, parish, village,

or other general political subdivision of

a State or the U.S. Virgin Islands within

which an HBCU is located.

(2) If your HBCU is located in a

metropolitan statistical area (MSA), as

established by the Office of Management

and Budget, you may consider your

locality to be one or more of these

entities within the entire MSA. The

nature of the locality for each HBCU

may differ, therefore, depending on its

location.

(3) A ‘‘target area’’ is the locality or

the area within the locality in which

your HBCU will implement its proposed

HUD grant activities.

(B) Eligible Applicants. Only HBCUs

as determined by the Department of

Education in 34 CFR 608.2 in

accordance with that Department’s

responsibilities under Executive Order

12876, dated November 1, 1993, are

eligible for funding under the HBCU

Program. As indicated in Section

II(A)(1) and (2), funds available under

this program will be split between two

classes of HBCU applicant, which will

be rated, ranked, and selected

separately.

(C) Eligible Activities. (1) General.

Each activity you propose for funding

must meet both a Community

Development Block Grant (CDBG)

Program national objective AND the

CDBG eligibility requirements. Eligible

activities that may be funded under the

HBCU Program are those activities

eligible for CDBG funding. The eligible

activities are listed in 24 CFR part 570,

subpart C, particularly §§ 570.201

through 570.206. Additionally, not less

than 51% of the aggregated

expenditures of a grant must benefit low

and moderate income persons under the

criteria specified in 24 CFR 570.208(a)

or 570.208(d)(5) or (6).

(2) National Objectives. Each activity

that may be funded under this

SuperNOFA for the HBCU Program

must meet one of the three national

objectives of the Community

Development Block Grant program

which are:

(a) Benefit to low- or moderateincome persons;

(b) Aid in the prevention or

elimination of slums or blight; or

(c) Meet other community

development needs having a particular

urgency because existing conditions

pose a serious and immediate threat to

the health and welfare of the

community, and other financial

resources are not available to meet such

needs.

Criteria for determining whether an

activity addresses one or more of these

objectives are provided at 24 CFR

570.208.

(3) Examples of Eligible Activities.

Examples of activities that generally can

be carried out with these funds include,

but are not limited to:

(a) Acquisition of real property;

(b) Clearance and demolition;

(c) Rehabilitation of residential

structures including lead-based paint

hazard evaluation and reduction; and

making accessibility and visitability

modifications in accordance with the

requirements of section 504 of the

Rehabilitation Act of 1973;

(d) Acquisition, construction,

reconstruction, rehabilitation, or

installation of public facilities and

improvements, such as water and sewer

facilities and streets;

If you are proposing to undertake any

of the activities listed in (a) through (d),

you will be required to provide at least

two reasonable appraisals/estimates,

from a qualified entity other than the

HBCU, of the cost to complete the

activities. This information is to be

submitted with your application. Such

an entity must be involved in the

business of housing rehabilitation,

construction, and/or management;

(e) Relocation payments and other

assistance for permanently and

temporarily relocated individuals,

families, businesses, nonprofit

organizations, and farm operations

where the assistance is:

(i) Required under the provisions of

24 CFR 570.606(b) or (c); or

(ii) Determined by the grantee to be

appropriate under the provisions of 24

CFR 570.606(d);

(f) Direct homeownership assistance

to low- and moderate-income persons,

as provided in section 105(a)(25) of the

Housing and Community Development

Act of 1974;

(g) Special economic development

activities described at 24 CFR 570.203;

(h) Assistance to facilitate economic

development by providing technical or

financial assistance for the

establishment, stabilization, and

expansion of microenterprises,

including minority enterprises;

(i) Establishment of a new or

stabilization of an existing Community

Development Corporation (CDC) to

undertake or continue HBCU eligible

activities. If you are proposing a

Community Development Corporation

(CDC) component, it may qualify for

Community Based Development

Organization (CBDO) activities;

(j) Assistance to a (CBDO) to carry out

a CDBG neighborhood revitalization,

community economic development, or

energy conservation project, in

accordance with 24 CFR 570.204. This

could include activities in support of a

HUD approved local entitlement grantee

CDBG Neighborhood Revitalization

Strategy (NRS) or HUD approved State

CDBG Community Revitalization

Strategy (CRS); and

(k) Eligible public service activities,

including activities that provide a

continuum of care for the homeless;

adult basic education classes; GED

preparation and testing; HBCU

curriculum development of courses

which will lead to a certificate or degree

in community planning and

development; job and career counseling

and assessment; citizen participation

academies, and public access

telecommunications centers; social and

medical services; and/or other support

activities for low- and moderate-income

residents, senior citizens and youth,

including the U.S. Department of

Education’s Gaining Early Awareness

and Readiness for Undergraduate

Programs (GEAR UP). (For more

information regarding GEAR UP, call

202–502–7676 or visit the Department

of Education’s website at www.ed.gov);

(l) Fair housing services designed to

further the fair housing objectives of the

Fair Housing Act (42 U.S.C. 3601–20) by

making all persons, without regard to

race, color, religion, sex, national origin,

family status and/or disability aware of

the range of housing opportunities

available to them; and

(m) Payment of reasonable grant

administrative costs and carrying

charges related to the planning and

execution of community development

activities assisted in whole or in part

with grant funds. HBCU program

administrative costs may include

capacity building to enhance your HUD

HBCU previously funded activities,

and/or the creation of new activities

under this HUD HBCU grant.

Administrative activities in connection

with strengthening previous and new

activities include hiring staff,

supporting and training existing staff,

providing software and other tools to

provide administrative capability.

(4) Activities Designed to Promote

Training and Employment

Opportunities. In selecting proposed

eligible activities, we urge you to

consider undertaking activities designed

to promote opportunities for training

and employment of low-income

residents in connection with HUD

initiatives such as ‘‘Twenty/20

Education Communities (TEC) formerly

known as the Campus of Learners’’

(COL) in public housing and

‘‘Neighborhood Networks’’ (NN) in

other Federally-assisted or insured

housing. We also encourage you,

whenever feasible, to propose

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11751

implementing activities in a Federallydesignated Urban or Rural (HUD or

Department of Agriculture)

Empowerment Zone, Urban or Rural

Enterprise Community (EZ or EC), or a

HUD-approved local CDBG

Neighborhood Revitalization Strategy

Area or HUD-approved State CDBG

Community Revitalization Strategy

Area.

(5) Use of Grant Funds for the

Provision of Public Services. If you plan

to use grant funds to provide public

services, you are bound by the CDBG

statutory requirement that not more

than 15% of the total grant amount be

used for public service activities that

benefit low and moderate income

persons. Therefore, you must propose to

use at least 85% of the grant amount for

activities qualifying under an eligibility

category other than public services (as

described at 24 CFR 570.201(e)). For

example, while HUD encourages HBCUs

to use a portion of their grant funds for

curriculum development of courses that

would lead to a certificate or degree in

community planning and development,

this activity is considered a public

service and subject to the public service

cap of 15%.

If you propose an activity which

otherwise is eligible it may not be

funded if State or local law requires that

it be carried out by a governmental

entity.

The CDBG Publication entitled

‘‘Everything You Wanted to Know

About CDBG’’ discusses the regulations,

and a copy can be ordered from HUD’s

SuperNOFA Information Center at 1–

800–HUD–8929 or 1–800–HUD–2209

for the hearing impaired.

(D) Ineligible CDBG Activities are

listed at § 570.207.

IV. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, you are

subject to the following requirements:

(A) Leveraging. Although a match is

not required to qualify for funding,

applicants that provide letters

evidencing a firm commitment from

other Federal (e.g., Americorps

Programs), State, local, and/or private

sources to provide funding, and/or inkind goods or services to implement the

proposed activities will receive points

under Rating Factor 4. These letters

must be dated no earlier than the date

of this published SuperNOFA. If you do

not have evidence of leveraging, you

will receive zero (0) points for Rating

Factor 4.

Potential Sources of Assistance

• Federal, State and local

governments

• Housing Authorities

• Local or national nonprofit

organizations

• Banks and private businesses

• Foundations

• Faith Based Communities

• The HBCU

For each match, cash or in-kind

contribution to your program, you must

submit a letter from the provider on the

provider’s letterhead. A firm

commitment letter should address the

following:

• The cash amount contributed or

dollar value of the in-kind goods and/

or services committed;

• How the match is to be used;

• The date the match will be made

available and a statement that it will be

for the duration of the grant period;

• Any terms and conditions affecting

the commitment, other than receipt of a

HUD HBCU Grant; and

• The signature of the appropriate

executive officer authorized to commit

the funds and/or goods and/or services.

(B) Employment of Local Area

Residents (Section 3). Please see Section

II(E) of the General Section of this

SuperNOFA. The requirements are

applicable to certain activities that may

be funded under this program section of

the SuperNOFA.

(C) Labor Standards. If you are

awarded a grant, you must comply with

the labor standards (Davis-Bacon) as

found at 24 CFR 570.603.

(D) OMB Circulars. Your grant will be

governed by: (1) OMB Circular A–21

entitled ‘‘Cost Principles for Educational

Institutions’’; (2) OMB Circular A–133

entitled ‘‘Audits of States, Local

Governments, and Non-Profit

Organizations’’; and (3) the provisions

of 24 CFR part 84 entitled ‘‘Grants and

Agreements with Institutions of Higher

Education, Hospitals and Other

Nonprofit Organizations. You can access

the OMB Circulars at the White House

website at http://whitehouse.gov/wh/

eop/omb/html/circulars.

(E) Nondiscrimination. In addition to

the fair housing and other civil rights

assurances described under Section II

(B) of the SuperNOFA General Section,

applicants for the HBCU Program must

comply with Section 109 of the Housing

and Community Development Act of

1974, as amended. Implementing

regulations for Section 109 are found

under 24 CFR part 570, including, but

not limited to, reporting and recordkeeping requirements under 24 CFR

570.506 and 570.507.

V. Application Selection Process

(A) Rating and Ranking. (1) Threshold

Review. HUD will conduct a review to

insure that applications are complete

and consistent with the threshold

requirements of Section II(B),

Compliance with Fair Housing and Civil

Rights Laws, of the General Section of

the SuperNOFA, this HBCU Program

section of the SuperNOFA and the

HBCU Program regulations (24 CFR

570.404) before reviewing the

application for rating and ranking. The

General Section of the SuperNOFA

provides the procedures for corrections

to deficient applications.

(2) Funding of Applications. To be

considered for funding, your application

must receive a minimum score of 70 out

of the possible total of 100 points

possible for Factors 1 through 5. In

addition, two bonus points may be

awarded for EZ/EC, as described in the

General Section of the SuperNOFA.

Within each category of eligible

applicants, HUD will fund applications

in rank order, until it has awarded all

available funds for that category of

applicant, or until there are no fundable

applications remaining in that category.

If there is a tie in the point scores of two

applications, the rank order will be

determined by the score on Rating

Factor 3, 4, 2, 1, 5 in that order. HUD

will give the higher rank to the

application with the most points for a

factor in the above order.

If funds remain after approving all

fundable applications within a category

of applicants, HUD may choose to add

those funds to the funds available for

the other category of applicants.

(3) After Selection. After selection, but

prior to award, you will be required to:

(a) Negotiate. After HUD has rated and

ranked all applications and HUD has

selected the competition winners, HUD

requires that all winners participate in

negotiations to determine the specific

terms of the Statement of Work and the

final grant budget. HUD will follow the

negotiation procedures described in

Section III(D) of the General Section of

the SuperNOFA.

(b) Provide Financial Management

and Audit Information. If you are

selected for funding, you will be

required to submit a copy of your most

recent audit from an Independent Public

Accountant, or the cognizant

government auditor, stating that your

financial management system meets

prescribed standards for fund control

and accountability required by OMB

Circular A–133, as codified at 24 CFR

part 84 and provides your approved

fringe benefit and overhead rates.

(B) Factors For Award Used To

Evaluate and Rate Applications. HUD

will use the Factors For Award set forth

below to evaluate applications. Your

application must contain sufficient

information for HUD to review it for its

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merits. The score for each factor will be

based on the qualitative and

quantitative aspects of your response to

that factor. You are not to exceed a total

of twenty-five (25) pages to respond to

Rating Factor 1 through 5. This

limitation applies to your narrative

response, tables, and maps, and NOT to

firm commitment letters, the

performance narrative and progress

reports for previously funded HBCUs.

The maximum number of points that

may be awarded is 102. This includes

two EZ/EC bonus points, as described in

the General Section of the SuperNOFA.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (25 Points)

This factor addresses the extent to

which you have the organizational

resources necessary to successfully

implement your proposed activities in a

timely manner. In rating this factor,

HUD will consider the extent to which:

(1) Knowledge and Experience. (5

Points for previously funded applicants

and 25 Points for previously unfunded

applicants). Your application

demonstrates the knowledge and

experience of the overall project director

and staff, including the day-to-day

program manager, consultants

(including technical assistance

providers) and contractors in planning

and managing the kinds of programs for

which funding is being requested.

Experience will be judged in terms of

recent, relevant and successful

experience of your staff to undertake

eligible program activities. In rating this

factor, HUD will consider the extent to

which your organization and staff have

recent, relevant, and successful

experience in:

(a) Undertaking specific successful

community development projects with

community-based organizations or local

governments; and

(b) Providing proven leadership in

solving community problems which

have a direct bearing on the proposed

activity.

(2) Past Performance (20 Points for

previously funded applicants) For

previously funded HBCUs, the extent to

which you have been successful with

past HUD/HBCU projects. For each open

HUD HBCU grant, you must submit

copies of the last two progress reports

and a performance narrative as outlined

in Appendix D. In applying the rating

for this subfactor, HUD will consider

your performance, including meeting

established target dates and schedules,

and amount of funds drawdown.

Rating Factor 2: Need/Extent of the

Problem (5 Points)

This factor addresses the extent to

which there is a need for funding your

proposed program activities and an

indication of the importance of meeting

the need in the target area. In

responding to this factor, you will be

evaluated on the extent to which you

document the level of need for the

proposed activities and the importance

of meeting the need.

You should use statistics and analyses

contained in one or more data sources

that are sound and reliable. To the

extent that your community’s (State or

local government’s) Consolidated Plan

and Analysis of Impediments to Fair

Housing Choice (AI) identify the level of

the problem and the urgency in meeting

the need, you should include references

to these documents in your response to

this factor. If your proposed activities

are not covered under the scope of the

Consolidated Plan and AI, you 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, HUD’s

Continuum of Care gaps analysis and its

E–MAPS (www.hud.gov/emaps), law

enforcement agency crime reports,

Public Housing Authorities’

Comprehensive Plan, community needs

analysis such as provided by the United

Way, local Urban League, the HBCU and

other sound and reliable sources

appropriate for the HBCU program. You

also may address needs in terms of

fulfilling court orders or consent

decrees, settlements, conciliation

agreements, and voluntary compliance

agreements.

To the extent possible, the data you

use should be specific to the area where

your proposed activities will be carried

out. You should document needs as

they apply to the area where the

activities will be targeted, rather than

the entire locality or State, unless the

target area is the entire locality or State.

Rating Factor 3: Soundness of

Approach (45 Points)

This factor addresses the quality and

cost-effectiveness of your proposed

work plan, the commitment of your

institution to sustain the proposed

activities, and your actions regarding

Affirmatively Furthering Fair Housing.

(1) Quality of the Work Plan (35

Points)

(a) Work Plan Impact (15 Points)

Describe how your proposed activities

will:

(i) Expand the role of the HBCU in its

community;

(ii) Alleviate and/or fulfill the needs

identified in Factor 2;

(iii) Relate to and not duplicate other

activities in the target area. Duplicative

efforts will be acceptable, if you are able

to demonstrate that there is a population

in need that is not being served;

(iv) Involve and empower the citizens

of the target area; and

(v) Be disseminated to a wide variety

of audiences, both academic and

community-based, using a wide variety

of media, including print and Internet

technology.

(b) Specific Services and/or Activities.

(15 Points) Your work plan must

incorporate all proposed activities. HUD

will consider the feasibility of success of

your program, the measurable

objectives, and how timely your

products will be delivered.

Describe each proposed activity, and

the tasks required to implement and

complete the activity. If your proposed

work activity triggers federal relocation

laws, you should discuss your plan for

temporary or permanent relocation of

occupants of units affected, including

storage or moving of household goods,

stipends and/or incentives with your

local Community Planning and

Development (CPD) Office.

Also, for each activity, describe:

(i) How it meets a CDBG national

objective;

(ii) The sequence, duration, and the

products to be delivered in 6 month

intervals, up to 24 months. You should

indicate which staff member, described

in your response to Factor 1, will be

responsible and accountable for the

deliverables; and

(iii) Measurable objectives to be

accomplished, e.g. the number of:

persons to be trained and employed;

houses to be built (pursuant to 24 CFR

570.207) or rehabilitated; minority

owned businesses to be started, etc.

(c) HUD Priorities. (5 points) The

extent to which your proposed

application will further and support the

policy priorities of HUD including:

(i) Promoting healthy homes;

(ii) Providing opportunities for selfsufficiency, particularly for persons

enrolled in welfare-to-work programs;

(iii) Enhancing on-going efforts to

eliminate drugs and crime from

neighborhoods through program policy

efforts such as ‘‘One Strike and You Are

Out’’ or the ‘‘Officer or Teacher Next

Door’’ Initiatives;

(iv) Providing educational, job

training, and homeownership

opportunities through such initiatives as

Neighborhood Networks and Twenty/20

Education Communities (TEC) (formerly

known as the Campus of Learners

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11753

(COL)), and linking programs to

Americorps activities; and

(v) The Partnership for Advancing

Technology in the Housing (PATH)

Initiative.

The Healthy Homes initiative

implements a series of activities to

protect children from home hazards

such as lead-based paint, radon, fires

and accidents around the home.

The Neighborhood Networks (NN)

Initiative enhances the self-sufficiency,

employability, and economic selfreliance of low-income families and the

elderly living in HUD-insured and HUDassisted properties by providing such

residents with on-site access to

computer and training resources.

The Twenty/20 Education

Communities (TEC) (formerly known as

the Campus of Learners (COL)) Initiative

is designed to transform public housing

into safe and livable communities where

families undertake training in new

telecommunications and computer

technology and partake in educational

opportunities and job training

initiatives.

The Partnership for Advancing

Technology in the Housing (PATH)

Initiative is a voluntary public/private

partnership that seeks to speed the

creation and widespread use of

advanced technologies in order to

radically improve the quality,

durability, energy efficiency, and

environmental performance and

affordability of housing. For more

information, you can go to the PATH

website at www.pathnet.org.

(2) Institutionalization of Project

Activities (5 Points) The extent to which

your project will result in the kinds of

activities that will be sustained by the

HBCU by becoming part of the mission

of the HBCU. HUD will look at the

HBCU’s monetary commitment to

continuing to work in the target area or

other similar areas and to its longer term

commitment of hard dollars to similar

work.

(3) Affirmatively Furthering Fair

Housing (5 Points) The extent to which

you propose to undertake activities

designed to affirmatively further fair

housing, for example:

(a) Working with other entities in the

community to overcome impediments to

fair housing, such as discrimination in

the sale or rental of housing or in

advertising, provision of brokerage

services, or lending;

(b) Promoting fair housing through the

expansion of homeownership

opportunities and improved quality of

services for minorities, families with

children, and persons with disabilities;

or

(c) Providing mobility counseling.

In evaluating this factor, HUD will

consider the extent to which your

budget is consistent with the Work Plan

and the dollars indicated on the

Standard Form (SF) 424. Your budget

submission must include:

(i) A budget summary covering the

Federal and non-Federal share of the

costs proposed by cost category

(Appendix D). You should pay

particular attention to accurately

estimating costs, determining the

necessity for and reasonableness of

costs; and correctly computing all

budget items and totals. Indirect costs

must be substantiated and approved by

the cognizant Federal agency or you

must provide an indirect cost rate plan.

The indirect cost rate should be

indicated in your budget;

(ii) A budget justification, which

should be a narrative statement

indicating how you arrived at your

costs. When possible, you should use

quotes from vendors or historical data.

You must support all direct labor and

salaries with mandated city/state pay

scales or other documentation; and

(iii) A budget-by-activity (Appendix

D) which includes a listing of tasks to

be completed for each activity needed to

implement the program, the overall

costs for each activity, and the cost for

each funding source.

You must submit at least two

reasonable appraisals/estimates

supplied by qualified entities, other

than the HBCU, if you are proposing to

do any of the following: acquisition of

real property; clearance and demolition;

rehabilitation of residential, commercial

and/or industrial structures; and/or

acquisition, construction, or installation

of public facilities and improvements.

You may obtain guidance for securing

these estimates from the local HUD’s

Office of Community Planning and

Development.

Rating Factor 4: Leveraging Resources

(20 Points)

This factor addresses your ability to

secure resources which can be

combined with HUD program funds to

implement the proposed activities.

In evaluating this factor, HUD will

consider the extent to which you have

secured firm commitments for

additional resources to increase the

effectiveness of your proposed

activities. Resources may include

funding or in-kind contributions, such

as services or equipment, allocated

solely for the purpose(s) of the award

you are seeking. A higher number of

points will be awarded for a cash match

than in-kind goods or services of the

same value. The maximum number of

rating points you can receive for

leveraging is twenty (20). If you do not

have evidence of a firm commitment

you will receive zero points for this

factor. Use the format in Appendix D, to

respond to this factor.

Rating Factor 5: Comprehensiveness

and Coordination (5 Points)

This factor addresses the extent to

which you have coordinated your

activities with other known

organizations, participate or promote

participation in your community’s

Consolidated Planning process, and are

working towards addressing a need in a

holistic and comprehensive manner

through linkages with other activities in

the community. For specific information

about your locality’s planning process,

contact the local Community

Development Agency or the local HUD

Field Office.

In evaluating this factor, HUD will

consider the extent to which you

demonstrate you have:

(1) Coordinated your proposed

activities with those of other groups or

organizations before submission in

order to best complement, support and

coordinate all known activities, and if

funded, the specific steps you will take

to share information on solutions and

outcomes with others. You should

describe any written agreements,

memoranda of understanding in place,

or that will be in place after award.

(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 your proposed

activities.

(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.

VI. Application Submission

Requirements

(A) Forms, Certifications and

Assurances. Your application must

contain the items listed in this Section

VI. These items include the standard

forms, certifications, and assurances

listed in the General Section of the

SuperNOFA that are applicable to this

funding (collectively referred to as the

‘‘standard forms’’). The standard forms

follow the General Section of the

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SuperNOFA. The remaining application

items that are forms (i.e., excluding such

items as narratives), referred to as the

‘‘non-standard forms’’ can be found in

Appendix D to this program section of

the SuperNOFA.

Forms applicable to the HBCU

application are as follows:

(1) Standard Form SF–424,

Application for Federal Assistance.

(2) Standard Form SF–424B,

Assurances for Non-Construction

Programs.

(3) Standard Form SF–4240,

Assurances for Construction Programs.

(4) Form HUD–HUD–50070,

Certification for a Drug-Free Workplace.

(5) Form HUD–50071, Certification of

Payments to Influence Federal

Transactions. If you did do any lobbying

then you must also complete the

Certification and Disclosure Form

Regarding Lobbying (SF–LLL).

(6) Form HUD–2880, Applicant/

Recipient Disclosure Update Report.

(7) Form HUD–2992, Certification

Regarding Debarment and Suspension.

This certification is 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).

(8) Form HUD–2991, Certification of

Consistency with the Consolidated Plan;

and

(9) Form HUD–2990, Certification of

Consistency with the EZ/EC Strategic

Plan. EZ/EC bonus points will only be

awarded when the HBCU is located

within the geographic boundaries of a

HUD or Department of Agriculture EZ/

EC. If applicable, you will need to

indicate on this form if the college or

university is located within the

geographic boundaries of the EZ/EC.

(B) Transmittal Letter. A transmittal

letter must accompany your application.

Your cover letter must be signed by the

Chief Executive Officer (usually the

President or Provost) of your institution.

If the Chief Executive Officer has

delegated this responsibility to another

official, that person may sign, but a copy

of the delegation must also be included.

(C) Letter Certifying Local Approval.

This letter certifies that the jurisdiction

in which your activities will take place

approve the implementation of your

activities.

(D) Application Checklist (Appendix

D). 

(E) Abstract/Executive Summary (one

page limit) describing the goals and

activities of your project.

(F) Narrative Statement Responding

To the Factors For Award (25 page limit,

including tables and maps, but not

including firm commitment letters, the

performance narrative and progress

reports). The narrative should be

numbered in accordance with each

factor and subfactor.

Please note that all certification forms

must be signed by the authorized

certifying official.

Also, HUD will not consider

appendices to an application. You must

submit your documentation, including

firm commitment letters, the

performance narrative and progress

reports, with your responses to the

pertinent factors in order to receive

points for it.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

Selection for award does not

constitute approval of any proposed

sites. Following selection for award,

HUD will perform an environmental

review of activities proposed for

assistance under this program part, in

accordance with 24 CFR part 50. The

results of the environmental review may

require that your proposed activities be

modified or that your proposed sites be

rejected. You are particularly cautioned

not to undertake or commit funds for

acquisition or development of proposed

properties prior to HUD approval of

specific properties or areas. Your

application constitutes an assurance

that your institution will assist HUD to

comply with part 50; will supply HUD

with all available and relevant

information to perform an

environmental review for each proposed

property; will carry out mitigating

measures required by HUD or select an

alternate property; and will not acquire,

rehabilitate, convert, lease, repair or

construct property and not commit or

expend HUD or local funds for these

program activities with respect to any

eligible property, until HUD approval of

the property is received. In supplying

HUD with environmental information,

you should use the same guidance as

provided in the HUD Handbook entitled

‘‘Field Environmental Review

Processing for HUD Colonias Initiative

Grants,’’ issued January 27, 1998.

IX. Authority

This program is authorized under

section 107(b)(3) of the Housing and

Community Development Act of 1974

(42 U.S.C. 5307(b)(3)), which was added

by section 105 of the Department of

Housing and Urban Development

Reform Act of 1989 (Pub. L. 101–235,

approved December 15, 1989). The

HBCU Program is governed by

regulations contained in 24 CFR 570.400

and 570.404, and in 24 CFR part 570,

subparts A, C, J, K, and O.

Appendices to the HBCU NOFA

A Field Office Community Planning and

Development Directors With Historically

Black Colleges And Universities Located

Within Their Jurisdiction

B Historically Black Colleges and

Universities Previously Unfunded By HUD

During Fiscal Years 1991–2000

C Historically Black Colleges and

Universities Previously Funded By HUD

During Fiscal Years 1991–2000

D HBCU Application Forms

Appendix A—Community Planning and

Development (CPD) Directors with

Historically Black Colleges and Universities

Located Within Their Jurisdiction

Harold Cole, Beacon Ridge Tower, 600

Beacon Parkway West, Suite 300,

Birmingham, AL 35209–3144, 205–290–

7630 ext. 1027

Anne Golnik, TCBY Tower, 425 West Capitol

Avenue, Suite 900, Little Rock, AR 72201–

3488, 501–324–6375

John Perry, Richard B. Russell Federal

Building, 49 Marietta Street-Five Points

Plaza, Atlanta, GA 30303–2806, 404–331–

5001 ext. 2449

Ben Cook, 601 West Broadway, PO Box 1044,

Louisville, KY, 40201–1044, 502–582–6163

ext. 214

Gregory Hamilton, Hale Boggs Federal

Building, 501 Magazine Street, 9th Floor,

New Orleans, LA 70130–3099, 504–589–

7212 ext. 3047

Joseph O’Connor, City Crescent Building, 10

South Howard Street, 5th Floor, Baltimore,

MD 21201–2505, 410–962–2520 ext. 3071

Raymond Perry, Acting, Patrick V.

McNamara Federal Building, 477 Michigan

Avenue, Detroit, MI 48226–2592, 313–226–

7908 ext. 8055

Emily Eberhardt, Doctor A. H. McCoy Federal

Building, 100 West Capitol Street, Room

910, Jackson, MS 39269–1096, 601–965–

4700 ext. 3140

Ann Wiedl, Robert A. Young Federal

Building, 1222 Spruce Street, Third Floor,

St. Louis, MO 63103–2836, 314–539–6524

Charles T. Ferebee, Koger Building, 2306

West Meadowview Rd., Greensboro, NC

27407–3707, 336–547–4005

James Nichol, Southern Bell Tower, 301 West

Bay Street, Suite 2200, Jacksonville, FL

32202–5121, 904–232–1777 ext. 2136

Carmen R. Cabrera, New San Juan Office

Building, 159 Carlos E. Chardon Avenue,

San Juan, PR 00918–0903, 787–766–5576

ext. 2005

Lana Vacha, 200 North High Street,

Columbus, OH 43215–2499, 614–469–5737

ext. 8240

David Long, 500 West Main Street, Suite 400,

Oklahoma City, OK 73102, 405–553–7569

Joyce Gaskins, The Wanamaker Building, 100

Penn Square East, Philadelphia, PA 19107–

3380, 215–656–0624 ext. 3201

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Louis E. Bradley, Strom Thurmond Federal

Building, 1835 Assembly Street, Columbia,

SC 29201–2480, 803–765–5564

Virginia Peck, John J. Duncan Federal

Building, 710 Locust Street SW, Third

Floor, Knoxville, TN 37902–2526, 865–

545–4391 ext. 121

Katie Worsham, 801 Cherry Street, Fort

Worth, TX 76102, 817–978–5951

John T. Maldonado, Washington Square, 800

Dolorosa Street, San Antonio, TX 78207–

4563, 210–475–6820 ext. 2293

Carlos Renteria, The 3600 Centre, 3600 West

Broad Street, Richmond, VA 23230–4920,

804–278–4503 ext. 3229

Ronald J. Herbert, 820 First Street NE, Suite

450, Washington, DC 20002–4205, 202–

275–0994 ext. 3163

Lynn Daniels, 339 Sixth Avenue, Sixth Floor,

Pittsburgh, PA 15222–2512, 412–644–2999

Jack Johnson, 909 SE First Avenue, Room

500, Miami, FL 33131–3028, 305–536–

4431 ext. 2223

Appendix B—Historically Black

Colleges and Universities Previously

Unfunded By HUD During Fiscal Years

1991–2000

Alabama

Concordia College

Fredd State Technical College

Selma University

Trenholm State Technical College

Arkansas

Delaware

Delaware State University

Florida

Florida Memorial College

Georgia

Morehouse School of Medicine

Paine College

Louisiana

Southern University at Shreveport/Bossier

City

Maryland

University Of Maryland Eastern Shore

Michigan

Lewis College of Business

Mississippi

Hinds Community College

Mary Holmes College

North Carolina

Barber-Scotia College

Ohio

Wilberforce University

Pennsylvania

Cheyney University of Pennsylvania

South Carolina

Clinton Junior College

Denmark Technical College

Morris College

Tennessee

Knoxville College

Lane College

Texas

Jarvis Christian College

Southwestern Christian College

Virginia

West Virginia

Bluefield State College

U.S. Virgin Islands

University of the Virgin Islands

Appendix C—Historically Black Colleges

and Universities Previously Funded By HUD

During Fiscal Years 1991–2000

Alabama

Alabama A&M University

Alabama State University

Bishop State Community College

Gadsden State Community College

J.F. Drake Technical College

Lawson State Community College

Miles College

Oakwood College

Stillman College

Talladega College

Tuskegee University

Arkansas

Arkansas Baptist College

Philander Smith College

Shorter College

University of Arkansas at Pine Bluff

District of Columbia

Howard University

University of the District of Columbia

Florida

Bethune-Cookman College

Edward Waters College

Florida A&M University

Georgia

Albany State University

Clark Atlanta University

Fort Valley State University

Interdenominational Theological Center

Morehouse College

Morris Brown College

Savannah State University

Spelman College

Kentucky

Kentucky State University

Louisiana

Dillard

Grambling State University

Southern University A & M College System

at Baton Rouge

Southern University at New Orleans

Xavier University of New Orleans

Maryland

Bowie State University

Coppin State College

Morgan State University

Mississippi

Alcorn State University

Coahoma Community College

Jackson State University

Mississippi Valley State University

Rust College

Tougaloo College

Missouri

Harris-Stowe State College

Lincoln University

North Carolina

Barber-Scotia College

Bennett College

Elizabeth City State University

Fayetteville State University

Johnson C. Smith University

North Carolina A&T State University

North Carolina Central University

St. Augustine’s College

Shaw University

Winston-Salem State University

Ohio

Central State University

Oklahoma

Langston University

Pennsylvania

Lincoln University

South Carolina

Allen University

Benedict College

Claflin College

South Carolina State University

Voorhees College

Tennessee

Fisk University

Lemoyne-Owen College

Meharry Medical College

Tennessee State University

Texas

Huston-Tillotson College

Paul Quinn College

Prairie View A&M University

Saint Philip’s College

Texas Southern University

Texas College

Wiley College

Virginia

Hampton University

Norfolk State University

Saint Paul’s College

Virginia State University

Virginia Union University

West Virginia

West Virginia State University

Appendix D

The non-standard forms, which follow, are

required for your HBCU application.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR THE

HISPANIC–SERVING INSTITUTIONS

ASSISTING COMMUNITIES

PROGRAM (HSIAC)

Program Overview

Purpose of the Program. To assist

Hispanic-serving institutions of higher

education (HSIs) expand their role and

effectiveness in addressing community

development needs in their localities,

consistent with the purposes of Title I

of the Housing and Community

Development Act of 1974, as amended.

Available Funds. Approximately $6.5

million.

Eligible Applicants: Only nonprofit

Hispanic-serving institutions of higher

education that meet the definition of an

HSI established in Title V of the 1998

Amendments to the Higher Education

Act of 1965 (Pub.L. 105–244; enacted

October 7, 1998).

Application Deadline. June 1, 2001.

Match. None.

Additional Information

If you are interested in applying for

funds under the Hispanic-serving

Institutions Assisting Communities

Program (HSIAC), please review

carefully the General Section of this

SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application is due on or

before 12:00 midnight, Eastern time, on

June 1, 2001 at HUD Headquarters.

See the General Section of this

SuperNOFA for specific procedures

covering the form of the application

submission (e.g., mailed applications,

express mail, overnight delivery, or

hand carried).

Address for Submitting Applications.

Your completed application consists of

an original signed application and two

copies of the application. Submit your

completed application to the following

address: Processing and Control Branch,

Office of Community Planning and

Development, Department of Housing

and Urban Development, 451 Seventh

Street, SW, Room 7251, Washington,

DC, 20410. When submitting your

application, please refer to HSIAC and

include your name, mailing address

(including zip code), and telephone

number (including area code).

HUD will accept only one application

per HSI campus for this program. If your

institution submits more than one

application, per campus, HUD will ask

you to identify which application you

want evaluated. Only one application

may be evaluated. If you do not respond

within the stipulated cure period (see

Section V of the General Section of this

SuperNOFA), all of your applications

will be disqualified. You should take

this policy into account and take steps

to ensure that multiple applications are

not submitted.

For Application Kits. For an

application kit and any supplemental

material, you should call the

SuperNOFA Information Center at 1–

800–HUD–8929. If you have a hearing or

speech impairment, please call the

Center’s TTY number at 1–800–HUD–

2209. When requesting an application

kit, you should refer to HSIAC and

provide your name and address

(including zip code) and telephone

number (including area code). You may

also access the application on the

Internet through the HUD web site at

www.hud.gov/grants.

For Further Information and

Technical Assistance. You may contact

Jane Karadbil of HUD’s Office of

University Partnerships at 202–708–

1537, extension 5918. If you have a

hearing or speech impairment, you may

access this number via TTY by calling

the Federal Information Relay Service

toll-free at 1–800–877–8339. You may

also write to Ms. Karadbil via email at

Jane_R._Karadbil@hud.gov.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov/grants.

II. Amount Allocated

Approximately $6.5 million in FY

2001 funds is being made available

under this SuperNOFA for HSIAC.

The maximum grant period is 24

months. The performance period will

commence on the effective date of the

grant agreement.

The maximum amount to be

requested and awarded is $400,000.

Since the Statement of Work and other

facets of the technical review are

assessed in the context of the proposed

budget and grant request, and in the

interest of fairness to all applicants, if

you submit an application requesting

more than $400,000 in HUD funds, the

application will be ruled ineligible.

HUD reserves the right to make awards

for less than the maximum amount or

less than the amount requested in your

application.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. The purpose

of HSIAC is to assist HSIs expand their

role and effectiveness in addressing

community development needs in their

localities, including neighborhood

revitalization, housing, and economic

development.

(1) For the purposes of this program,

the term ‘‘locality’’ includes any city,

county, township, parish, village, or

other general political subdivision of a

State, Puerto Rico, or the U.S. Virgin

Islands within which your HSI is

located.

(2) A ‘‘target area’’ is the locality or

the area within the locality in which

your institution will implement its

proposed HUD grant.

(B) Eligible Applicants. Only if your

institution is a nonprofit institution of

higher education and meets the

statutory definition of an HSI in Title V

of the 1998 Amendments to the Higher

Education Act of 1965 (P.L. 105–244)

are you eligible to apply. In order for

you to meet this definition, at least 25

percent of the full-time undergraduate

students enrolled in your institution

must be Hispanic and not less than 50

percent of these Hispanic students must

be low-income individuals. You are not

required to be on the list of eligible

institutions prepared by the U.S.

Department of Education. However, if

you are not, you will be required to

certify in the application that you meet

the statutory definition. If you are one

of several campuses of the same

institution, you may apply separately

from the other campuses as long as your

campus has a separate administrative

structure and budget from the other

campuses. In addition, in order to fund

as many different HSIs as possible, you

can only apply if you did not receive an

HSIAC grant in FY 2000. If you received

an HSIAC grant in FY 1999, you may

reapply as long as: (1) you propose an

entirely new project for a different

activity;

(2) you propose a different project

director; and (3) you have drawn down

at least 75% of your previous grant by

the application due date.

(C) Eligible Activities. (1) General.

Each activity you propose for funding

must meet both a Community

Development Block Grant Program

(CDBG) national objective and the CDBG

eligibility requirements. A discussion of

the national objectives can be found at

24 CFR part 570.208. There are three

national objectives:

(a) Benefit to low- and moderateincome persons;

(b) Aid in the prevention or

elimination of slums or blight; or

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(c) Meet other community

development needs having a particular

urgency because existing conditions

pose a serious and immediate threat to

the health and welfare of the

community, and other financial

resources are not available to meet such

needs.

(You must ensure that of your aggregate

grant expenditures under paragraphs (a),

(b), and (c) above, at least 51% are for

activities benefiting low- and moderateincome persons.)

You can find the regulations

governing activities eligible under the

CDBG program at 24 CFR part 570,

subpart C, particularly §§ 570.201

through 570.206. Ineligible activities are

listed at § 570.207. The CDBG

publication entitled ‘‘Everything You

Wanted to Know About CDBG’’

discusses the regulations. You can

obtain a copy from the SuperNOFA

Information Center. If you propose an

activity which otherwise is eligible, it

may not be funded if State or local law

requires that it be carried out by a

governmental entity.

In addition, you may not propose the

construction or rehabilitation of your

institution’s facilities unless you can

demonstrate that such activities would

meet the purpose of this program to

expand the role and effectiveness of an

HSI in its locality. HUD will scrutinize

proposed activities for eligibility. As

examples of eligible and ineligible oncampus activities, rehabilitating a

library for use by your students would

not be an eligible activity, but

rehabilitating it to convert it to a microbusiness enterprise center for the

community would be; or as another

example, just undertaking your normal

activities (e.g., offering English as a

Second Language classes) would not be

considered eligible activities because

they would not expand your role and

effectiveness in community

development activities. You should call

Jane Karadbil at 202–708–1537,

extension 5918 if you have any

questions about the eligibility of any

activities you may propose. You may

also look at the Office of University

Partnerships website at www.oup.org

for summaries of last year’s winners.

(2) Examples of Eligible Activities.

Examples of activities that generally can

be carried out with these funds, under

one of the three national objectives,

include, but are not limited to:

(a) Acquisition of real property;

(b) Clearance and demolition;

(c) Rehabilitation of residential

structures to increase housing

opportunities for low- and moderateincome persons and rehabilitation of

commercial or industrial buildings to

correct code violations or for certain

other purposes, e.g., making

accessibility and visitability

modifications to housing;

(d) Direct homeownership assistance

to low- and moderate-income persons,

as provided in section 105(a)(25) of the

Housing and Community Development

Act of 1974;

(e) Acquisition, construction,

reconstruction, rehabilitation, or

installation of public facilities and

improvements, such as water and sewer

facilities and streets;

(f) Relocation payments and other

assistance for temporarily and

permanently relocated individuals,

families, businesses, and non-profit

organizations where the assistance is:

(1) Required under the provision of 24

CFR 570.606 (b) or (c); or (2) Determined

by your institution to be appropriate

under the provisions of 24 CFR

570.606(d).

(g) Lead-based paint hazard reduction,

pursuant to the CDBG regulations;

(h) Special economic development

activities described at 24 CFR 570.203,

including activities designed to promote

training and employment opportunities;

(i) Assistance to facilitate economic

development by providing technical

assistance or financial assistance for the

establishment, stabilization, and

expansion of microenterprises,

including minority enterprises.

(j) Assistance to community-based

development organizations (CBDO) to

carry out a CDBG neighborhood

revitalization, community economic

development, or energy conservation

project, in accordance with 24 CFR

570.204. This could include activities in

support of a HUD approved local CDBG

Neighborhood Revitalization Strategy

(NRS) or HUD approved State CDBG

Community Revitalization Strategy

(CRS);

(k) Establishment of a Community

Development Corporation (CDC) at the

institution to undertake eligible

activities. If you are proposing a

Community Development Corporation

(CDC) component, it may qualify for

CBDO activities;

(l) Up to 15 percent of the grant for

eligible public services activities

including:

(i) Work study programs that meet the

program requirements of the Hispanicserving Institutions Work Study

program, which can be found at 24 CFR

570.416;

(ii) Outreach and other program

activities as described in the

Community Outreach Partnership

Centers Program section of the

SuperNOFA;

(iii) Educational activities including

English as a Second Language (ESL)

classes, adult basic education classes,

GED preparation and testing, and

curriculum development of courses that

will lead to a certificate or degree in

community planning and development;

(iv) Job and career counseling,

assessment, training, and other activities

designed to promote employment

opportunities, not related to special

economic development activities;

(v) Capacity building for community

organizations;

(vi) Social and medical services for

youths, adults, senior citizens, and the

homeless;

(vii) Fair housing services designed to

further the fair housing objectives of the

Fair Housing Act (42 U.S.C. 3601–20) by

making all persons, without regard to

race, color, religion, sex, national origin,

familial status and/or disability aware of

the range of housing opportunities

available to them;

(viii) Day care services and costs for

the children of students attending your

institution;

(ix) Continuum of care services for the

homeless;

(x) Public access telecommunications

centers including Twenty/20 Education

Communities (formerly known as

Campus of Learners) and Neighborhood

Networks;

(xi) Activities to use HUD’s

Partnership for Advancing Technology

in Housing (PATH) technology;

(xii) Services to assist low-income

students to attend college, as part of the

U.S. Department of Education’s Gaining

Awareness and Readiness for

Undergraduate Program (GEAR UP).

(For more information, call 202–502–

7676 or visit the U.S. Department of

Education’s website at www.ed.gov).

(m) Up to 20% of your grant for

program administration costs related to

the planning and execution of

community development activities

assisted in whole or in part with grant

funds. Pre-award planning costs may

not be paid out of grant funds.

(D) Other Requirements. (1)

Leveraging. Although a match is not

required to qualify for funding, if you

claim leveraging from any source,

including your own institution, you

must provide letters or other

documentation evidencing the extent

and firmness of commitments of

leveraging from other Federal (e.g.,

Americorps Programs), State, local, and/

or private sources (including the

applicant’s own resources). These letters

or documents must be dated no earlier

than the date of this published

SuperNOFA. Potential sources of

leveraging assistance include: your own

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11773

institution (for both direct and indirect

costs);

Federal, State and local governments;

Housing authorities

Local or national nonprofit

organizations

Banks and private businesses;

foundations; and

Faith-based communities.

(2) Employment of Local Area

Residents (Section 3). Please see Section

II(E) of the General Section of this

SuperNOFA. The requirements are

applicable to certain activities that may

be funded under this program section of

the SuperNOFA.

(3) Labor Standards. If you are

awarded a grant, you must comply with

the labor standards (Davis-Bacon) as

found at 24 CFR 570.603.

(4) OMB Circulars. Your grant will be

governed by the provisions of 24 CFR

part 84 (Grants and Agreements with

Institutions of Higher Education,

Hospitals and other Nonprofit

Organizations), A–21 (Cost Principles

for Education Institutions, and A–133

(Audits of States, Local Governments,

and Non-Profit Organizations. The

application kit contains a detailed

explanation of what these costs are. You

can access the OMB circulars at the

White House website at http://

whitehouse.gov/wh/eop/omb/html/

circulars.

(5) Nondiscrimination. In addition to

the fair housing and other civil rights

assurances described under Section II

(B) of the SuperNOFA General Section,

you must comply with Section 109 of

the Housing and Community

Development Act of 1974, as amended.

Implementing regulations for Section

109 are found under 24 CFR 570,

including, but not limited to, reporting

and record-keeping requirements under

24 CFR 570.506 and 570.507.

IV. Application Selection Process

HUD will conduct two types of

review: a threshold review to determine

applicant eligibility; and a technical

review to rate the application based on

the rating factors in this section.

(A) Threshold Factors for Funding

Consideration. Under this threshold

review, your application can only be

rated if it is both in compliance with the

requirements of the General Section of

the SuperNOFA and the following

additional standards are met:

(1) You must be an eligible HSI and

meet the other eligibility requirements

under Section III(B) of this program

NOFA;

(2) Your application requests a

Federal grant of $400,000 or less over

the two-year grant period;

(3) There is only one application from

your institution or a campus of your

institution;

(4) At least one of the activities in

your application is eligible.

(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 102. This

includes two EZ/EC bonus points, as

described in the General Section of the

SuperNOFA.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (15 Points)

This factor addresses the extent to

which you have 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

your application demonstrates the

knowledge and experience of the overall

project director and staff, including the

day-to-day program manager,

consultants, and contractors in planning

and managing the kinds of programs for

which funding is being requested. If this

experience is found within the HSI, you

will receive higher points on this factor

than if you have secured this experience

from consultants, contractors, and other

staff outside your institution. In

addition, if you demonstrate that the

previous experience is for the project

team from the institution proposed for

this project, you will receive higher

points than if the experiences are for

people not proposed to work on this

project. Experience will be judged in

terms of recent, relevant, and successful

experience of your staff to undertake

activities in:

(a) Outreach activities in specific

communities to solve or ameliorate

significant housing and community

development issues;

(b) Undertaking specific successful

community development projects with

community-based organizations; and

(c) Providing proven leadership in

solving community problems which

have a direct bearing on the proposed

activity.

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 importance of meeting

the need in the target area. In

responding to this factor, you will be

evaluated on the extent to which you

document the level of need for the

proposed activities and the importance

of meeting the need.

You should use statistics and analyses

contained in one or more data sources

that are sound and reliable. To the

extent that your targeted community’s

Five (5) Year Consolidated Plan and

Analysis of Impediments to Fair

Housing Choice (AI) identify the level of

the problem and the urgency in meeting

the need, you should include references

to these documents in your response to

this factor.

If your proposed activities are not

covered under the scope of the

Consolidated Plan and AI, you 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 Census reports,

HUD Continuum of Care gaps analysis,

law enforcement agency crime reports,

Public Housing Authorities’

Comprehensive Plans, community

needs analyses such as provided by the

United Way, your institution, etc., and

other sound and reliable sources

appropriate for HSIAC. You may also

address needs in terms of fulfilling court

orders or consent decrees, settlements,

conciliation agreements, and voluntary

compliance agreements. To the extent

possible, the data you use should be

specific to the area where the proposed

activities will be carried out. You

should document needs as they apply to

the area where the activities will be

targeted, rather than the entire locality

or State, unless the target area is the

entire locality or State.

Rating Factor 3: Soundness of

Approach (50 Points)

This factor addresses the quality and

cost-effectiveness of your proposed

work plan, the commitment of your

institution to sustain the proposed

activities, and your actions regarding

affirmatively furthering fair housing.

(1) Quality of the Work Plan (35

Points) This factor includes your

statement of work and budget.

(a) Specific Services and/or Activities

(12 Points). Specifically, HUD will

consider the extent to which your

proposed activities will:

(i) Expand the role of your institution

in its community;

(ii) Alleviate and/or fulfill the needs

identified in Factor 2;

(iii) Relate to and not duplicate other

activities in the target area;

(iv) Involve and empower the citizens

of the target area in all stages of the

proposed project (particularly through

an committee, representative of the

target community, to guide the project);

and

11774 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(v) Be disseminated to a wide variety

of audiences, both academic and

community-based, using a wide variety

of media, including print and Internet

technology.

(b) Work Plan Impact (13 Points).

HUD will consider the feasibility of

success of your program, the measurable

objectives, and how timely your

products will be delivered. Specifically,

HUD will examine the extent to which:

(i) The project you propose can be

completed within the two year grant

period; and

(ii) The objectives are measurable

(e.g., the number of loans made, the

number of jobs created), result in

measurable improvement to the

community (e.g., fifteen more

homeowners, twenty more jobs in a

specific field), and how well you

demonstrate that these objectives will be

achieved by your proposed management

plan and team and will result directly

from your activities.

(c) Involvement of the Faculty and

Students (5 Points). The extent to which

your application proposes to involve

your students and faculty, as part of

their coursework in outreach and

applied research activities. HUD’s goal

is to encourage you to fund activities

similar to those eligible under the COPC

program to be undertaken as a

complement to those proposed in your

HSIAC application. For more

information about the COPC program,

you can look at the University

Partnerships Clearinghouse web site at

http://www.oup.org/techassist/copc/

techcopc.html.

(d) HUD Priorities (5 Points). The

extent to which your application will

further and support at least one of the

following priorities of HUD:

(1) Promoting healthy homes;

(2) Providing opportunities for selfsufficiency, particularly for persons

enrolled in welfare-to-work programs;

(3) Enhancing ongoing efforts to

eliminate drugs and crime from

neighborhoods through program policy

efforts such as ‘‘One Strike and You Are

Out’’ or the ‘‘Officer or Teacher Next

Door’’ initiative;

(4) Providing educational, job

training, and homeownership

opportunities through such initiatives as

GEAR UP, Neighborhood Networks,

Twenty/20 Education Communities, and

linking programs to Americorps; or

(5) HUD’s Partnership for Advancing

Technology in Housing (PATH)

initiative.

The Healthy Homes initiative

implements a series of activities to

protect children from home hazards

such as lead-based paint, radon, fires,

and accidents around the home.

The GEAR UP initiative promotes

partnerships between colleges and

middle or junior high schools in lowincome communities, to help teach

students how they can go to college by

informing them about college options,

academic requirements, costs, and

financial aid, and by providing support

services, including tutoring, counseling,

and mentoring.

The Neighborhood Networks initiative

enhances the self-sufficiency,

employability, and economic selfreliance of low-income families and the

elderly living in HUD-insured and HUDassisted properties by providing them

with on-site access to computer and

training resources.

The Twenty/20 Education Community

initiative (formerly known as Campus of

Learners) is designed to transform

public housing into safe and livable

communities where families undertake

training in new telecommunications and

computer technology and partake in

educational opportunities and job

training initiatives.

The Partnership for Advancing

Technology in Housing (PATH)

initiative is a voluntary public/private

partnership that seeks to speed the

creation and widespread use of

advanced technologies in order to

radically improve the quality,

durability, energy efficiency, and

environmental performance and

affordability of housing. For more

information, you can go to the PATH

web site at www.pathnet.org.

(2) Institutionalization of Project

Activities (10 Points). The extent to

which your project will result in the

kinds of proposed activities being

sustained by becoming part of the

mission of your institution. In reviewing

this subfactor, HUD will consider the

extent to which program activities relate

to your institution’s mission;

demonstrate support and involvement

of the institution’s executive leadership;

are linked by a formal organizational

structure to other units related to

outreach and community partnerships;

are reflected in budget and planning

documents; are part of a climate that

rewards faculty work on these kinds of

activities through promotion and tenure;

benefits students because they are part

of a service learning program at your

institution; and are reflected in the

curriculum. HUD will look at your

monetary and non-monetary

commitments to faculty and staff

continuing work in the target area or

other similar areas and to your longer

term commitment (five years after the

start of the grant) of hard dollars to

similar work. If you have previously

received an HSIAC grant, you must

describe the progress your institution

has made since you received the HSIAC

grant in institutionalizing your project

activities.

(3) Affirmatively Furthering Fair

Housing (5 Points). The extent to which

you propose to undertake activities

designed to affirmatively further fair

housing, for example:

(a) Working with other entities in the

community to overcome impediments to

fair housing, such as discrimination in

the sale or rental of housing or in

advertising, provision of brokerage

services or lending:

(b) Promoting fair housing choice

through the expansion of

homeownership opportunities and

improved quality of services for

minorities, families with children, and

persons with disabilities; or

(c) Providing housing mobility

counseling services.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses your ability to

secure community resources, which can

be combined with HUD program funds

to achieve program objectives.

In evaluating this factor, HUD will

consider the extent to which you have

established partnerships with other

entities to secure additional resources to

increase the effectiveness of the

proposed activities. Resources may

include funding or in-kind

contributions, such as services or

equipment. Resources may be provided

by governmental entities, public or

private nonprofit organizations, forprofit private organizations, or other

entities. You may also establish

partnerships with other program

funding recipients to coordinate the use

of resources in the target area.

You may count overhead and other

institutional costs (e.g., salaries) that are

waived as leveraging. However, higher

points will be awarded if you secure

leveraging resources from sources

outside your institution.

You must provide letters or other

documentation showing the extent and

firmness of commitments of leveraged

funds (including your own resources) in

order for these resources to count in

determining points under this factor.

Any resource for which there is no

commitment letter will not be counted,

nor will the resource be counted

without the proposed level of

commitment being quantified. If your

application does not include evidence

of leveraging, it will receive zero (0)

points for this Factor.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11775

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

This factor addresses the extent to

which you have coordinated your

activities with other known

organizations, participate or promote

participation in a community’s

Consolidated Planning process, and are

working towards addressing a need in a

holistic and comprehensive manner

through linkages with other activities in

the community. For specific information

about your locality’s process, contact

the local Community Development

Agency or the local HUD field office. If

you propose to work in a Community

Development Block Grant (CDBG) nonentitlement jurisdiction, you will only

need to address subfactors (1) and (3).

In evaluating this factor, HUD will

consider the extent to which you

demonstrate that you have:

(1) Coordinated your 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 you will take

to share information on solutions 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 you

propose.

(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 locallyfunded activities, including those

proposed or ongoing in the community.

(C) Selections. In order to be funded,

you must receive a minimum score of 70

points. HUD will fund applications in

rank order, until it has awarded all

available funds. 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, shall be

selected.

HUD will not fund specific proposed

activities that do not meet eligibility

requirements (see 24 CFR part 570,

subpart C) or do not meet a national

objective in accordance with 24 CFR

570.208.

HUD reserves the right to make

selections out of rank order to provide

for geographic distribution of funded

HSIACs. If HUD decides to use this

option, it will do so only if two adjacent

HUD regions do not yield at least one

fundable HSIAC on the basis of rank

order. If this occurs, HUD will fund the

highest ranking applicant within the

two regions as long as the minimum

score of 70 points is achieved.

After all application selections have

been made, HUD may require that you

participate in negotiations to determine

the specific terms of the Statement of

Work and the grant budget. In cases

where HUD cannot successfully

complete negotiations, or you fail to

provide HUD with requested

information, an award 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 that applicant.

V. Application Submission

Requirements

You should include an original and

two copies of the items listed below. In

order to be able to recycle paper, please

do not submit applications in bound

form; binder clips or loose leaf binders

are acceptable. Also, please do not use

colored paper. Please note the page

limits for some of the items listed below

and do not exceed them.

Your application must contain the

items listed in this section. These items

include the standard forms,

certifications, and assurances listed in

the General Section of the SuperNOFA

that are applicable to this funding

(collectively referred to as the ‘‘standard

forms’’). The standard forms can be

found in Appendix B to the General

Section of the SuperNOFA. The

remaining application items that are

forms (i.e., excluding such items as

narratives), referred to as the ‘‘nonstandard forms’’ can be found as

Appendix A to this program section of

the SuperNOFA. The items are as

follows:

(A) SF–424, Application for Federal

Assistance.

(B) HUD–424M, Federal Assistance

Funding Matrix.

(C) Application Checklist.

(D) Transmittal Letter, signed by the

Chief Executive Officer of your

institution or his or her designee. If a

designee signs, your application must

include the official designation of

signatory authority.

(E) Abstract/Executive Summary (one

page limit) describing the goals and

activities of the project.

(F) Narrative Statement Addressing

the Factors for Award. (50 page limit,

including tables, and maps, but not

including any letters of commitment

and budget forms) (Please note that

although submitting pages in excess of

the page limit will not disqualify your

application, HUD will not consider the

information on any excess pages, which

may result in a lower score or failure to

meet a threshold.) For FY 2001, the

statement of work and the budget are

now part of Factor 3, Soundness of

Approach.

(1) The Statement of Work

incorporates all activities to be funded

in your application and details how

your proposed work will be

accomplished. For each proposed

activity, your Statement of Work must:

(a) Arrange the presentation of major

related activities (e.g., rehabilitation of a

child care center, provision of tutoring

services), summarize each activity,

identify the primary persons (as

described in addressing Rating Factor 1)

involved in carrying out the activity and

accountable for the deliverables, and

delineate the major tasks involved in

carrying it out. You should also describe

how each activity meets a CDBG

national objective.

(b) Indicate the sequence in which

tasks are to be performed, noting areas

of work that must be performed

simultaneously. The sequence, duration,

and the products to be delivered should

be presented in six month intervals, up

to 24 months.

(c) Identify the specific numbers of

quantifiable intermediate and end

products and objectives (e.g., the

number of houses of be rehabilitated,

the number of people to be trained, the

number of minority businesses started,

etc.) you aim to deliver by the end of the

grant period as a result of the work

performed.

(2) The budget presentation should be

consistent with the Statement of Work

and include:

(a) A budget by activity, using Form

HUD–30004 included in the application

kit and in the program area section of

the SuperNOFA. This form separates the

Federal and non-Federal costs of each

program activity. Particular attention

should be paid to accurately estimating

costs; determining the necessity for and

reasonableness of costs; and correctly

computing all budget items and totals.

(b) A narrative statement of how you

arrived at your costs, for any line item

over $5,000. Indirect costs must be

substantiated and the rate must have

been approved by the cognizant Federal

11776 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

agency. If you are proposing to

undertake rehabilitation of residential,

commercial, or industrial structures or

acquisition, construction, or installation

of public facilities and improvements,

you must submit reasonable costs

supplied by a qualified entity other than

your institution. Guidance for securing

these estimates can be obtained from the

CPD Director in your HUD field office

or from your local government.

(c) A statement of compliance with

the 20 percent limitation on ‘‘Planning

and Administration’’ costs.

(3) Your narrative statement

addressing the factors for award should

address all factors for award. You

should number the narrative in

accordance with each factor and

subfactor. (Please note that although

submitting pages in excess of the page

limit will not disqualify your

application, HUD will not consider the

information on any excess pages, which

may result in a lower score or failure to

meet a threshold.)

In addressing Factor 4, for each

leveraging source, cash or in kind, you

must submit a letter, dated no earlier

than the date of this SuperNOFA, from

the provider on the provider’s letterhead

that addresses the following:

The dollar amount or dollar value of

the in-kind goods and/or services

committed. For each leveraging source,

the dollar amount in the commitment

letter must be consistent with the dollar

amount you indicated in the Budget;

How the leveraging amount is to be

used; The date the leveraging amount

will be made available and a statement

that it will be for the duration of the

grant period; Any terms and conditions

affecting the commitment, other than

receipt of a HUD HSIAC Grant; and The

signature of the appropriate executive

officer authorized to commit the funds

and/or goods and/or services. (See the

application kit and the program area

section of the SuperNOFA for a sample

commitment letter.)

(G) Certifications.

(1) SF–424B, Assurances for NonConstruction Programs.

(2) HUD–50071, Certification of

Payments to Influence Certain Federal

Transactions;

(3) SF-LLL, Disclosure of Lobbying

Activities (if applicable);

(4) HUD–2880, Applicant/Recipient

Disclosure/Update Form;

(5) HUD–50070, Certification of DrugFree Workplace;

(6) HUD–2992, Certification

Regarding Debarment and Suspension;

(7) HUD–2991, Certification of

Consistency with the Consolidated Plan;

and

(8) HUD–2990, Certification of

Consistency with the EZ/EC Strategic

Plan (if applicable);

(H) Acknowledgment of Receipt of

Applications (HUD–2993). If you wish

to confirm that HUD received your

application, please complete this form.

This form is optional.

(I) Client Comment and Suggestions

(HUD–2994). If you wish to offer

comments on the HSIAC NOFA of this

SuperNOFA or the SuperNOFA process,

please complete this form. This form is

optional.

You may not submit appendices or

general support letters or resumes. If

you submit letters of leveraging

commitment, they must be included in

your response to Factor 4. If you submit

other documentation, it must be

included with the pertinent factor

responses (taking note of the page limit).

VI. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VII. Environmental Requirements

Selection for award does not

constitute approval of any proposed

sites. Following selection for award,

HUD will perform an environmental

review of activities proposed for

assistance under this program, in

accordance with 24 CFR part 50. The

results of the environmental review may

require that your proposed activities be

modified or that your proposed sites be

rejected. You are particularly cautioned

not to undertake or commit funds for

acquisition or development of proposed

properties prior to HUD approval of

specific properties or areas. Your

application constitutes an assurance

that your institution will assist HUD to

comply with part 50; will supply HUD

with all available and relevant

information to perform an

environmental review for each proposed

property; will carry out mitigating

measures required by HUD or select

alternate property; and will not acquire,

rehabilitate, convert, lease, repair, or

construct property and not commit or

expend HUD or local funds for these

program activities with respect to any

eligible property until HUD approval of

the property is received. In supplying

HUD with environmental information,

you should use the same guidance as

provided in the HUD Handbook entitled

‘‘Field Environmental Review

Processing for HUD Colonias Initiative

Grants’’ issued January 27, 1999.

VIII. Authority

This program was approved by the

Congress under the section 107 of the

CDBG appropriation for Fiscal Year

2001, as part of the FY 2001 HUD

Appropriations Act. HSIAC is being

implemented through this program

section of the SuperNOFA and the

policies governing its operation are

contained herein.

Appendix A

The non-standard forms, which follow, are

required for your HSIAC application.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR THE

ALASKA NATIVE/NATIVE HAWAIIAN

INSTITUTIONS ASSISTING

COMMUNITIES PROGRAM (AN/

NHIAC)

Program Overview

Purpose of the Program. To assist

Alaska Native/Native Hawaiian

institutions of higher education (AN/

NHIs) expand their role and

effectiveness in addressing community

development needs in their localities,

consistent with the purposes of Title I

of the Housing and Community

Development Act of 1974, as amended.

Available Funds. Approximately $3

million, plus $1.2 million in previously

unexpended funds, to be divided evenly

between Alaska Native institutions of

higher education (ANIs) and Native

Hawaiian institutions of higher

education (NHIs).

Eligible Applicants: Only nonprofit

Alaska Native and Native Hawaiian

institutions of higher education that

meet the definitions of Alaska Native

and Native Hawaiian institutions of

higher education established in Title III,

Part A, Section 317 of the Higher

Education Act of 1965, as amended by

the Higher Education Amendments of

1998 (Pub.L. 105–244; enacted October

7, 1998).

Application Deadline. June 1, 2001.

Match. None.

Additional Information

If you are interested in applying for

funds under the Alaska Native/Native

Hawaiian Institutions Assisting

Communities (AN/NHIAC) Program,

please review carefully the General

Section of this SuperNOFA and the

following additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application is due on or

before 12:00 midnight, Eastern time, on

June 1, 2001, at HUD Headquarters.

See the General Section of this

SuperNOFA for specific procedures

covering the form of the application

submission (e.g., mailed applications,

express mail, overnight delivery, or

hand carried).

Address for Submitting Applications.

Your completed application consists of

an original signed application and two

copies. Submit your completed

application to the following address:

Processing and Control Branch, Office of

Community Planning and Development,

Department of Housing and Urban

Development, 451 Seventh Street, SW,

Room 7251, Washington, DC, 20410.

When submitting your application,

please refer to AN/NHIAC and include

your name, mailing address (including

zip code) and telephone number

(including area code).

For ANIs, HUD will only accept one

application per campus. For NHIs, HUD

will only accept one application per

institution. If your institution submits

more than one application per campus

(for ANIs) or more than one application

per institution (for NHIs), HUD will ask

you to identify which application you

want evaluated. Only one application

may be evaluated. If you do not respond

within the stipulated cure period (see

Section V of the General Section of this

SuperNOFA), all of your applications

will be disqualified. You should take

this policy into account and take steps

to ensure that multiple applications are

not submitted.

For Application Kits. For an

application kit and any supplemental

material, you should call the

SuperNOFA Information Center at 1–

800–HUD–8929. If you have a hearing or

speech impairment, please call the

Center’s TTY number at 1–800–HUD–

2209. When requesting an application

kit, you should refer to AN/NHIAC

Program and provide your name and

address (including zip code) and

telephone number (including area code).

You may also access the application on

the Internet through the HUD web site

at www.hud.gov.

For Further Information and

Technical Assistance. You may call Jane

Karadbil of HUD’s Office of University

Partnerships at 202–708–1537,

extension 5918. If you have a hearing or

speech impairment, you may access this

number via TTY by calling the Federal

Information Relay Service toll-free at 1–

800–877–8339. You may also write to

Ms. Karadbil via email at

Jane_R._Karadbil@hud.gov.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov.

II. Amount Allocated

Approximately $3 million in FY 2001

funds and $1.2 million in previously

unexpended funds is being made

available under this SuperNOFA for

AN/NHIAC. Of this amount, $2.1

million is being made available for

Alaska Native institutions (ANIs) of

higher education and $2.1 million is

being made available for Native

Hawaiian institutions of higher

education (NHIs). The performance

period of 24 months will commence on

the effective date of the grant agreement.

The maximum amount which can be

requested and awarded to a particular

Alaska Native institutions of higher

education is $400,000. The maximum

amount which can be requested and

awarded for a particular Native

Hawaiian institution of higher

education is $2 million with each

application composed of no more than

five separate projects, each in a different

neighborhood. Each separate project can

be for no more than $400,000.

Since the Statement of Work and

other facets of the technical review are

assessed in the context of the proposed

budget and grant request, and in the

interest of fairness to all applicants, if

you are an ANI and submit an

application requesting more than

$400,000 in HUD funds, it will be ruled

ineligible. If you are an NHI and you

submit an application for more than $2

million, it will be ruled ineligible. If you

are an NHI and you submit an

application in which you request more

than $400,000 for any one project, that

particular project will be ruled

ineligible. HUD reserves the right to

make awards for less than the maximum

amount or less than the amount

requested in your application.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. The purpose

of AN/NHIAC is to assist AN/NHIs

expand their role and effectiveness in

addressing community development

needs in their localities, including

neighborhood revitalization, housing,

and economic development.

(1) For the purposes of this program,

the term ‘‘locality’’ includes any city,

county, township, parish, village, or

other general political subdivision of a

State within which your AN/NHI is

located.

(2) A ‘‘target area’’ is the locality or

the area within the locality in which

your institution will implement its

proposed HUD grant.

(B) Eligible Applicants. Only if your

institution is a nonprofit institution of

higher education and meets the

statutory definition of either an Alaska

Native institution of higher education or

a Native Hawaiian institution of higher

education, as contained in Title III, Part

A, Section 317 of the Higher Education

Act of 1965, as amended by the Higher

Education Amendments of 1998 (Pub.L.

105–244) are you eligible to apply. If

you are an Alaska Native institution of

higher education, in order for you to

meet this definition, at least 20 percent

of your undergraduate headcount

enrollment must be Alaska Native

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students. If you are a Native Hawaiian

institution of higher education, in order

to meet this definition at least 10

percent of your undergraduate

headcount enrollment must be Native

Hawaiian students. You are not required

to be on a list of eligible AN/NHIs

prepared by the U.S. Department of

Education. However, if you are not, you

will be required to certify in the

application that you meet the statutory

definition. If you are an ANI and

received a grant in FY 2000, you are not

eligible to submit an application in FY

2001. If you are an NHI and received a

grant in FY 2000, you are not permitted

to submit an application for the same

project in a different neighborhood,

another project in the same

neighborhood, or another project with

the same project director as the project

funded in FY 2000.

If you are an ANI and your institution

has multiple campuses, each one is

eligible to apply separately, as long as

it meets the above enrollment test. You

may undertake as many projects and

activities as you want, as long as you do

not exceed the $400,000 cap for an

application. If you are an NHI, you are

permitted to submit only one

application, no matter how many

separate campuses you have, as long as

your institution meets the above

enrollment test. You may undertake up

to five separate projects, each in a

different neighborhood, with each

project requesting no more than

$400,000. In your application you must

describe how each project is separate

and distinct; how your proposed

activities relate to that project; and that

each project will not rely on any part of

another project for its successful

completion. A project can include one

or more of the eligible activities listed

below. For example, if you propose a

homeownership project, you might

rehabilitate housing in a neighborhood,

demolish some structures to create

spaces for lawns, and provide a loan

pool for purchasers of this housing. All

these activities could still be viewed as

one project. You might also undertake a

job training program for welfare-to-work

families by rehabilitating a warehouse

and offering the job training there.

These activities could also be viewed as

one project. But if you proposed to

create a homeownership loan program

and a job training program, these

activities would be viewed as two

separate projects. Your institution could

undertake both, but they would have to

be in two different neighborhoods.

(C) Eligible Activities. (1) General.

Each activity you propose for funding

must meet both a Community

Development Block Grant Program

(CDBG) national objective and the CDBG

eligibility requirements. A discussion of

the national objectives can be found at

24 CFR part 570.208. There are three

national objectives:

(a) Benefit to low-and moderateincome persons;

(b) Aid in the prevention or

elimination of slums or blight; or

(c) Meet other community

development needs having a particular

urgency because existing conditions

pose a serious and immediate threat to

the health and welfare of the

community, and other financial

resources are not available to meet such

needs.

(You must ensure that of your aggregate

grant expenditures under paragraphs (a),

(b), and (c) above at least 51% are for

activities benefiting low-and moderateincome persons).

You can find the regulations

governing activities eligible under the

CDBG program at 24 CFR part 570,

subpart C, particularly §§ 570.201

through 570.206. Ineligible activities are

listed at § 570.207. The CDBG

publication entitled ‘‘Everything You

Wanted to Know About CDBG’’

discusses the regulations. You can

obtain a copy from the SuperNOFA

Information Center. If you propose an

activity which otherwise is eligible, it

may not be funded if State or local law

requires that it be carried out by a

governmental entity.

In addition, you may not propose the

construction or rehabilitation of your

institution’s facilities unless you can

demonstrate that such activities would

meet the purpose of this program to

expand the role and effectiveness of an

AN/NHI in its locality. HUD will

scrutinize proposed activities for

eligibility. As examples of eligible and

ineligible on-campus activities,

rehabilitating a library for use by your

students would not be an eligible

activity, but rehabilitating it to convert

it to a micro-business enterprise center

for the community would be; or as

another example, just undertaking your

normal activities (e.g., offering English

as a Second Language classes) would

not be considered eligible activities

because they would not expand your

role and effectiveness in community

development activities. You should call

Jane Karadbil at 202–708–1537,

extension 5918 if you have any

questions about the eligibility of any

activities you may propose. You may

also look at the Office of University

Partnerships website at www.oup.org

for summaries of last year’s winners

under the Hispanic-serving Institutions

Assisting Communities program, a

program very similar to this one.

(2) Examples of Eligible Activities.

Examples of activities that generally can

be carried out with these funds, under

one the three national objectives,

include, but are not limited to:

(a) Acquisition of real property;

(b) Clearance and demolition;

(c) Rehabilitation of residential

structures to increase housing

opportunities for low- and moderateincome persons and rehabilitation of

commercial or industrial buildings to

correct code violations or for certain

other purposes, e.g., making

accessibility and visitability

modifications to housing;

(d) Direct homeownership assistance

to low- and moderate-income persons,

as provided in section 105(a)(25) of the

Housing and Community Development

Act of 1974;

(e) Acquisition, construction,

reconstruction, rehabilitation, or

installation of public facilities and

improvements, such as water and sewer

facilities and streets;

(f) Relocation payments and other

assistance for temporarily and

permanently relocated individuals,

families, businesses, and non-profit

organizations where the assistance is (1)

required under the provision of 24 CFR

570.606(b) or (c); or (2) determined by

your institution to be appropriate under

the provisions of 24 CFR 570.606(d).

(g) Lead-based paint hazard reduction,

pursuant to the CDBG regulations

(h) Special economic development

activities described at 24 CFR 570.203,

including activities designed to promote

training and employment opportunities;

(i) Assistance to facilitate economic

development by providing technical

assistance or financial assistance for the

establishment, stabilization, and

expansion of microenterprises,

including minority enterprises.

(j) Assistance to community-based

development organizations (CBDO) to

carry out a CDBG neighborhood

revitalization, community economic

development, or energy conservation

project, in accordance with 24 CFR

570.204. This could include activities in

support of a HUD approved local CDBG

Neighborhood Revitalization Strategy

(NRS) or HUD approved State CDBG

Community Revitalization Strategy

(CRS);

(k) Establishment of a Community

Development Corporation (CDC) at the

institution to undertake eligible

activities. If you are proposing a

Community Development Corporation

(CDC) component, it may qualify for

CBDO activities;

(l) Up to 15 percent of the grant for

eligible public services activities

including:

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11783

(i) Work study programs that meet the

program requirements of the Hispanicserving Institutions Work Study

program, which can be found at 24 CFR

570.416;

(ii) Outreach and other program

activities as described in the

Community Outreach Partnership

Centers Program section of the

SuperNOFA;

(iii) Educational activities including

English as a Second Language (ESL)

classes, adult basic education classes,

GED preparation and testing, and

curriculum development of courses that

will lead to a certificate or degree in

community planning and development;

(iv) Job and career counseling

assessment, training, and other activities

designed to promote employment

opportunities, not related to special

economic development activities;

(v) Capacity building for community

organizations;

(vi) Social and medical services for

youths, adults, senior citizens, and the

homeless;

(vii) Fair housing services designed to

further the fair housing objectives of the

Fair Housing Act (42 U.S.C. 3601–20) by

making all persons, without regard to

race, color, religion, sex, national origin,

familial status and/or disability aware of

the range of housing opportunities

available to them;

(viii) Day care services and costs for

the children of students attending your

institution;

(ix) Continuum of care services for the

homeless;

(x) Public access telecommunications

centers including Twenty/20 Education

Communities (formerly known as

Campus of Learners) and Neighborhood

Networks;

(xi) Activities to use HUD’s

Partnership for Advancing Technology

in Housing (PATH) technology;

(xii) Services to assist low-income

students to attend college, as part of the

U.S. Department of Education’s Gaining

Awareness and Readiness for

Undergraduate Program (GEAR UP).

(For more information, call 202–502–

7676 or visit the U.S. Department of

Education’s website at www.ed.gov).

(m) Up to 20% of your grant for

program administration costs related to

the planning and execution of

community development activities

assisted in whole or in part with grant

funds. Pre-award planning costs may

not be paid out of grant funds.

(D) Other Requirements. (1)

Leveraging. Although a match is not

required to qualify for funding, if you

claim leveraging from any source,

including your own institution, you

must provide letters or other

documentation evidencing the extent

and firmness of commitments of

leveraging from other Federal (e.g.,

Americorps Programs), State, local, and/

or private sources (including the

applicant’s own resources). These letters

or documents must be dated no earlier

than the date of this published

SuperNOFA. Potential sources of

leveraging assistance include: your own

institution (for both direct and indirect

costs); State and local governments;

housing authorities; local or national

nonprofit organizations; banks and

private businesses; foundations; and

faith-based communities.

(2) Employment of local area

residents (Section 3). Please see Section

II(E) of the General Section of this

SuperNOFA. The requirements are

applicable to certain activities that may

be funded under this program section of

the SuperNOFA.

(3) Labor Standards. If you are

awarded a grant, you must comply with

the labor standards (Davis-Bacon) as

found at 24 CFR 570.603.

(4) OMB Circulars. Your grant will be

governed by the provisions of 24 CFR

part 84 (Grants and Agreements with

Institutions of Higher Education,

Hospitals and other Nonprofit

Organizations), A–21 (Cost Principles

for Education Institutions, and A–133

(Audits of States, Local Governments,

and Non-Profit Organizations. The

application kit contains a detailed

explanation of what these costs are. You

can access the OMB circulars at the

White House website at http://

whitehouse.gov/WH/EOP/OMB/html/

circulars.

(5) Nondiscrimination. In addition to

the fair housing and other civil rights

assurances described under Section II

(B) of the SuperNOFA General Section,

you must comply with Section 109 of

the Housing and Community

Development Act of 1974, as amended.

Implementing regulations for Section

109 are found under 24 CFR 570,

including, but not limited to, reporting

and record-keeping requirements under

24 CFR 570.506 and 570.507.

IV. Application Selection Process

HUD will conduct two types of

review: a threshold review to determine

applicant eligibility; and a technical

review to rate the application based on

the rating factors in this section.

(A) Threshold Factors for Funding

Consideration. Under this threshold

review, your application can only be

considered for rating and ranking if it is

in compliance with both the

requirements of the General Section of

the SuperNOFA and the following

additional standards are met:

(1) You must be an eligible Alaska

Native or Native Hawaiian institution of

higher education and meet the other

eligibility requirements in Section III(B)

of this program NOFA;

(2) If you are an ANI, you request a

Federal grant of $400,000 or less over

the two-year grant period; or

(3) If you are an NHI, you request a

Federal grant of $2 million or less over

the two year grant period composed of

no more than five separate projects,

each in a different neighborhood, and

each of no more than $400,000.

(4) If you are an ANI, there is only one

application from your institution or a

campus of your institution. If you are an

NHI, there is only one application from

your institution, no matter how many

campuses there are.

(5) At least one of the activities in

your application is eligible.

(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 102. This

includes two EZ/EC bonus points, as

described in the General Section of the

SuperNOFA.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (15 Points)

This factor addresses the extent to

which you have 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

your application demonstrates the

knowledge and experience of the overall

project director and staff, including the

day-to-day program manager,

consultants, and contractors in planning

and managing the kinds of programs for

which funding is being requested. If this

experience is found within the AN/NHI,

you will receive higher points on this

factor than if you have secured this

experience from consultants,

contractors, and other staff outside your

institution. In addition, if you

demonstrate that the previous

experience is for the project team from

the institution proposed for this project,

you will receive higher points than if

the experiences are for people not

proposed to work on this project.

Experience will be judged in terms of

recent, relevant, and successful

experience of your staff to undertake

activities in:

(a) Outreach activities in specific

communities to solve or ameliorate

significant housing and community

development issues;

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(b) Undertaking specific successful

community development projects with

community-based organizations; and

(c) Providing proven leadership in

solving community problems which

have a direct bearing on the proposed

activity.

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 importance of meeting

the need in the target area. In

responding to this factor, you will be

evaluated on the extent to which you

document the level of need for the

proposed activities and the importance

of meeting the need.

You should use statistics and analyses

contained in one or more data sources

that are sound and reliable. To the

extent that your targeted community’s

Five (5) Year Consolidated Plan and

Analysis of Impediments to Fair

Housing Choice (AI) identify the level of

the problem and the urgency in meeting

the need, you should include references

to these documents in your response to

this factor.

If your proposed activities are not

covered under the scope of the

Consolidated Plan and AI, you 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 Census reports,

HUD Continuum of Care gaps analysis,

law enforcement agency crime reports,

Public Housing Authorities’

Comprehensive Plans, community

needs analyses such as provided by the

United Way, your institution, etc., and

other sound and reliable sources

appropriate for AN/NHIAC. You may

also address needs in terms of fulfilling

court orders or consent decrees,

settlements, conciliation agreements,

and voluntary compliance agreements.

To the extent possible, the data you

use should be specific to the area where

the proposed activities will be carried

out. You should document needs as

they apply to the area where the

activities will be targeted, rather than

the entire locality or State, unless the

target area is the entire locality or State.

Rating Factor 3: Soundness of

Approach (50 Points)

This factor addresses the quality and

cost-effectiveness of your proposed

work plan, the commitment of your

institution to sustain the proposed

activities, and your actions regarding

affirmatively furthering fair housing.

(1) Quality of the Work Plan (35

Points).

(a) Specific Services and/or Activities

(12 Points). Specifically, HUD will

consider the extent to which your

proposed activities will:

(i) Expand the role of your institution

in its community;

(ii) Alleviate and/or fulfill the needs

identified in Factor 2;

(iii) Relate to and not duplicate other

activities in the target area.

(iv) Involve and empower the citizens

of the target area in all stages of the

proposed project (particularly through a

committee, representative of the target

community, to guide the project); and

(v) Be disseminated to a wide variety

of audiences, both academic and

community-based, using a wide variety

of media, including print and Internet

technology.

(b) Work Plan Impact (13 Points).

HUD will consider the feasibility of

success of your program, the measurable

objectives, and how timely your

products will be delivered. Specifically,

HUD will examine the extent to which:

(i) The project you propose can be

completed within the two year grant

period; and

(ii) The objectives are measurable

(e.g., the number of loans made, the

number of jobs created), result in

measurable improvement to the

community (e.g., fifteen more

homeowners, twenty more jobs in a

specific field), and how well you

demonstrate that these objectives will be

achieved by your proposed management

plan and team and will result directly

from your activities.

(c) Involvement of the Faculty and

Students (5 points). The extent to which

your application proposes to involve

your students and faculty, as part of

their coursework in outreach and

applied research activities. HUD’s goal

is to encourage you to fund activities

similar to those eligible under the COPC

program to be undertaken as a

complement to those proposed in your

AN/NHIAC application.

(d) HUD Priorities (5 points). The

extent to which your application will

further and support at least one of the

following priorities of HUD:

(1) Promoting healthy homes;

(2) Providing opportunities for selfsufficiency, particularly for persons

enrolled in welfare-to-work programs;

(3) Enhancing ongoing efforts to

eliminate drugs and crime from

neighborhoods through program policy

efforts such as ‘‘One Strike and You Are

Out’’ or the ‘‘Officer or Teacher Next

Door’’ initiative;

(4) Providing educational, job

training, and homeownership

opportunities through such initiatives as

GEAR UP, Neighborhood Networks,

Twenty/20 Education Communities, and

linking programs to Americorps; or

(5) HUD’s Partnership for Advancing

Technology in Housing (PATH)

initiative.

The Healthy Homes initiative

implements a series of initiatives to

protect children from home hazards

such as lead-based paint, radon, fires,

and accidents around the home.

The GEAR UP initiative promotes

partnerships between colleges and

middle or junior high schools in lowincome communities, to help teach

students how they can go to college by

informing them about college options,

academic requirements, costs, and

financial aid, and by providing support

services, including tutoring, counseling,

and mentoring.

The Neighborhood Networks initiative

enhances the self-sufficiency,

employability, and economic selfreliance of low-income families and the

elderly living in HUD-insured and HUDassisted properties by providing them

with on-site access to computer and

training resources.

The Twenty/20 Education

Communities initiative (formerly known

as Campus of Learners) is designed to

transform public housing into safe and

livable communities where families

undertake training in new

telecommunications and computer

technology and partake in educational

opportunities and job training

initiatives.

The Partnership for Advancing

Technology in Housing (PATH)

initiative is a voluntary public/private

partnership that seeks to speed the

creation and widespread use of

advanced technologies in order to

radically improve the quality,

durability, energy efficiency, and

environmental performance and

affordability of housing. For more

information, you can go to the PATH

web site at www.pathnet.org.

(6) Institutionalization of Project

Activities (10 points). The extent to

which your project will result in the

kinds of proposed activities being

sustained by becoming part of the

mission of your institution. In reviewing

this subfactor, HUD will consider the

extent to which program activities relate

to your institution’s mission;

demonstrate support and involvement

of the institution’s executive leadership;

are linked by a formal organizational

structure to other units related to

outreach and community partnerships;

are reflected in budget and planning

documents; are part of a climate that

rewards faculty work on these kinds of

activities through promotion and tenure;

benefits students because they are part

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11785

of a service learning program at your

institution; and are reflected in the

curriculum. HUD will look at your

monetary and non-monetary

commitments to faculty and staff

continuing work in the target area or

other similar areas and to your longer

term commitment (five years after the

start of the grant) of hard dollars to

similar work.

(3) Affirmatively Furthering Fair

Housing (5 points). The extent to which

you propose to undertake activities

designed to affirmatively further fair

housing, for example:

(a) Working with other entities in the

community to overcome impediments to

fair housing, such as discrimination in

the sale or rental of housing or in

advertising, provision of brokerage

services or lending:

(b) Promoting fair housing choice

through the expansion of

homeownership opportunities and

improved quality of services for

minorities, families with children, and

persons with disabilities; or

(c) Providing housing mobility

counseling services.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses your ability to

secure community resources, which can

be combined with HUD program funds

to achieve program objectives.

In evaluating this factor, HUD will

consider the extent to which you have

established partnerships with other

entities to secure additional resources to

increase the effectiveness of the

proposed activities. Resources may

include funding or in-kind

contributions, such as services or

equipment. Resources may be provided

by governmental entities, public or

private nonprofit organizations, forprofit private organizations, or other

entities. You may also establish

partnerships with other program

funding recipients to coordinate the use

of resources in the target area.

You may count overhead and other

institutional costs (e.g., salaries) that are

waived as leveraging. However, higher

points will be awarded if you secure

leveraging resources from sources

outside the institution.

You must provide letters or other

documentation showing the extent and

firmness of commitments of leveraged

funds (including your own resources) in

order for these resources to count in

determining points under this factor.

Any resource for which there is no

commitment letter will not be counted,

nor will the resource be counted

without the proposed level of

commitment being quantified. If your

application does not include evidence

of leveraging, it will receive zero (0)

points for this Factor.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

This factor addresses the extent to

which you have coordinated your

activities with other known

organizations, participate or promote

participation in a community’s

Consolidated Planning process, and are

working towards addressing a need in a

holistic and comprehensive manner

through linkages with other activities in

the community. For specific information

about your locality’s process, contact

the local Community Development

Agency or the local HUD field office. If

you propose to work in a Community

Development Block Grant (CDBG) nonentitlement jurisdiction, you will only

need to address subfactors (1) and (3).

In evaluating this factor, HUD will

consider the extent to which you

demonstrate that you have:

(1) Coordinated your 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 you will take

to share information on solutions 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 you

propose.

(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 locallyfunded activities, including those

proposed or ongoing in the community.

(C) Selections. For ANI applications,

each application will be reviewed and

rated based on these selection criteria.

For NHI applicants, each project in an

application will be reviewed and rated

separately. If you are an ANI, you must

receive a score of at least 70 points on

your application in order to be eligible

for funding. If you are an NHI, you must

receive a score of at least 70 points for

a project in order for that project to be

eligible for funding. HUD will fund

applications (for ANIs) or projects (for

NHIs) in rank order, until it has

awarded all available funds. HUD will

rank and select applications from

Alaska Native institutions and Native

Hawaiian institutions separately. If,

within either of these two categories,

two or more applications (for ANIs) or

projects (for NHIs) have the same

number of points, the application (for

ANIs) or project (for NHIs) with the

most points for Factor 3, Soundness of

Approach, shall be selected. If there is

still a tie, the application (for ANIs) or

project (for NHIs) with the most points

for Factor 4, Leveraging, shall be

selected. If all the funds in one category

are not awarded, they cannot be

transferred to the other category.

HUD will not fund specific proposed

activities that do not meet eligibility

requirements (see 24 CFR part 570,

subpart C), or do not meet a national

objective in accordance with 24 CFR

570.208.

After all application selections have

been made, HUD may require that you

participate in negotiations to determine

the specific terms of the Statement of

Work and the grant budget. In cases

where HUD cannot successfully

complete negotiations, or you fail to

provide HUD with requested

information, an award 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 that applicant.

V. Application Submission

Requirements

You should include an original and

two copies of the items listed below. In

order to be able to recycle paper, please

do not submit applications in bound

form; binder clips or loose leaf binders

are acceptable. Also, please do not use

colored paper. Please note the page

limits for some of the items listed below

and do not exceed them.

Your application must contain the

items listed in this section. These items

include the standard forms,

certifications, and assurances listed in

the General Section of the SuperNOFA

that are applicable to this funding

(collectively referred to as the ‘‘standard

forms’’). The standard forms can be

found in Appendix B to the General

Section of the SuperNOFA. The

remaining application items that are

forms (i.e., excluding such items as

narratives), referred to as the ‘‘nonstandard forms’’ can be found as

Appendix A to this program section of

the SuperNOFA. The items are as

follows:

(A) SF–424, Application for Federal

Assistance.

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(B) HUD–424M, Federal Assistance

Funding Matrix.

(C) Application Checklist.

(D) Transmittal Letter, signed by the

Chief Executive Officer of your

institution or his or her designee. If a

designee signs, your application must

include the official designation of

signatory authority. If you are an NHI,

this letter should cover your entire

application, no matter how many

projects are proposed.

(E) Abstract/Executive Summary (one

page limit for ANIs and three pages for

NHIs) describing the goals and activities

of the project. If you are an NHI, the

abstract should cover your entire

application, no matter how many

projects are proposed.

(F) Narrative Statement Addressing

the Factors for Award. (If you are an

ANI, there is a 50 page limit including

tables and maps, but not including any

letters of commitment or budget forms.;

If you are an NHI, there is a 50 page

limit for each separate project, including

tables and maps, but not including any

letters of commitment or budget forms,

with each project responding to all of

the Narrative Statement Addressing the

Factors for Award Requirements)

(Please note that although submitting

pages in excess of the page limit will not

disqualify your application, HUD will

not consider the information on any

excess pages, which may result in a

lower score or failure to meet a

threshold.) For FY 2001, the statement

of work and the budget are now part of

Factor 3, Soundness of Approach.

(1) The Statement of Work

incorporates all activities to be funded

in your application and details how

your proposed work will be

accomplished. For each proposed

activity, your Statement of Work must:

(a) Arrange the presentation of major

related activities (e.g., rehabilitation of a

child care center, provision of tutoring

services), summarize each activity,

identify the primary persons (as

described in addressing Rating Factor 1)

involved in carrying out the activity and

accountable for the deliverables, and

delineate the major tasks involved in

carrying it out. You should also describe

how each activity meets a CDBG

national objective.

(b) Indicate the sequence in which

tasks are to be performed, noting areas

of work that must be performed

simultaneously. The sequence, duration,

and the products to be delivered should

be presented in six month intervals, up

to 24 months.

(c) Identify the specific numbers of

quantifiable intermediate and end

products and objectives (e.g., the

number of houses to be rehabilitated,

the number of people to be trained, the

number of minority businesses started,

etc.) you aim to deliver by the end of the

grant period as a result of the work

performed.

(2) The budget presentation should be

consistent with the Statement of Work

and include:

(a) A budget by activity, using Form

HUD–30004 included in the application

kit and in the program area section of

the SuperNOFA. This form separates the

Federal and non-Federal costs of each

program activity. Particular attention

should be paid to accurately estimating

costs; determining the necessity for and

reasonableness of costs; and correctly

computing all budget items and totals.

(b) A narrative statement of how you

arrived at your costs, for any line item

over $5,000. Indirect costs must be

substantiated and the rate must have

been approved by the cognizant Federal

agency. If you are proposing to

undertake rehabilitation of residential,

commercial, or industrial structures or

acquisition, construction, or installation

of public facilities and improvements,

you must submit reasonable costs

supplied by a qualified entity other than

your institution. Guidance for securing

these estimates can be obtained from the

CPD Director in your HUD field office

or from your local government.

(c) A statement of compliance with

the 20 percent limitation on ‘‘Planning

and Administration’’ costs.

(3) Your narrative statement

addressing the factors for award should

address all factors for award. You

should number the narrative in

accordance with each factor and

subfactor. Please do not repeat material

in the Statement of Work.

In addressing Factor 4, for each

leveraging source, cash or in kind, you

must submit a letter, dated no earlier

than the date of this SuperNOFA, from

the provider on the provider’s letterhead

that addresses the following:

• The dollar amount or dollar value

of the in-kind goods and/or services

committed. For each leveraging source,

the dollar amount in the commitment

letter must be consistent with the dollar

amount you indicated in the Budget;

• How the leveraging amount is to be

used;

• The date the leveraging amount will

be made available and a statement that

it will be for the duration of the grant

period;

• Any terms and conditions affecting

the commitment, other than receipt of a

HUD AN/NHIAC Grant; and

• The signature of the appropriate

executive officer authorized to commit

the funds and/or goods and/or services.

(See the application kit and the program

area section of the SuperNOFA for a

sample commitment letter.) If you are an

NHI, you should separate your

leveraging sources by project and

include the appropriate letters in the

Narrative Statement for that project.

(G) Certifications.

(1) SF–424B, Assurances for NonConstruction Programs.

(2) HUD–50071, Certification of

Payments to Influence Certain Federal

Transactions;

(3) SF–LLL, Disclosure of Lobbying

Activities (if applicable);

(4) HUD–2880, Applicant/Recipient

Disclosure/Update Form;

(5) HUD–50070, Certification of DrugFree Workplace;

(6) HUD–2992, Certification

Regarding Debarment and Suspension;

(7) HUD–2991, Certification of

Consistency with the Consolidated Plan;

and

(8) HUD–2990, Certification of

Consistency with the EZ/EC Strategic

Plan (if applicable);

(H) Acknowledgment of Receipt of

Applications (HUD–2993). If you wish

to confirm that HUD received your

application, please complete this form.

This form is optional.

(I) Client Comments and Suggestion

Form (HUD–2994). If you wish to offer

comments on the AN/NHIAC NOFA of

this SuperNOFA or the SuperNOFA

process, please complete this form. This

form is optional.

You may not submit appendices or

general support letters or resumes. If

you submit letters of leveraging

commitment, they must be included in

your response to Factor 4. If you submit

other documentation, it must be

included with the pertinent factor

responses (taking note of the page limit).

VI. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VII. Environmental Requirements

Selection for award does not

constitute approval of any proposed

sites. Following selection for award,

HUD will perform an environmental

review of activities proposed for

assistance under this program, in

accordance with 24 CFR part 50. The

results of the environmental review may

require that your proposed activities be

modified or that your proposed sites be

rejected. You are particularly cautioned

not to undertake or commit funds for

acquisition or development of proposed

properties prior to HUD approval of

specific properties or areas. Your

application constitutes an assurance

that your institution assist HUD to

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11787

comply with part 50; will supply HUD

with all available and relevant

information to perform an

environmental review for each proposed

property; will carry out mitigating

measures required by HUD or select

alternate property; and will not acquire,

rehabilitate, convert, lease, repair, or

construct property and not commit or

expend HUD or local funds for these

program activities with respect to any

eligible property until HUD approval of

the property is received. In supplying

HUD with environmental information,

you should use the same guidance as

provided in the HUD Handbook entitled

‘‘Field Environmental Review

Processing for HUD Colonias Initiative

Grants’’ issued January 27, 1998.

VIII. Authority

This program was approved by

Congress under the section 107 of the

CDBG appropriation for fiscal year 2001,

as part of the FY 2001 HUD

Appropriations Act. AN/NHIAC is being

implemented through this program

section of the SuperNOFA and the

policies governing its operation are

contained herein.

Appendix A

The non-standard forms, which follow, are

required for your AN/NHIAC application.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR THE

FAIR HOUSING INITIATIVES

PROGRAM (FHIP)

Program Overview

Purpose of the Program. To increase

compliance with the Fair Housing Act

(the Act) and with substantially

equivalent State and local fair housing

laws.

Available Funds. Approximately

$16.5 million is allocated to three (3)

Initiatives as follows:

A. Private Enforcement Initiative (PEI)

$10.5 million.

B. Education and Outreach Initiative

(EOI) $3.9 million.

C. Fair Housing Organizations

Initiative (FHOI) $2.1 million.

Eligible Applicants. Eligibility

requirements are described in detail

under each of the funded Initiatives and

Components, set forth below, and

eligible applicants may include:

Qualified Fair Housing Organizations

(QFHOs); Fair Housing Enforcement

Organizations (FHOs); public or private,

for-profit or not-for-profit organizations

or institutions, or other public or private

entities that are working to prevent or

eliminate discriminatory housing

practices; State and local governments

or their agencies; and Fair Housing

Assistance Program (FHAP) agencies (as

defined in Section IV of this program

section).

Application Deadline. May 2, 2001.

Match: No matching funds are

required for the Education and Outreach

or Private Enforcement Initiatives.

However, sponsored organizations

under the Fair Housing Organizations

Initiative (FHOI) must meet the

requirements described in Section IV

(D)(1)(a) below.

Additional Information

If you are interested in applying for

funding under the Fair Housing

Initiatives Program (FHIP), please

review carefully the General Section of

this SuperNOFA, the FHIP Authorizing

Statute (Sec. 561 of the Housing and

Community Development Act of 1987,

as amended) and the FHIP Regulations

(24 CFR 125.103–501).

I. Application Due Date, Further

Information, and Technical Assistance

Application Due Date. You must

submit completed applications for all

Initiatives and Components by 12

midnight, Eastern time, on or before

May 2, 2001, at HUD Headquarters, at

the address shown below.

See the General Section of this

SuperNOFA for specific procedures

governing the method of application

submission (e.g., mailed applications,

express mail, overnight delivery, or

hand-carried).

Address for Submitting Applications.

Your application consists of an original

signed application form (SF 424) and all

items listed in the Checklist (See

Appendix B). Submit your completed

application (one original and five

copies) to: FHIP SuperNOFA 2001

[Specify the Initiative/Component to

which you apply], FHIP/FHAP Support

Division, Fair Housing and Equal

Opportunity, U.S. Department of

Housing and Urban Development 451

Seventh Street SW., Room 5224,

Washington, DC 20410.

When you submit your application,

please provide the following

information at the front top left corner

of the mailing envelope: your

organization’s name, name of contact

person, mailing address (including zip

code), telephone number (including area

code), and fax number. Applicants for

more than one Initiative or Component

must submit a separate signed original

and five copies for each Initiative or

Component.

For Further Information and

Technical Assistance. You may contact

Myron P. Newry of the FHIP Division,

at 202–708–0800 (this is not a toll-free

number). Persons with hearing or

speech impairments may contact the

Division by calling 1–800–290–1617

(this is a toll-free number).

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparing applications.

For more information about the date and

time of this broadcast, you should

consult the HUD web site http://

www.hud.gov/grants.

II. Amounts Allocated

In Fiscal Year 2001, $24.0 million was

appropriated for the Fair Housing

Initiatives Program. Approximately

$16.5 million is being made available on

a competitive basis to eligible

organizations responding to this

SuperNOFA. The remaining

approximately $7.5 million has been

designated for the National Housing

Discrimination Audit 2001.

The amount available for each

Initiative or Component and the award

cap (the maximum amount of funds that

can be awarded for each grant) are

allocated as follows:

(A) Private Enforcement Initiative

(PEI). Approximately $10.5 million is

allocated; award cap is $250,000; project

duration is 12 months.

(B) Education and Outreach Initiative

(EOI). Approximately $3.9 million is

allocated to the Regional/Local/

Community-Based Program; award cap

is $100,000; project duration is 12

months; applications will be submitted

to the following Components:

(1) EOI-General Component.

Approximately $3.1 million is allocated.

(2) EOI-Disability Component.

Approximately $800,000 is allocated.

(C) Fair Housing Organizations

Initiative (FHOI). Approximately $2.1

million is allocated; project duration is

three years. Award caps are as follows:

Year 1: $350,000; no more than 15

percent of the award may be used by the

sponsoring organization for its

administrative costs,

Year 2: $350,000; no more than 15

percent of the award may be used by the

sponsoring organization for its

administrative costs,

Year 3: $350,000; no more than 15

percent of the award may be used by the

sponsoring organization for its

administrative costs.

III. Program Description; Eligible

Applicants; Eligible Activities

Changes to this year’s NOFA. This

year’s FHIP NOFA is substantially

different from previous years. The

project duration for PEI and EOI awards

is 12 months, and three years for FHOI.

No FY 2001 funds have been allocated

to the EOI-National Program. The

instances where the Selecting Official

may exercise discretionary authority to

select applications out of rank order in

each Initiative or Component have been

revised as well: (a) the funding diversity

provision has been eliminated; and (b)

the geographic diversity provision, if

applied, will be used to ensure that, to

the extent possible, awards from each

Initiative or Component will be

distributed across more states. Changes

also have been made in how the

applications are rated. For example, up

to five points will be awarded to

applications where the applicant and

proposed activities are located in areas

not served by a State or local agency

that participates in the Fair Housing

Assistance Program (FHAP). In addition,

under PEI and FHOI, points will be

deducted if organizations that have

received FHIP funding to conduct

enforcement-related activities have not

complied with the program

requirements regarding mandatory

referrals and reimbursement of the

federal government for compensation

resulting from FHIP-funded

enforcement activity.

Other Changes. There is no

Application Kit; however, a hard copy

of the Housing Counseling and this

Program NOFA and necessary forms

will be available from the SuperNOFA

Information Center at www.HUD.gov/

grants. We believe the NOFA more

11794 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

clearly describes the requirements for

completing a successful application; all

of the forms and certifications needed to

complete your application are included

in the General and FHIP Sections of the

SuperNOFA. [Additional clarification is

provided in Appendix A, Most

Frequently Asked Questions]

Bonus Points: The SuperNOFA

provides for the award of up to two

bonus points for eligible activities/

projects that the applicant proposes be

located in federally designated

Empowerment Zones (EZs), Enterprise

Communities (ECs), Urban

Enhancement Enterprise Communities

(EECs), or Strategic Planning

Communities and serve the residents of

these federally designated areas, and are

certified to be consistent with the

strategic plan of these federally

designated references. (For ease of

reference in the SuperNOFA, these

federally designated areas are

collectively referred to as ‘‘EZ/ECs’’ and

residents of these federally designated

areas as EZ/EC residents). This NOFA

contains a certification which must be

completed for the applicant to be

considered for EZ/EC bonus points. A

list of EZs, ECs, EECs and Strategic

Planning Communities is available from

the SuperNOFA Information Center,

through the HUD web site at http://

www.hud.gov/grants, and is included in

the Appendix to the General Section of

the SuperNOFA.

Court Ordered Consideration. For any

application submitted by the City of

Dallas, Texas, for funds under this

SuperNOFA for which the City of Dallas

is eligible to apply, HUD will consider

the extent to which the strategies or

plans in the city’s application or

applications will be used to eradicate

the vestiges of racial 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 the

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 based on this consideration. This

special consideration results from an

order to the U.S. District Court for the

Northern District of Texas, Dallas,

Division. (This Section is limited to

applications submitted by the City of

Dallas).

Program Description. The Fair

Housing Initiatives Program (FHIP)

assists fair housing activities that

increase compliance with the Fair

Housing Act (the Act) and with the

substantially equivalent fair housing

laws administered by state and local

government agencies (FHAP agencies).

All activities funded under this NOFA

must support the Department’s goal to

increase its enforcement actions.

Applications selected for funding under

EOI will support this goal by developing

a complaint referral process that should

result in referrals to HUD of credible,

legitimate fair housing claims and other

information regarding discriminatory

housing practices. Applications selected

for funding under PEI and FHOI must

support this goal by complying with the

Mandatory Referral requirement

described in Section IV.

Activities that are not eligible for

funding. You are reminded to read

carefully the eligibility requirements for

each Initiative and Component.

Although all applications selected for

funding under this NOFA must

contribute to HUD’s enforcement goal,

enforcement-related activities are not

eligible for funding under EOI and there

is a limit on the amount of educationrelated activities that can be funded in

an enforcement grant (PEI or FHOI). No

awardee may use FHIP funds to settle a

claim, satisfy a judgment, or fulfill a

court order in any defensive litigation.

Underserved Populations. Immigrant

populations (especially racial and

ethnic minorities who are not Englishspeaking) are increasingly responsible

for new household formations in the

United States, and they often face

formidable barriers because of

discriminatory housing practices.

Congress has recognized that where we

live, perhaps more than any other factor,

shapes our life prospects and who we

become as individuals. It is especially

important that fair housing services be

directed to these immigrant populations

and to the specific types of

discrimination they may encounter. All

applicants are encouraged to address the

fair housing needs of these populations

as follows:

EOI and PEI. In a tie-breaking

situation, applications that list a specific

example or examples of the outreach

that will be conducted to advise

immigrant and other underserved

populations, as defined in Section IV,

below, of the services offered by the

project will be ranked higher than

applications that do not. It is not

sufficient to merely assert you will

conduct outreach to these populations.

FHOI. HUD has determined that rural

areas and areas with immigrant

populations (especially racial and

ethnic minorities who are not English

speaking) are underserved. HUD has

targeted for funding priority those

projects which serve rural and

immigrant populations that contain

large concentrations of persons

protected under the Act where either no

public or private fair housing

enforcement organization exists or the

jurisdiction is not sufficiently served by

one or more public or private fair

housing enforcement organizations.

HUD expects to select one application

that covers a rural area (see definition in

Section IV (17) below) and one in an

area with large concentrations of

individuals who fall within one or more

categories protected under the Act who

are immigrants (especially racial and

ethnic minorities who are not English

speaking).

(A) Private Enforcement Initiative

(PEI). This Initiative assists private, taxexempt fair housing enforcement

organizations in the investigation and

enforcement of alleged violations of the

Fair Housing Act and substantially

equivalent State and local fair housing

laws. As a condition of funding, you

will be required to refer to HUD all

cases arising from FHIP-funded

enforcement activities (see Mandatory

Referrals, Section IV below).

(1) Eligible Applicants. Eligible

applicants are fair housing enforcement

organizations (FHOs) with at least one

year of experience in complaint intake,

complaint investigation, testing for fair

housing violations, and meritorious

claims in the two years prior to the

filing of this application (see, 24 CFR

125.401(b)(2) and qualified fair housing

enforcement organizations (QFHOs)

with at least two years of enforcementrelated experience, as noted above,

within the three years prior to filing this

application, see 24 CFR 125.103. You

must certify, in the Statement of

Eligibility that you submit with this

application, that your organization is an

FHO or a QFHO and document in the

Statement of Eligibility that your

organization has the required one or two

years of enforcement-related experience.

If you fail to submit the completed

Statement of Eligibility, your

application will be declared ineligible.

You are required also to submit with

your application a copy of your Letter

of Determination from the Internal

Revenue Service (IRS) in support of

your 501(c)(3) tax-exempt status.

However, failure to provide this

document with your application is a

technical deficiency and you will have

14 days to provide the requested

information (see Section V of the

General Section of the SuperNOFA). If

you do not provide the requested taxexempt documentation within the

prescribed timeframe, your application

will be declared ineligible. You are not

eligible if you are currently receiving

PEI General Component funding

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11795

awarded to you under a previous NOFA,

and, your grant agreement expires after

June 30, 2002.

Eligibility of Successor Organization.

HUD recognizes that QFHOs and FHOs

may merge with each other or other

organizations. The merger of a QFHO or

an FHO with a new organization, that

has a separate Employer Identification

Number (EIN), does not confer QFHO or

FHO status upon the successor. To

determine whether the successor

organization meets the eligibility

requirements for this Initiative, HUD

will look at the enforcement-related

experience of the successor organization

(based upon the successor

organization’s EIN). The successor

organization is not eligible to apply

under this Initiative unless it establishes

in the Statement of Eligibility that it is

a private, tax-exempt organization with

the requisite two years for a QFHO or

one year experience for an FHO.

(2) Eligible Activities include:

(a) Complaint intake of allegations of

housing discrimination, testing,

evaluating testing results, or providing

other investigative and complaint

support for administrative and judicial

enforcement of fair housing laws;

(b) Investigations of individual

complaints and systemic housing

discrimination for further enforcement

processing by HUD, through testing and

other investigative methods;

(c) Mediation or other voluntary

resolution of allegations of fair housing

discrimination after a complaint has

been filed; and

(d) Costs and expenses of litigating

fair housing cases, including expert

witness fees.

(B) Education and Outreach Initiative

(EOI). This Initiative assists projects that

inform and educate the public about the

rights and obligations under the Act and

substantially equivalent State and local

fair housing laws. Under this Initiative,

you must develop a complaint referral

process so that activities funded under

this Initiative will result in referrals to

HUD of credible, legitimate fair housing

claims and other information regarding

possible discriminatory housing

practices. HUD is not soliciting EOI

National Program applications under

this program NOFA. Applications are

solicited for the EOI–Regional/Local/

Community-Based Program only—

where activities are conducted on a

regional/local/community-based level.

You may submit your application as a

General Component or a Disability

Component, depending upon its focus.

These Components are explained below.

(1) Eligible Applicants. Eligible

applicants are QFHOs; FHOs (under this

Initiative an FHO need not have

engaged in enforcement-related activity

for at least one year, see 24 CFR

125.103); public or private, for-profit or

not-for-profit organizations or

institutions and other public or private

entities that are formulating or carrying

out programs to prevent or eliminate

discriminatory housing practices (this

category includes entities that will be

established as a result of receiving an

award under this FHIP NOFA); State or

local governments or their agencies; and

agencies that participate in the Fair

Housing Assistance Program (see the list

of FHAP agencies at Appendix C). If you

are a disability advocacy group or

traditional civil rights organization, you

are encouraged to apply under this

Initiative.

(2) Eligible Activities. The following

are eligible activities for either

Component: conducting educational

symposia; distributing existing fair

housing materials throughout your

project area; providing outreach and

information on fair housing through

printed and electronic media; and

providing outreach to persons with

disabilities and/or their support

organizations and service housing

providers, and the general public

regarding the rights of persons with

disabilities under the Act. When

conducting your outreach activities, we

encourage the use of existing, locally or

nationally available fair housing

materials; except that you may modify

those existing materials in languages

other than English or Braille.

Disability Component. Applications

that have a special focus on the fair

housing needs of persons with

disabilities, so that persons with

disabilities, housing providers and the

general public better understand the

rights and obligations under the Act and

more fully appreciate the forms of

housing discrimination that persons

with disabilities may encounter, should

submit their applications to the an EOIDisability Component. Although the

Component has a disability focus, the

funded activities must provide

education and outreach to all persons

protected under the Act.

General Component. Applications for

all other fair housing education and

outreach activities should be submitted

to the EOI-General Component.

(C) Fair Housing Organizations

Initiative (FHOI). This Initiative

provides assistance to projects that

build the capacity of organizations to

become viable fair housing enforcement

organizations that conduct fair housing

enforcement activities in underserved

areas (as defined in Section IV) with

large concentrations of persons

protected by the Act. This is

accomplished with the assistance of a

sponsoring organization. It is the

sponsoring organization that submits

the application under this Initiative.

The sponsored organization whose

enforcement capacity is enhanced by

funding under this Initiative, will be

allowed to participate in this Initiative

for three years contingent upon annual

performance reviews. Funds are

allocated under this NOFA for three

years, and may be distributed to the

sponsored organization by the

sponsoring organization. The

sponsoring organization may receive

administrative cost as described below.

HUD has targeted for funding under this

Initiative, projects that will provide fair

housing enforcement services to rural

areas or to areas with large

concentrations of individuals who fall

within one or more categories protected

under the Act who are immigrants

(especially racial and ethnic minorities

who are not English speaking).

(1) Eligible Applicants. Only the

sponsoring organization is eligible to

apply under this Initiative. The

sponsoring organization must be a

qualified fair housing enforcement

organization (QFHO) with at least two

years of experience in complaint intake,

complaint investigation, testing for fair

housing violations, and meritorious

claims in the three years prior to the

filing of this application, as defined at

24 CFR 125.103. You must certify in the

Statement of Eligibility that you submit

with this application that your

organization is a QFHO. If you fail to

submit the completed Statement of

Eligibility, your application will be

declared ineligible. You are also

required to submit a copy of your IRS

tax-exempt status with your application.

However, failure to provide this

document with your application is a

technical deficiency, and you will have

14 days to provide the requested

information (see Section V of the

General Section of the SuperNOFA). If

you do not provide the requested taxexempt documentation within the

prescribed timeframe, your application

will be declared ineligible.

Eligibility of Successor Organization.

HUD recognizes that a QFHO may

merge with one or more organizations.

The merger of a QFHO into a new

organization, that has a separate

Employer Identification Number (EIN),

does not confer QFHO status upon the

successor organization. To determine

whether the successor organization

meets the eligibility requirements for

this Initiative, HUD will consider the

enforcement-related experience of the

successor organization (based upon the

successor organization’s EIN). The

11796 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

successor organization is not eligible to

apply under this Initiative unless it can

establish that it is a private, tax-exempt

organization with the requisite two

years experience of a QFHO.

(2) Eligible Activities. The proposed

activities must build the enforcement

capacity of the sponsored organization

so that it can undertake all of the

following activities by the conclusion of

year three of the grant cycle:

(a) Complaint intake of allegations of

housing discrimination, testing,

evaluating testing results or providing

other investigative and complaint

support for administrative and judicial

enforcement of fair housing laws;

(b) Investigations of individual

complaints and systemic housing

discrimination for further enforcement

processing by HUD, through testing and

other investigative methods;

(c) Mediation or other voluntary

resolution of allegations of fair housing

discrimination after a complaint has

been filed; and

(D) Costs and expenses of litigating

fair housing cases, including expert

witness fees.

(3) Administrative Costs for the

Sponsoring Organization. The

sponsoring organization may use no

more than 15 percent of the annually

awarded funds to cover its costs to

administer the grant.

IV. Program Requirements

(A) Requirements For All Initiatives.

In addition to the Civil Rights Threshold

requirements in Section II(B) of the

General Section of this SuperNOFA, you

must also meet the following

requirements:

(1) All FHIP-funded projects must

address housing discrimination based

upon race, color, religion, sex,

disability, familial status, or national

origin.

(2) Performance Measures and

Products. Your application must

demonstrate how your project activities

will support HUD goals, identify

performance measures/outcomes in

support of those goals, and identify

current (baseline) conditions and target

levels of the performance measures that

you plan to achieve. Your application

also must contain a strategy for

generating project products, with related

timelines and milestones. If selected for

funding, your final performance

measures and products will be

negotiated between you and HUD as

part of your executed grant agreement.

(3) Reports and Meetings on

Performance Measures and Products.

You are required to report quarterly on

the status of project products against

your approved milestones and timelines

and meet at least semi-annually with

HUD to ensure that project activities

satisfy grant requirements. In your final

grant report, you must describe the

status of performance measures in a

spreadsheet format or other manner

specified by the Department.

(4) Single Award Limitation/

Preference Must Be Stated. You may

submit applications under all Initiatives

and Components but you will receive

only one grant with the exception that

successful FHOI applicants may receive

a grant award under one of the other

Initiatives. If you submit more than one

application for funding, you must

clearly state your preference in two

places in each application you submit:

(i) The Transmittal Letter and (ii) the

Cover Page. If you are selected for

funding in more than one Initiative or

Component, the Selecting Official may

honor your preference if it is in the best

interests of the Program. Failure to

submit your preference at the time of

application will be treated as a technical

deficiency, which may be corrected as

noted in Section V of the General

Section of this SuperNOFA.

(5) Independence of Awards. HUD

will review each application separately

and without reference to other

applications submitted by you or others.

Although there is no limit on the

number of applications that you may

submit, applications must be

independent and capable of being

implemented without reliance on the

selection of other applications

submitted by you or other applicants.

(6) Project Starting Period. For

planning purposes, assume a start date

no later than September 30, 2001.

(7) Page Limitation and Formatting

Requirements. The narrative response

for each of the five Factors for Award is

limited to ten pages per factor (this page

limit does not include attachments or

documents, which also should be

numbered, that are required under each

factor). Narrative pages exceeding the

ten-page limit, including unrequested

items, such as brochures and news

articles, will not be considered. The text

must be double-spaced, and pages must

be numbered consecutively (from the

beginning of the Factor 1 narrative to

the end of the Factor 5 narrative). Please

use Courier 12 as the typeface or font for

your narrative responses. You should

respond fully to each factor. Failure to

provide narrative responses to all factors

and omitting requested information will

result in full points not being allocated

under the Factors for Award, which may

significantly affect your overall score.

(8) Training Funds. All projects,

except for FHOI, are 12-month projects.

Your proposed budget must set-aside

funds to participate in HUD-sponsored

or approved training ($3,000 for EOI and

PEI; and $6,000 annually for FHOI).

Requests to attend HUD-approved

training must be submitted to the

Governmental Technical Representative

(GTR) for approval in advance of the

requested training.

(9) Payment Contingent on

Completion. Payments are contingent on

the satisfactory completion of your

project activities and products as

reflected in your grant or cooperative

agreement.

(10) Accessibility Requirements. All

activities and materials funded by this

Program must be accessible to persons

with disabilities (24 CFR 8.4, 8.6, and

8.54).

(11) Copyright Materials. You may

copyright any work that is eligible for

copyright protection; however, HUD

reserves the right to reproduce, publish,

or otherwise use your work for Federal

purposes, and to authorize others to do

so as outlined in 24 CFR 84.36.

(12) Complaints Against Grantees.

Complaints from the public against

FHIP grantees should be forwarded to

the Fair Housing and Equal Opportunity

(FHEO) Hub Director in the region

where the project is located (see

Appendix C for list of FHEO Hub

Directors). If, after notice and

consideration of relevant information,

HUD concludes that there has been

inappropriate conduct, such as a

violation of FHIP program requirements,

grant, or cooperative agreement terms or

conditions or any other applicable

statute, regulation or other requirement,

HUD will take appropriate action in

accordance with 24 CFR 84.62. Such

action may include: written reprimand;

consideration of past performance in

ranking future FHIP applications;

reimbursement to HUD of the funds

received under the grant; or temporary

or permanent denial of participation in

the FHIP in accordance with 24 CFR

part 24.

(13) Avoiding Double Payments. If

you are awarded funds under this

SuperNOFA, you (and any

subcontractor or consultant) may not

charge or claim credit for the activities

performed under this project to any

other Federal project.

(14) Ineligible Applications. Your

application will be declared ineligible

for any of the following reasons:

(a) General Section Requirements and

Procedures. If you do not meet the Civil

Rights Threshold Requirements set forth

in Section II (B) of the General Section

of this SuperNOFA.

(b) Debarment and Suspension. If you

are presently debarred, suspended,

proposed for debarment, declared

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11797

ineligible, or voluntarily excluded from

covered transactions by any Federal

debarment or agency.

(c) Award Caps. If you request

funding in excess of the maximum

allowed under the Initiative or

Component for which you are applying.

Any amount over the award cap, even

if less than one dollar, will be

considered excessive. In addition,

inconsistencies in the amount requested

and/or miscalculations that result in

amounts over the award caps will be

considered excessive.

(d) Research Activities. If your project

is aimed solely and primarily at

research, including but not limited to

surveys or questionnaires.

(e) Statement of Eligibility. Your

application will be declared ineligible if

you fail to submit the completed

Statement of Eligibility with your

application.

(f) Ineligible PEI and FHOI

Applicants. (i) If you are not a private,

tax-exempt organization. You must

submit a copy of the Letter of

Determination from the Internal

Revenue Service declaring your

501(c)(3) tax-exempt status as a taxexempt organization, with your

application. This documentation should

be readable and included as an

attachment to your Statement of

Eligibility. Failure to submit this

documentation with your application

will be treated as a technical deficiency,

which may be corrected as noted in

Section V of the General Section of this

SuperNOFA. (ii) If you do not conduct

a broad-based and full-service

enforcement project that addresses

discrimination against all persons

protected by the Fair Housing Act on

the basis of race, color, religion, sex,

disability, familial status, or national

origin. (iii) If you are currently receiving

PEI General Component funding

awarded to you under a previous NOFA,

and, your grant agreement expires after

June 30, 2002.

(15) Ineligible Activities.

(a) Fair Housing and Free Speech.

None of the amounts made available

under this NOFA may be used to

investigate or prosecute under the Act

any activity engaged in by one or more

persons, including the filing or

maintaining of a non-frivolous legal

action, that is protected by the First

Amendment to the U.S. Constitution.

This includes activities engaged in for

the purpose of achieving or preventing

action by a government official or entity.

(b) Suits against the United States. No

recipient of assistance under this

Program may use any funds provided by

HUD for the payment of expenses in

connection with litigation against the

United States (24 CFR 125.104(f)).

(c) Other Litigation. No recipient of

assistance under this Program may use

any funds provided by HUD to settle a

claim, satisfy a judgment, or fulfill a

court order in any defensive litigation.

(16) Key Personnel. If your

organization is selected for award, you

must certify to HUD whether any key

personnel have been convicted of a

felony or crime involving fraud or

perjury. In advising HUD, you must

describe the type of conviction, the date

entered and the penalty received and

submit a copy of the report from the

police or court documenting the

conviction. Depending upon the facts,

HUD may place special conditions upon

the grant.

(17) Definitions. The definitions that

apply to this FHIP section of the

SuperNOFA are as follows:

Broad-based proposals are not limited

to a single fair housing issue; instead,

they cover multiple issues related to

housing discrimination covered under

the Act, such as: rental, sales and

financing of housing. (See also Full

Service Projects below).

Disability advocacy groups mean

organizations that traditionally have

provided for the civil rights of persons

with disabilities. This would include

organizations such as Independent

Living Centers, and cross-disability legal

services groups. Organizations must be

experienced in providing services to

persons with a broad range of

disabilities, including physical,

cognitive, and psychiatric/mental

disabilities. Organizations must

demonstrate actual involvement of

persons with disabilities throughout

their activities, including on staff and

board levels.

Enforcement actions include

investigations and charges issued under

the Act, settlements with relief

equivalent to, or greater than, what HUD

would seek had a charge been issued;

settlements with relief for a broad class

of victims; referrals to the Department of

Justice (DOJ), where it has legal

authority to take further action: zoning

and land use cases [42 U.S.C. 3614(b)];

pattern and practice cases (42 U.S.C.

3614(a)); requests for prompt judicial

action; [42 U.S.C. 3610(e)]; and

allegations of criminal violations of the

Act (42 U.S.C. 3631).

Enforcement proposals are potential

complaints under the Act that are

timely, jurisdictional, and welldeveloped, that could reasonably be

expected to become enforcement actions

if an impartial investigation finds

evidence supporting the allegations and

the cases proceeded to a resolution with

HUD involvement.

Fair Housing Assistance Program

(FHAP) Agencies mean State and local

government agencies that administer

laws substantially equivalent to the Act,

as described in 24 CFR part 115.

Fair Housing Enforcement

Organization (FHO) means an

organization engaged in fair housing

activities as defined in 24 CFR 125.103.

Full-service projects must include the

following enforcement-related activities

in your project application: interviewing

potential victims of discrimination;

analyzing housing-related issues; taking

in complaints; testing; evaluating testing

results; conducting preliminary

investigations; conducting mediation;

enforcing meritorious claims through

litigation or referral to administrative

enforcement agencies; and

disseminating information about fair

housing laws.

Meritorious claims mean enforcement

activities by an organization as defined

in 24 CFR 125.103.

Operating budget means your

organization’s total planned budget

expenditures from all sources, including

the value of in-kind and monetary

contributions, in the period for which

funding is requested.

Qualified Fair Housing Enforcement

Organization (QFHO) means an

organization engaged in fair housing

activities as defined in 24 CFR 125.103.

Regional/Local/Community-Based

Activities are defined at 24 CFR

125.301(a) & (d).

Rural Areas, according to the Rural

Housing and Economic Development

Program of Community Planning and

Development (CPD), may be defined in

one of five ways:

(i) A place having fewer than 2,500

inhabitants (within or outside of

metropolitan areas).

(ii) A county with no urban

population (i.e., city) or 20,000

inhabitants or more; territory, persons

and housing units in the rural portions

of ‘‘extended cities.’’

(iii) The rural portions of extended

cities in the United States as identified

by the U.S. Census Bureau.

(iv) Open country which is not part of

or associated with an urban area. The

United States Department of Agriculture

(USDA) describes open country as a site

separated by open space from any

adjacent densely populated urban area.

Open space includes undeveloped land,

agricultural land, or sparsely settled

areas, but does not include physical

barriers (such as rivers or canals) public

parks, commercial and industrial

developments, small areas reserved for

11798 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

recreational purposes, and open space

set aside for future development.

(v) Any place with a population not

in excess of 20,000 and that is not

located in a Metropolitan Statistical

Area.’’

Traditional Civil Rights Organizations

mean non-profit organizations or

institutions and/or private entities with

a history and primary mission of

securing Federal civil rights protection

for groups and individuals protected

under the Act or substantially

equivalent State or local laws and that

are engaged in programs to prevent or

eliminate discriminatory housing

practices.

Underserved Areas mean jurisdictions

that contain large concentrations of

persons protected under the Act and

where either no public or private fair

housing enforcement organizations exist

or the jurisdiction is not sufficiently

served by one or more public or private

enforcement fair housing organizations.

Underserved Populations mean

individuals who fall within one or more

of the categories protected under the Act

and who are also: (1) Of an immigrant

population (especially racial and ethnic

minorities who are not Englishspeaking), (2) in rural populations, (3)

among the homeless, and (4) among

persons with disabilities who can be

historically documented to have been

subject to discriminatory practices not

having been the focus of Federal, State

or local fair housing enforcement efforts.

(B) Additional Requirements For

Private Enforcement Initiative (PEI) and

Fair Housing Organizations Initiative

(FHOI).

(1) Mandatory Referrals. You must

refer to HUD all cases arising from

FHIP-funded enforcement activities. In

all FHIP-funded cases where you find a

basis for filing a complaint on behalf of

a bona fide complainant other than your

organization, you must file the

complaint with HUD unless the

complainant refuses, in writing, to do

so. In addition to filing with HUD, a

bona fide complainant may file in

Federal or State Court.

(2) Outreach Expenses. The funds

awarded for enforcement grants may be

used for outreach and education

activities (outreach activities) in order to

promote awareness of your project’s

services, as follows: under FHOI, you

may designate up to 10 percent of the

requested funds for outreach activities;

under PEI, you may designate up to 5

percent of the requested funds for

outreach activities.

(3) Tester Requirements. Testers in

your FHIP-funded testing activities must

not have prior felony convictions or

convictions of crimes involving fraud or

perjury. All testers must receive training

acceptable to HUD or be experienced in

testing procedures and techniques.

Testers and the organizations

conducting tests, and the employees and

agents of these organizations may not:

(a) Have an economic interest in the

outcome of the test; however, testers

retain their right to recover damages as

provided by law;

(b) Be a relative related by adoption,

blood, or marriage of any party in a case;

(c) Have had any employment or other

affiliation, within the past year, with the

person or organization to be tested; or

(d) Be a licensed competitor of the

person or organization to be tested in

the listing, rental, sale, or financing of

real estate.

(4) Review and Approval of Testing

Methodology. If your Statement of Work

(SOW) proposes testing, other than

rental testing, prior to your carrying out

the testing activities, HUD reserves the

right to require, as a product under the

SOW, copies of the following

documents to be reviewed and approved

by HUD prior to your carrying out the

testing activities:

(a) The testing methodology to be

used, and

(b) The training materials to be

provided to testers.

The testing methodology and training

materials that you submit to HUD for

review and approval are for enforcement

purposes and will remain confidential.

(5) Conflict of Interest and Use of

Settlement Funds Certifications.

(a) You must certify that you will not

solicit funds from or seek to provide fair

housing educational or other services or

products for compensation either

directly or indirectly to any person or

organization that has been the subject of

FHIP-funded testing by your

organization during the 12 month

period following the test. This does not

preclude providing training or technical

assistance that is court ordered or

contained in a negotiated settlement.

HUD reserves the right to negotiate with

awardees additional provisions

addressing potential conflicts of

interest.

(b) You must reimburse the United

States for FHIP-funded activities

whenever you receive funds as the

result of enforcement activities funded

in whole or in part by the FHIP

program, including testing. You must

provide information about

reimbursements and/or potential

reimbursements in a report that you

submit to HUD (see Reports below). To

accomplish this, you must reimburse

the United States for the FHIP-funded

activities in accordance with procedures

set forth in your grant or cooperative

agreement. This reimbursement

requirement does not apply to

compensation received as a result of a

judgment in State or Federal court. For

example:

FHIP grant $15,000 ($10,000 which is for

testing: 20 tests @ $500 each). One test

results in a $15,000 conciliation. Additional expenses paid from non-FHIP

funds: $100.

Amount of reimbursement to

United States: $400.00

= $500 (Amt. of FHIP funds to

conciliate) ..................

¥$100 (Deduct non-FHIP funds

used) ..................

Subtotal $400 ..................

(6) Reports. You must provide reports

in a format (which may be computergenerated), at a frequency and with

contents specified by HUD. At a

minimum, the report must include the

number and basis of claims/complaints

filed with HUD, a FHAP agency, or in

Federal/State court and the number and

terms of settlements or other outcomes

achieved. In the event HUD does not

prescribe a format or frequency, you

will provide a narrative report within 90

days after all grant activities have

ended. You do not have to produce the

terms of settlements that a court or other

tribunal orders be kept confidential.

You will also be required to provide

status reports on case referrals you have

made to HUD or a FHAP agency. These

reports are for enforcement purposes

and will remain confidential.

(7) Enforcement Log. You are required

to record information about the funded

project in a case tracking log (or Fair

Housing Enforcement Log) in a format

prescribed by HUD. Such information

must include: the number of complaints

of possible discrimination you have

received; the protected basis of these

complaints; the issue, test type, and

number of tests utilized in the

investigation of each allegation; the

respondent type and testing results; the

time for case processing, including

administrative or judicial proceedings;

the cost of testing activities and case

processing; the entity to which the case

was referred; and the resolution and

type of relief sought and received. You

must agree to make this log available to

HUD. This log will be considered

confidential for enforcement purposes.

(C) Additional Requirements For

Education and Outreach Initiative.

Complaint Referral Process: You must

develop a process for referring

complaints to HUD. HUD expects this

complaint referral process will result in

an increased number of referrals to HUD

of credible, legitimate fair housing

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11799

claims and other information regarding

discriminatory practices.

(D) Additional Requirements For Fair

Housing Organizations Initiative.

Sponsored organization’s viability and

fair housing enforcement capacity. Over

the duration of the grant, the sponsored

organization must demonstrate its

capacity to become a viable, fair housing

enforcement organization that conducts

fair housing-related enforcement

activities and leverages non-FHIP

resources. These are the performance

measures that, if not met, may result in

termination of the grant, and your

description for achieving these

measures will be considered when

evaluating your application. We will

look for this description in your

response to Rating Factor 3: Soundness

of Approach. Specifically:

(a) Fair Housing-related enforcement

activities. The sponsored organization

must conduct all of these enforcementrelated activities by the conclusion of

year 3 of the grant: complaint intake,

complaint investigation, testing for fair

housing violations, and meritorious

claims. Your application must identify

which activities the sponsored

organization will conduct at the end of

the grant year 1, 2 and 3. Your

performance measures will be based

upon this description, and failure to

meet them may result in termination of

the grant.

(b) Organizational resources. The

sponsored organization must not rely

exclusively on FHIP funding. At the

conclusion of each grant year, the

sponsored organization must show

increasing support from sources other

than what is awarded under this

program. Specifically, at the conclusion

of year 1, no less than 5% of the funds

supporting the sponsored organization’s

fair housing enforcement-related

activities must be funded from nonFHIP funds; at the conclusion of year 2,

no less than 10% of the funds

supporting the sponsored organization’s

fair housing enforcement-related

activities must be from non-FHIP funds;

and at the conclusion of year 3, no less

than 20% of the funds supporting the

sponsored organization’s fair housing

enforcement-related activities must be

from non-FHIP funds. Your application

must state how you will meet these

requirements. Your performance

measures will be based upon these

requirements, and failure to meet them

may result in termination of the grant.

V. Application Selection Process

(A) Rating and Ranking. Your

application for funding will be

evaluated competitively against all other

applications submitted under one of the

following Initiatives or Components:

(1) Private Enforcement Initiative

(PEI)

(2) Education and Outreach Initiative

(EOI)-Regional/Local/Community-Based

Program:

a. General Component (EOI–GC)

b. Disability Component (EOI-DC)

(3) Fair Housing Organizations

Initiative (FHOI)

All eligible applications will be

reviewed and points awarded based

upon: (1) your narrative responses to the

Factors for Award and (2) bonus points,

if entitled. The maximum number of

points to be awarded for the Factors for

Award is 100. This SuperNOFA

provides for the award of up to two

bonus points for eligible activities/

projects located in EZ/EC areas, if

applicable. In addition, for applications

submitted by the City of Dallas, Texas,

HUD may add up to 2 more points to the

score based on a special consideration

from a court order as described in

Section III of the General Section of this

SuperNOFA). Applications with a score

of seventy (70) points (bonus points are

included in this score) or more will be

considered of sufficient quality for

funding. The Selecting Official will not

select for award any application with a

score below seventy (70) points.

Generally, applications of sufficient

quality for funding will be selected in

rank order under each Initiative or

Component. HUD reserves the right to

select applicants out of rank order to

achieve greater geographic distribution

of awards under each Initiative or

Component, as described in Section V

(C) below. Selections under each

Initiative or Component will continue to

be made until either all allocated funds

have been obligated or until no

applications of sufficient quality

remain.

(B) Tie Breaking. PEI and EOI-General

Component. When two or more

applications have the same score, HUD

will rank as higher the application that

lists one or more examples of the

outreach it will engage in to advise

immigrant (especially racial and ethnic

minorities who are not Englishspeaking) and other underserved

populations, as defined in Section IV of

this NOFA, of the services offered by the

project. If applying this procedure does

not break the tie, the application with

the higher score under Rating Factor 3:

Soundness of Approach will be ranked

higher. If Rating Factor 3 does not break

the tie, the application with the higher

score under Rating Factor 1: Capacity of

the Applicant and Relevant

Organizational Experience will be

ranked higher. If Rating Factor 1 does

not break the tie, the application

requesting the lower FHIP funding will

be ranked higher.

FHOI. When two or more applications

have the same overall score, the

application with the higher score under

Rating Factor 3: Soundness of Approach

will be ranked higher. If this does not

break the tie, the application with the

higher score under Rating Factor 1:

Capacity of the Applicant and Relevant

Organizational Experience will be

ranked higher. If this does not break the

tie, the application requesting the lower

FHIP funding will be ranked higher.

(C) Achieving Geographic Diversity of

Awards. HUD reserves the right to select

applications out of rank order to ensure

that, to the extent possible, applications

from more states for each Initiative or

Component are selected for funding. If

the Selecting Official exercises this

discretion, it shall be applied to all

qualified applications (applications of

sufficient quality for funding ‘‘

applications that received a score of 70

or more points) in each Initiative or

Component in which the Selecting

Official applies geographic diversity.

The geographic diversity provision will

be applied as follows: when there are

two or more applications of sufficient

quality from the same state, the

application(s) with the lower score(s)

will be moved to the end of the

qualified applicant queue. The

applications moved to the end of the

qualified applicant queue will retain

their rank order.

(D) Factors for Award Used to

Evaluate and Rate All Applications. The

factors for rating and ranking

applications and the maximum points

for each factor are provided below.

Failure to provide the required

information under the appropriate

Factor will result in a lower score for

that Factor—for example, information in

the Project Abstract, although useful for

developing a project synopsis, is not

considered in the evaluation of

applications.

Please respond fully to each Factor for

Award and, when directed, identify

other sources in support of your

response. The Factors for Award are set

out as follows:

In general. This section applies to all

applicants. Your responses to this and

the In Addition section below must not

exceed 10 pages per factor.

In addition. This section identifies

issues to which you must respond, if

required, by the particular Initiative or

Component for which you are applying.

Attachments. Where certain forms or

documents are required for the Initiative

or Component under which you are

applying, these attachments, will not be

11800 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

counted toward the 10-page limit on

narrative responses for each factor.

Rating Factor 1: Capacity of Applicant

and Relevant Organizational

Experience (20 Points)

You must describe staff expertise and

your organization’s ability to complete

the proposed activities within the grant

period. You must also provide

performance assessments conducted by

your funding sources, including HUD,

that have been done of your

organization’s performance of these

activities. This performance assessment

must be signed by or attached to a

transmittal signed by the authorized

representative of the funding source(s). In General. HUD recognizes that, in

carrying out the proposed activities, you

may have persons already on staff, plan

to hire additional staff, or rely on

subcontractors or consultants to perform

specific tasks. (a) (10 Points) Number and expertise

of staff (this includes subcontractors

and consultants). You must show that

you have sufficient, qualified staff who

will be available to complete the

proposed activities. Provide the

following information for all staff

assigned to or hired for this project, not

just key personnel (those persons

identified in attachments to Rating

Factor 3: Soundness of Approach): (i) Identify, by name and/or title, all

persons that will be assigned to the

project. You must describe the

knowledge and experience of the

proposed overall project director and

day-to-day program manager in

planning and managing large and

complex interdisciplinary programs.

Indicate the percentage of time that key

personnel will devote to your project.

To receive maximum points, your dayto-day program manager must devote a

minimum of 75% of his/her time to the

project. You may demonstrate capacity

by thoroughly describing your prior

experience in fair housing. You should

indicate how this prior experience will

be used in carrying out your proposed

activities. Your application must clearly

identify those persons that are on staff

at the time this application is filed, and

those persons who will be assigned at a

later date; describe each person’s duties

and responsibilities and their expertise

(including years of experience) to

perform project tasks; indicate whether

the staff person is assigned to work fulltime or part-time (if part-time, indicate

the percentage of time each person is

assigned to the project). (ii) Attach resumes for all key

personnel. (iii) Describe the qualifications to be

considered in the selection of staff who

will be assigned or hired at a later date,

when you expect they will begin

working on the project (for example, 30

days from the execution of the grant or

cooperative agreement), and how project

activities will be carried out until then.

(iv) Describe the racial/ethnic

diversity of project staff and the

applicant’s governing board. If there is

no diversity, please explain.

(b) (5 Points) Organizational

experience. In responding to this

subfactor, you must show that your

organization has either: (i) conducted a

past project or past projects identical or

similar in scope and complexity to the

project proposed in this application

(whether FHIP-funded or not), or (ii)

engaged in activities that, although not

identical or similar, are readily

transferable to the proposed project.

Experience will be judged in terms of

recent, relevant and successful

experience of your staff to undertake

eligible activities. In rating this factor,

HUD will consider experience within

the last 5 years to be recent, experience

pertaining to the specific activities to be

relevant, and experience producing

specific accomplishments to be

successful. The more recent the

experience and the more experience

your own staff members who work on

the project have in successfully

conducting and completing similar

activities, the greater the number of

points you will receive for this rating

factor. If the applicant organization has

not engaged in projects similar to the

scope and activities proposed in the

application, two (2) points will be

deducted.

In addition. If you are applying for

funding under PEI or FHOI, provide the

following information when responding

to this subfactor:

(i) Respond completely to all

questions in the Statement of Eligibility.

For PEI, you must clearly state whether

you are a QFHO or an FHO. The

requested information must establish

that your organization has engaged in

each of the enforcement-related

activities, for at least one year (if you are

an FHO) or two years (if you are a

QFHO). For FHOI, you must be a QFHO.

(ii) Describe the procedure you will

use to ensure that testers comply with

the requirements in Section IV (B) (4) of

this program NOFA.

(iii) If you propose to conduct testing

other than rental or accessibility testing,

document that, at a minimum, you have

conducted successful rental or

accessibility testing. Provide a general

description of when and where the tests

occurred, the entities tested, and the

overall results of the tests, including

complaints filed and the settlements or

remedies secured.

FHOI. Provide a statement of

organizational capacity and experience

of the sponsored organization.

In general.

(c) (5 Points) Performance on past

project(s). You must describe your

organization’s past performance record

in the projects you cite in the preceding

sub-factor in support of your capacity

and expertise to perform the project for

which you are seeking funding under

this NOFA. Include a description of the

purpose of the past project and what

was accomplished. Attach a copy of the

funding entity’s performance

assessment/review of this project,

whether FHIP-funded or not. If the past

project was HUD-funded, include a

copy of the most recent SF 269A,

Financial Status Report.

—Indicate if complaints were filed with

HUD or a FHAP agency, the number

of complaints that were filed [unless

you received a prior PEI or FHOI FHIP

award (see (a)(i) below), this number

will not be considered when

evaluating this response] and provide

a status report on the cases filed.

In addition.

(a) If you have received an FHOI or a

PEI award under the FY 1998, 1999 or

2000 FHIP NOFA, you must:

(i) discuss your compliance with the

mandatory referral requirement of all

cases arising from FHIP-funded

activities requirement, as described in

those NOFAs. Three (3) points will be

deducted for this subfactor if you have

not complied with the requirement.

(ii) discuss your compliance with the

requirement to reimburse the Federal

government for compensation received

from FHIP-funded enforcement

activities. If you have not reimbursed

the Federal government for such

compensation, explain why you have

not. Also, state whether you reported to

HUD any likely compensation that may

result in such reimbursement. One (1)

point will be deducted for this subfactor if you have not complied with the

requirement.

Attachments. All applicants must

submit: Statement of Eligibility; resumes

of all key personnel; for those who have

received funding for other projects, a

copy of the most recent performance

assessment from the funding source, if

it was a HUD funded project, the most

recent SF 269. In addition, FHOI, and

PEI applicants must submit the Internal

Revenue Service’s, Letter of

Determination declaring your 501(c)(3)

status as a tax exempt organization.

Rating Factor 2: Need/Distress/Extent of

the Problem (20 Points)

(a) (15 Points) Documentation of

Need. You must describe the fair

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11801

housing need, its urgency and how your

project is responsive to that need. To

justify the need for your project, you

must describe the following:

(1) The fair housing need, including:

(a) Geographic area to be served;

(b) Populations protected by the Act

that will be served—your project must

serve all persons protected by the Act;

and

(c) The presence of housing

discrimination, segregation and/or other

indices of discrimination in the project

area based upon race, color, religion,

sex, national origin, familial status, or

disability and submit data and studies

that support this indication.

(2) The urgency of the identified need.

For example:

(a) The consequences to persons

protected by the Act if your application

is not selected for funding;

(b) Whether other fair housing public

or private agencies or organizations

provide the services identified in your

application;

(3) Other sources that support the

need and urgency for this project. For

example, use reports, statistics, and

other data sources that are sound and

reliable, including but not limited to,

HUD or other Federal, state or local

government reports analyses, relevant

economic and/or demographic data,

including those that show segregation,

foundation reports and studies, news

articles, and other information that

relate to the identified need. Chapter V

of the Fair Housing Planning Guide,

Vol. 1 has other suggestions for

supporting documentation. You may

access the Guide from the HUD web at

‘‘www.hud.gov.’’ If the proposed

activity is not covered under the scope

of the Consolidated Plan and Analysis

of Impediments to Fair Housing Choice

(AI), you should so indicate, and use

other sound data sources to identify the

level of need and the urgency in

meeting the need. If your application

addresses needs that are identified in

the AI, you will receive more points

than applicants that do not relate their

program to the identified needs. For you

to receive maximum points for this

factor, there must be a direct

relationship between your proposed

activities, community needs, and the

purpose of the program funding.

To the extent possible, the data you

use should be specific to the area where

the proposed activity will be carried

out. You should document needs as

they apply to the area where activities

will be targeted, rather than the entire

locality or state. If the data presented

does not specifically represent your

target area, you should discuss why the

target areas were proposed.

(4) The link between the need and

your proposed activities:

(a) how the proposed activities

augment or improve upon on-going

efforts by public and private agencies,

organizations and institutions in the

target area, and/or why, in light of other

on-going efforts, the additional funding

you are requesting is necessary.

In addition, with respect to (a)

Documentation of Need, the following

apply to specific FHIP Initiatives or

Components:

EOI-Disability Component. Your

project must serve all persons protected

by the Act. However, your project may,

in addition, focus on the need to inform

persons with disabilities, housing

providers and the public about the

rights and obligations under the Act so

that these persons more fully appreciate

the forms of housing discrimination that

those with disabilities may encounter.

PEI and EOI-General Component. If

you intend to conduct outreach and

inform immigrant (especially racial and

ethnic minorities who are not Englishspeaking) and other underserved

populations of the services being offered

by the project, please identify the

underserved population and list one or

more examples of the outreach you will

conduct.

FHOI. HUD has targeted for funding

under this Initiative, projects that will

provide fair housing enforcement

services to rural areas or to areas with

large concentrations of individuals who

fall within one or more categories

protected under the Act who are

immigrants (especially racial and ethnic

minorities who are not Englishspeaking). Although HUD has targeted

these areas, you are still required to

justify the need for the sponsored

organization by: (i) Demonstrating the

presence of housing discrimination,

segregation and/or other indices of

discrimination in the project area based

upon race, color, religion, sex, national

origin, familial status, or disability and

submit data and studies that support

your claim; and (ii) explain why the

project area is underserved and why the

proposed sponsored organization is

needed.

(b) (5 Points) Underserved Areas. Up

to five points will be awarded when the

applicant and project area are not

served by a State or local FHAP agency.

In instances where the applicant is

located in an area not served by a FHAP

agency but the project activities are

conducted in various geographic areas,

some that are not served by a State or

local FHAP agency, points will be

awarded as follows:

5 points will be awarded if more than

80% of the activities are conducted in

areas not served by a State or local

FHAP agency.

4 points will be awarded if more than

60% but less than 80% of the activities

are conducted in areas not served by a

State or local FHAP agency.

3 points will be awarded if more than

40% but less than 60% of the activities

are conducted in areas not served by a

State or local FHAP agency.

2 points will be awarded if more than

20% but less than 40% of the activities

are conducted in areas not served by a

State or local FHAP agency.

1 point will be awarded if less than

20% of the activities are conducted in

areas not served by a State or local

FHAP agency.

You must indicate whether (a) you are

located in an area that is served by a

State or local FHAP agency (see

Appendix C for a list of FHAP agencies);

(b) the activities you propose will be

conducted in a project areas served by

a State or local FHAP agency; and (c)

explain why the project area is

underserved and/or why the proposed

organization or activity is needed.

Attachments. None required.

Rating Factor 3: Soundness of

Approach (40 Points)

You must describe your project in

detail, demonstrate how your project

activities will support HUD goals,

propose suggested performance

measures/outcomes in support of these

goals, and identify current baseline

conditions and target levels of the

performance measures that you plan to

achieve. Also attach a Statement of

Work (SOW) and budget. Your proposed

activities must support HUD’s goal to

substantially increase the number of

enforcement actions.

(5 Points) Describe Project. Describe

in broad terms the design and objectives

of your project and your plan for

accomplishing those objectives. Please

discuss the following:

(i) Project purpose.

(ii) Persons to be served.

(iii) Geographic area to be served.

(iv) Proposed activities and who will

conduct these activities, you or a

subcontractor(s) or consultant(s).

(v) The methodology you will use to

carryout these activities and tasks.

Information Requirements. Your

application must include a description

of the enforcement proposals to be

referred to HUD to increase enforcement

actions. Your description must explain

the information you intend to collect

and analyze, the type of complaints you

anticipate referring to HUD for

enforcement purposes, and describe the

procedure you will implement for

referring such complaints. If you

11802 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

propose a testing program, you must

explain how you plan to structure the

tests, train investigators, conduct

investigations, etc. This description

should make clear the safeguards to be

used to ensure that complaints referred

to HUD for enforcement action are fully

jurisdictional under the Act and

supported by credible and legitimate

evidence that the Act has been violated.

Describe the procedures you will put in

place to ensure that referrals of all

complaints are sent to HUD. Failure to

provide this description will result in

reduced points for this subfactor.

In addition. If you apply under the:

EOI. Enforcement-related activities

are not eligible for funding. Describe

how activities or final products can be

used by other organizations and

agencies.

PEI/FHOI. You may conduct limited

outreach activities (5% for PEI and 10%

for FHOI), as described in Section IV (B)

(2). This must be reflected clearly in

your SOW and Budget. In general.

(b) (5 Points) Describe Budget and

Financial Controls. HUD will also assess

the soundness of your approach by

evaluating the quality, thoroughness,

and reasonableness of the budget and

financial controls of your organization,

including information on your proposed

program cost categories. As part of your

response, you must prepare a budget

that: (1) Is reasonable and cost-effective

in achieving the goals identified in your

proposed SOW; (2) relates tasks in the

SOW to the proposed budget costs; (3)

is cost-effective in achieving its

anticipated results, as well as in

achieving significant impact on fair

housing; and (4) documents and justifies

all cost categories in accordance with

the cost categories indicated in the

Budget Narrative Workplan that is

discussed in more detail in (a) through

(k) below:

Management of project over grant

period.

Cost Effectiveness of Program. Discuss

and provide supportive facts concerning

the extent to which your proposed

program is cost effective in achieving

the anticipated results of the proposed

activities. Also, indicate how the

proposed project will achieve a

significant impact on the community.

Financial Management Capacity.

Identify and provide documentation to

support your organization’s financial

management system. In addition,

provide documentation about your

capabilities in handling financial

resources and maintenance of an

adequate accounting and internal

control procedures.

FHOI. Provide a statement of transfer

of programmatic and management

responsibilities from the sponsoring to

sponsored organization by the end of

grant year 3.

(c) (5 Points) Describe Support of

HUD Goals. In addition. If you are

applying under the:

EOI. Describe the elements of the

complaint referral process you will

develop as a task under this grant.

Explain how the process will result in

an increased number of referrals to HUD

of credible, legitimate fair housing

claims and other information regarding

discriminatory practices.

FHOI. Over the course of the grant,

the sponsored organization must

conduct fair housing-related

enforcement activities and leverage nonFHIP resources. These are the

performance measures that, if not met,

may result in termination of the grant,

and your description for achieving these

measures will be considered when

evaluating your application. Specify:

1. Fair Housing related enforcement

activity. The sponsored organization

must conduct all of these enforcement

related activities by the conclusion of

year 3 of the grant: complaint intake,

complaint investigation, testing for fair

housing violations, and meritorious

claims. Your application must identify

which activities the sponsored

organization will conduct at the end of

the grant year 1, 2 and 3. Your

performance measures will be based

upon this description, and failure to

meet them may result in termination of

the grant.

2. Organizational resources. The

sponsored organization must not rely

exclusively on FHIP funding. Your

application must show that at the

conclusion of each grant year, the

sponsored organization is leveraging

non-FHIP resources. Specifically, at the

conclusion of year 1, no less than 5%

of the funds supporting the sponsored

organization’s fair housing enforcementrelated activities must be from non-FHIP

funds; year 2, no less than 10% of the

funds supporting the sponsored

organization’s fair housing enforcement

related activities must be from non-FHIP

funds.

PEI/FHOI. Describe a procedure to

ensure that referrals of all complaints

are made as required by this NOFA.

Your description should include

safeguards to ensure that referred

complaints are fully jurisdictional under

the Act and supported by credible and

legitimate evidence that the Act has

been violated.

(d) (5 Points) Proposed Performance

Measures and Products. Identify and

discuss the specific methods and

measures you will use (in addition to

HUD reporting requirements) to

measure progress, evaluate program

effectiveness, and identify program

changes necessary to improve

performance. Describe how you will

obtain, document and report the

information. The more descriptive and

illustrative your plan is for documenting

and providing this information, the

greater the number of points you will

receive. You should: identify current

(baseline) conditions and set

appropriate target levels and milestones

with timelines for such performance

measures and proposed products. FHIP

funded projects must address housing

discrimination based upon race, color,

religion, sex, disability, familial status,

or national origin.

Attachments.

(e) (10 Points) Proposed Statement of

Work (SOW), and Financial

Management and Audits Information.

The Statement of Work and budget are

attachments that will not count toward

the 10-page limit on the narrative

response to this factor. However, points

will be assigned based on the quality

and accuracy of the SOW and budget.

Statement of Work—Submit a

proposed SOW that comprehensively

outlines in chronological order the

administrative and program activities

and tasks to be performed during the

grant period. Your outline should

identify all activities and tasks to be

performed and by whom (i.e., you or a

sub-contractor), and the products that

will be provided to HUD and when. The

tasks identified in the SOW should be

related to the proposed budget costs

reflected in the budget.

(f) (10 Points) The Budget Form and

the Budget Information—NonConstruction Programs SF–424A, must

show the total cost of the project and

indicate other sources of funds that will

be used for the project. While the costs

are based only on estimates, the budget

narrative work plan must include

information such as quotes obtained

from various vendors, or you may rely

on historical data. Applicants must

round all budget items to the nearest

dollar.

A written budget narrative must

accompany the proposed budget. It must

explain and attach back-up

documentation for each cost category.

Generally, estimated costs for high-cost

items or subcontractors/consultants

should be supported by bids from at

least three (3) sources. Where there are

travel costs for subcontractors/

consultants, you must show that local

subcontractors/consultants are not

available and that the combined travel

costs (per diem rates should be

consistent with Federal Travel

Regulations) and rates and fees of the

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11803

out-of-town subcontractors/consultants

do not exceed the rates and fees charged

by local subcontractors and consultants.

(a) Direct Labor—by position or

individual, specify the estimated hours

per position, the rate per hour,

estimated cost per staff position and the

total estimated direct labor costs;

(b) Fringe Benefits—by staff position,

identify the rate, the salary base on

which the rate was computed, estimate

the cost per position, and the total

estimated fringe benefits cost;

(c) Material Costs—indicate the item,

unit costs per item, the number of items

to be purchased, estimated cost per

item, and the total estimated material

costs;

(d) Transportation Costs—where use

of a local private vehicle is proposed,

costs must indicate the proposed

number of miles (travel costs should be

consistent with Federal Travel

Regulations), 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, you should identify the other

method of transportation selected, the

number of trips to be made and

destinations, the estimated costs, and

the total estimated costs for any other

transportation costs.

(e) Per diem—you must identify per

diem or subsistence costs per travel day,

the number of travel days, and the

estimated costs for per diem/subsistence

which should total estimated

transportation costs. You must use the

Federal Travel Regulation for per diem

rate for cities listed under

‘‘Transportation Costs’’ in your costs

estimates.

(f) Equipment charges—must identify

the type of equipment, quantity, unit

costs and total estimated equipment

costs;

(g) Consultant Costs—indicate the

type, estimated number of consultant

days, rate per day, total estimated

consultant costs per consultant and total

estimated costs for all consultants;

(h) Subcontract Costs—identify each

proposed subcontract and amount (each

proposed subcontract must include a

separate budget that identifies proposed

costs by cost categories). [In addition,

your project budget should include any

costs related to subcontract(s) with the

FHAP agencies and disability advocacy

and/or traditional civil rights

organizations that account for activities

related to the subcontractor’s role in the

project.] Your application must include

a separate detailed budget for each

subcontract.

(i) Other Direct Costs—listed by item,

quantity, unit costs, total for each item

listed, and total direct costs for the

award; and

(j) Indirect Costs—should identify

your approved indirect cost rate base to

which the rate applies and total indirect

costs. If you do not have an accepted,

Federally negotiated indirect cost rate,

you may use direct cost for all of your

program costs. Alternately, you may

develop a proposed indirect cost rate in

accordance with Office of Management

and Budget (OMB) Circular A–122, Cost

Principles and Procedures for NonProfit Organizations, and provide

supportive documentation on this

calculation.

(k) Audit Information—You must

submit a certification from an

Independent Public Accountant or your

cognizant government auditor, stating

that the financial management system

you employ meets prescribed 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), Uniform Administrative

Requirements for 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) Uniform Administrative

Requirements for Grants and

Cooperative Agreements to State, Local

and Federally-Recognized Indian Tribal

Governments. This information must

contain the name and telephone number

of the Independent Auditor, cognizant

Federal auditor, or other audit agency,

as applicable.

Include All Tasks Shown On This Form

Statement of Work For lllll

The applicant, lllll, agrees to

undertake the following activities in

accordance with its FY 2001 application

for funding under the lllll

InitiativelllllComponent (if

applicable) for al-month project

commencinglllll, 2001 in the

geographic area of lllll. For

FHOI, provide a timetable for transfer of

activities/responsibilities from the

sponsoring to the sponsored

organization.

—

—

—

—

—

ADMINISTRATIVE ACTIVITIES

Activities Tasks Submitted by Submitted to

1. ....................................................................... ........................................................................... .................................... GTR/GTM

2. ....................................................................... ........................................................................... .................................... GTR/GTM

3. ....................................................................... ........................................................................... .................................... GTR/GTM

4. ....................................................................... ........................................................................... .................................... GTR/GTM

5. ....................................................................... ........................................................................... .................................... GTR/GTM

6. Complete HUD–2880 Disclosure Statements.Submit Disclosure Statement. If no changes

occur, submit statement of no change with

final report.

When changes occur GTR/GTM

7. Complete SF–269A Financial Status Report

and Written Quarterly Status Reports on All

Activities.

Submit SF–269A and Copy of Written Report Quarterly .................... GTR/GTM

8. Voucher for Payment .................................... Submit payment request to LOCCS ................ Per Payment Schedule.GTR/GTM

9. Complete Listing of Current or Pending

Grants/Contracts/Other Financial

Agreeemnts.

Submit Listing for Recipient and any contractors.45 Days and At end

of Grant.

GTR/GTM

10. Prepare summary of First Year (24 month

grants).

Submit summary of first year accomplishments.395 days .................... GTR/GTM

11804 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

ADMINISTRATIVE ACTIVITIES—Continued

Activities Tasks Submitted by Submitted to

11. Prepare and Submit Draft of Final Report Submit Draft of Report. Report Summary

should include objectives, accomplishments

and results. Complaint and testing activities

should summarize data on complaints received and tests conducted by basis and

issue and outcomes including Number of

credible, legitimate Complaints Filed with

HUD, State or local Fair Housing Agency,

Department of Justice or Private Litigator;

and Types of Relief/Results..

One month before

end of grant term..

GTR/GTM

12. Complete Final Report and Provide Copies

of All Final Products Not Previously Submitted.

Submit a copy of the Final Report and All

Final Products not previously submitted to

GTR and GTM..

Within 90 days after

end of grant term..

GTR/GTM

13. Submit 2 copies of Final Report and all

Final Program Products produced under the

Grant (with diskette, where feasible) to

HUD..

Activities and database entry sheet(s) to HUD.

Copy of HUD database entry sheet(s) or detailed description of items submitted to GTR

and GTM.

Within 90 days after

end of grant term..

GTR/GTM

KEY PERSONNEL

Title Name

Activities Tasks Submitted by Submitted to

1. Contact HUD and/or other information

sources to obtain any appropriate materials

prior to development of new materials.

List of materials requested ............................... 90 days ...................... GTR/GTM. Submit

one copy of all final

products to HUD

2. Review/refine referral process to refer potential victims to HUD, DOJ, a state or local

agency, or a private attorney.

Copy of Referral Process. All audit-based enforcement actions should be referred to

HUD.

45 days ...................... GTR/GTM

3. Intake and process complaints, including

testing and referral. Complete Enforcement

Log which details complaints received;

dates; the protected basis of these complaints; the issue, test type, and number of

tests utilized in the investigation of each allegation; the respondent type and testing results; the time for case processing, including

administrative or judicial proceedings; the

cost of testing activities and case processing; to whom the case was referred; and

resolution/type of relief sought and received.

(PEI and FHOI PROJECTS ONLY).

Submit copy of Enforcement Log and a Report

on number of enforcement proposals referred to HUD.

Quarterly .................... GTR/GTM

4. Non-rental Testing methodology and tester

training must be received/approved by HUD.

Submit testing methodology and tester training

to HUD for review and approval.

60 days ...................... GTR/GTM

GTR/GTM

GTR/GTM

GTR/GTM

GTR/GTM

GTR/GTM

GTR/GTM

GTR/GTM

GTR/GTM

GTR/GTM

GTR/GTM

GTR/GTM

GTR/GTM

If you have a Federally negotiated

indirect rate, you should use that rate as

the appropriate base in this section. In

all other instances, you should include

your current overhead rate, if any,

which has been tailored to your

organization’s operating budget. The

rate and base used here is illustrative

only.

BUDGET NARRATIVE WORKPLAN FORMAT

Name of Organization: llllllllll Budget Period: llll months

Position or individual Estimated

hours

Rate per

hour

Estimated

cost

Federal

cost

In-kind

cost

$$$$

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11805

BUDGET NARRATIVE WORKPLAN FORMAT—Continued

Name of Organization: llllllllll Budget Period: llll months

Position or individual Estimated

hours

Rate per

hour

Estimated

cost

Federal

cost

In-kind

cost

$$$$

$$$$

$$$$

Total direct labor ......................................................................................... $ $ $

Fringe benefits Rate Base Estimated

cost

Federal

cost

In-kind

cost

F.I.C.A. ............................................................................................................... $$$$

Unemployment Insurance 1 ................................................................................ $$$$

Health Insurance 2 .............................................................................................. $$$$

Workers Compensation 1 ................................................................................... $$$$

Total fringe benefits .................................................................................... $ $ $

Materials Quality Unit

cost

Estimated

cost

Federal

cost

In-kind

cost

$$$$

$$$$

$$$$

$$$$

Total materials ............................................................................................ $ $* $

Local travel Mileage/

fare

Rate/mile Estimated

cost

Federal

cost

In-kind

cost

$$$$

$$$$

Subtotal local travel .................................................................................... $ $ $

* Materials/Equipment prices must be supported by vouchers/cash register receipts of same or similar item or lease quotes from vendor at time

of budget negotiation. 1 Rates may vary by State.

2 Rates may vary by organization.

Air travel destination Number of

travelers

Roundtrip

fare

Estimated

cost

Federal

cost

In-kind

cost

$$$$$

Subtotal air travel ........................................................................................ $ $ $

Other travel items Quantity Unit

cost

Estimated

cost

Federal

cost

In-kind

cost

$$$$

$$$$

Subtotal other travel ................................................................................... $ $ $

Per diem subsistence Number of

travelers

Number of

days/rate

per day

Estimated

cost

Federal

cost

In-kind

cost

$$$$

Per diem subsistence ........................................................................................ $ $ $

Total travel .................................................................................................. $ $* $

Equipment Quantity Unit

cost

Estimated

cost

Federal

cost

In-kind

cost

$$$$

$$$$

$$$$

Total equipment costs ................................................................................ $ $** $

11806 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Air travel destination Number of

travelers

Roundtrip

fare

Estimated

cost

Federal

cost

In-kind

cost

Consultants Days Rate per

day

Estimated

cost

Federal

cost

In-kind

cost

$$$$

$$$$

$$$$

$$$$

$$$$

Total consultants ......................................................................................... $ $*** $

* All travel must be grant related and rates cannot exceed the Federal rate.

** Lease/purchase of equipment must be supported by three quotes at time of budget negotiation.

*** Daily rate cannot exceed $406 per day unless waiver is obtained from Grant Officer.

Subcontracts Rate/service Quantity Estimated

cost

Federal

cost

In-kind

cost

$$$

Total subcontracts ...................................................................................... $ $* $

Other direct Quantity Unit

cost

Estimated

cost

Federal

cost

In-kind

cost

$$$$

$$$$

$$$$

$$$$

Total other direct ......................................................................................... $ $ $

Indirect Rate Base Estimated

cost

Federal

cost

In-kind

cost

** $ $ $

Total indirect ............................................................................................... $ $ $

Total estimated cost Total

federal

cost

Total inkind cost

Total costs .................................................................................................. $ $ $

Amount to enter on Form 424 funding matrix ............................................ $ $ $

* When individual subcontract fees exceed 10% of your grant amount, an itemized budget is required.

** If you have a Federally negotiated indirect rate, you should use that rate as the appropriate base in this section. In all other instances, you

should include your current overhead rate, if any, which has been tailored to your organization’s operating budget. The rate and base used here

is illustrative only.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses your ability to

secure additional community resources

to support your project. Points will be

awarded on the basis of the percentage

of non-FHIP resources you have

identified and how firm the

commitment is for those resources.

(10 Points) Firm Commitment of

Leveraging. HUD encourages you to

secure resources from sources other

than what is requested from this

program. Community resources may

include funding or in-kind

contributions, such as work space or

services or equipment, allocated to the

purpose(s) of your proposal. Resources

may be provided by governmental

entities (including other HUD

programs), public or private non-profit

organizations, for-profit private

organizations, or other entities willing

to work with you. In order to secure

points you must establish leveraging of

community resources by providing

letters of firm commitment from the

organizations and/or individuals who

will support your project. Each letter of

firm commitment must: (i) Identify the

organization and/or individual

committing resources to the project, (ii)

identify the sources and amounts of the

leveraged resources (the total FHIP and

non-FHIP amounts must match those in

your proposed budget submitted under

Factor 3), and (iii) describe how these

resources will be used as part of your

SOW. The letter must be signed by the

individual or organization official

legally able to make commitments for

the organization. If the resources are inkind or donated goods, the commitment

letter must indicate the dollar value of

those resources. No points will be

awarded for general letters of support

endorsing the project from organizations

and/or individuals (including elected

officials) in your community. The

commitment is firm if the offerer

conditions it on the making of an award

under this program NOFA.

If your project will not be supported

by non-FHIP resources, then you will

not receive any points under this factor.

Points will be assigned based on the

following scale:

Two points will be awarded if your

project will be supported by non-FHIP

funds, but those funds are less than 5%

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11807

of the project’s total costs are from nonFHIP funds.

Four points will be awarded if more

than 5%, but less than 10% of the

project’s total costs are from non-FHIP

funds.

Six points will be awarded if more

than 10% but less than 20% of the

project’s total costs are from non-FHIP

funds.

Eight points will be awarded if more

than 20% but less than 30% of the

project’s total costs are from non-FHIP

funds.

Ten points will be awarded if more

than 30% of the project’s total costs are

from non-FHIP funds.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

This factor addresses the extent to

which you coordinate your activities

with other organizations in the project

area, participate or promote

participation in the project area’s

Consolidated Planning process

(including Analysis of Impediments to

Fair Housing Choice), and create

linkages with other activities in the

community. In other words, to what

extent are you working with others to

address community needs in your

project area. In evaluating this factor,

HUD will consider the extent to which

you demonstrate:

(a) (5 points) How your proposed

activities are linked to and coordinated

with activities of other organizations in

the target community. This includes a

discussion of how FHIP-funded

activities will augment and improve ongoing efforts by public and private

agencies, organizations, and institutions

in the target area. Describe in your

proposal how your project activities will

be coordinated with organizations in

your project area, and linked with:

(i) Other proposed or on-going HUDfunded program activities;

(ii) Other proposed or on-going State,

Federal, local or privately-funded

activities which, taken as a whole,

support and sustain a comprehensive

system to address the purpose of these

programs; and

(iii) Other activities undertaken to

address barriers to housing choice

identified in the Consolidated Plan’s

Analysis of Impediments to Fair

Housing Choice.

In addition, describe how you will

participate in, and/or promote

participation in the project area’s

Consolidated Planning process.

(b) (5 points) Outreach activities to

promote awareness of project activities.

This includes (i) a discussion of how

your methods or approaches will ensure

that project activities and materials are

made available to local groups and

organizations, (ii) identification of such

groups and organizations in your project

area, and (iii) an explanation of how

your project will promote coordination

with various groups or organizations in

your project area. At a minimum, your

application should discuss procedures

you will use to promote awareness of

the services provided by your proposal.

(F) Applicant Notification and Award

Procedures.

(1) Notification. No information will

be available to you during the period of

HUD evaluation, which begins on the

closing date of this program NOFA and

lasts approximately 90 days thereafter,

except to advise you, in writing or by

telephone, if HUD determines that your

application is ineligible or has technical

deficiencies which may be corrected as

described in Section V of the General

Section of the SuperNOFA. Selections

will be announced by HUD when the

evaluation and selection process is

completed. HUD will also advise

applicants who were not selected of the

scores they received. HUD will not

release the names of applicants or their

scores to third parties. Selections do not

become final until final negotiations

with HUD are successfully concluded.

(2) Negotiations. If you are selected,

HUD will require you to participate in

negotiations to determine the specific

terms of your cooperative or grant

agreement. HUD will follow the

negotiation procedures described at

Section III of the General Section of the

SuperNOFA. The selection is

conditional and does not become final

until the negotiations between the

applicant and the Department are

successfully concluded and the grant or

cooperative agreement is executed. HUD

will negotiate only with the person

identified in the application as the

Director of the organization or if

specifically identified in the

application, the Project Director. HUD

will not negotiate with any third party

(i.e, a subcontractor, etc.)

(3) Funding Instrument. HUD expects

to award a cost reimbursable or fixedprice cooperative or grant agreement to

each applicant selected for award. Upon

completion of negotiations, HUD

reserves the right to use the funding

instrument it determines is most

appropriate.

(4) Adjustments to Grant Amounts. As

provided in Section III of the General

Section of the SuperNOFA, HUD may

approve an application for an amount

lower than the amount requested, fund

only portions of your application,

withhold funds after approval, and/or

require that special conditions be added

to your grant agreement, in accordance

with 24 CFR 84.14, the requirements of

this SuperNOFA, or where:

(a) HUD determines the amount

requested for one or more eligible

activities is unreasonable or

unnecessary;

(b) An ineligible activity is proposed

in an otherwise eligible project;

(c) Insufficient amounts remain to

fund the full amount requested in the

application, and HUD determines that

partial funding is a viable option;

(d) The past record of key personnel

warrants special conditions, or

(e) The Selecting Official determines

it is in the best interests of the Program.

(5) Performance Sanctions. A grantee

or subcontractor 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 FHIP, and denial of

further participation in programs of

HUD or any Federal agency.

VI. Application Submission

Requirements

In addition to the forms, certifications

and assurances required of applicants to

all HUD programs, which can be found

at Section II of the General Section of

the SuperNOFA, you must submit with

each FHIP application, the forms,

certifications and assurances described

below and found at Appendix B.

In general.

When applying under any Initiative or

Component you must submit the

following:

(A) Transmittal Letter. Your

transmittal letter must identify: (1) The

dollar amount requested, (2) the specific

FHIP Initiative, or in the case of EOI, the

specific Component (General or

Disability), for which you are applying,

and (3) your preference for selection, if

you are applying to more than one

Initiative or Component.

(B) Narrative Statement. Respond

completely to each of the five Factors

for Award. Failure to provide the

required information in the appropriate

Factor will result in a lower score for

that Factor—for example, information in

the Project Abstract, although useful for

developing a project synopsis, will not

be considered when evaluating

applications. The narrative responses

must not exceed 10 pages per factor

(required attachments are not counted);

text must be double-spaced and pages

numbered consecutively (starting with

Factor 1 through the end of Factor 5).

Please use Courier 12 as the typeface or

font for your narrative responses.

Listed below are requirements by

Factor:

11808 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Award Factor 1: Capacity of

Applicant and Relevant Organizational

Experience—Statement of Eligibility;

Performance Assessments/Evaluation of

Past Projects, and if HUD funded, the SF

269a, PEI and FHOI Applicants:

(1) Testing Experience. You must

document your prior testing experience

(see Factor 1: Capacity of the Applicant

and Relevant Organizational

Experience), and

(2) Letter of Determination from IRS of

your 501(c)(3) tax-exempt status.

Award Factor 2: Need/Distress/Extent

of the Problem.

Submit data and studies that indicate

the presence of housing discrimination,

segregation and/or other indices of

discrimination in the project area based

upon race, color, religion, sex, national

origin, familial status or disability, and

explain why the project area is

underserved and why the proposed

organization is needed.

Award Factor 3: Soundness of

Approach—Statement of Work, Budget

Form(s), Budget Narrative. You must

submit a certification from an

Independent Public Accountant or your

cognizant government auditor on your

financial management and audit

information. In addition, you must

describe the information you intend to

collect and analyze, the type of

complaints you anticipate referring to

HUD for enforcement purposes, and

describe the procedure you will

implement for referring such

complaints.

In addition:

Depending upon the Initiative or

Component for which you are seeking

funding, you must respond to the

following points in your narrative

responses:

(C) EOI Applicants:

(1) You must describe the elements

you will use to develop the process for

referring fair housing complaints to

HUD.

(D) FHOI Applicants

(1) The sponsored organization must

conduct all of these enforcement-related

activities by the conclusion of year 3 of

the grant: complaint intake, complaint

investigation, testing for fair housing

violations, and meritorious claims. The

application must specify which

activities will be conducted in year 1,

year 2, and year 3. Even though HUD

has targeted for award projects that

assist rural and immigrant populations,

you must explain why the proposed fair

housing enforcement organization is

needed.

(2) Performance Measures. You must

address the following:

(a) The sponsored organization’s

capacity to become a viable, fair housing

enforcement organization that conducts

fair housing related enforcement

activities and leverages non-FHIP

resources.

(b) That the sponsored organization

will meet the required performance

measures for sponsored organizations

and how these measures will be

achieved.

Award Factor 4: Leveraging

Resources—Letter(s) of Firm

Commitment.

Award Factor 5: Comprehensiveness

and Coordination—No Attachments

Required.

VII. Corrections to Deficient

Applications

Section V of the General Section of

the SuperNOFA provides the

procedures for corrections to deficient

applications.

VIII. Environmental Requirements

In accordance with 24 CFR

50.19(b)(3), (4), (9), (12), and (13) of

HUD regulations, activities assisted

under this program are categorically

excluded from the requirements of the

National Environmental Policy Act and

are not subject to environmental review

under related laws and authorities.

IX. Authority

Section 561 of the Housing and

Community Development Act of 1987,

as amended, (42 U.S.C. 3616)

established the Fair Housing Initiatives

Program (FHIP)) and the implementing

regulations are found at 24 CFR part

125.

Appendix A—Frequently Asked

Questions

Q. In previous years, FHIP applicants were

not required to submit the Certification of

Consistency with the Consolidated Plan, is

the Certification required this year?

A. Yes.

Q. Where can I find a copy of the

Application Kit?

A. There will be no Application Kit for the

FY2001 FHIP SuperNOFA. The NOFA more

clearly describes the requirements for

completing a successful application and all

forms and certifications needed to complete

the application are included in the General

and FHIP Sections of the SuperNOFA.

Q. What are the maximum number of

narrative pages that can be submitted for

each Rating Factor?

A. The maximum number is 10 pages per

factor. This does not include any attachments

that may be required under each factor (for

example, the proposed statement of work and

budget required under Factor 3: Soundness of

Approach). The narrative pages must be

double spaced and you are encouraged to use

Courier 12 font or typeface.

Q. The FHIP SuperNOFA refers to QFHOs

and FHOs. What is the difference between

them?

A. These terms are defined in the FHIP

regulations. Both organizations must be

organized as private, tax-exempt, charitable

organizations, that have engaged in

enforcement-related activities. The amount of

enforcement-related experience is an

eligibiliity requirement for PEI, least one year

for and FHOI, at least two years. (See 24 CFR

125.103, for a QFHO; and 24 CFR

125.401(b)(2) for an FHO.)

Applicants to PEI and FHOI are required to

complete the Statement of Eligibility—where

they self-identify as a QFHO or an FHO and

provide information, including dates of your

enforcement-related activities. The

information you provide should enable HUD

to determine if your organization meets at

least one or two year enforcement-related

experience requirement. Your application

will be declared ineligible, if you fail to

submit the completed Statement of Eligibility

with your application.

Q. May an applicant subcontract out a

percentage of its activities to subcontactors or

consultants, if it is selected for an FHIP

award?

A. Yes. However, when the fees to a

particular subcontractor or consultant exceed

10% of the grant amount, an itemized budget

is required.

Q. Is an organization ‘‘engaged in testing

for fair housing violations’’ if it hires a

subcontractor or consultant to conduct its

testing program?

A. Yes, so long as the applicant analyzes

the test results.

Q. Does the SuperNOFA identify what

makes an application ineligible?

A. Yes. See the eligibility requirements for

each Initiative and Section IV(B)(14) and (15)

of the FHIP SuperNOFA.

Q. Are there major differences between this

year’s SuperNOFA and last year’s?

A. Yes, those differences are explained in

Section III of the FHIP NOFA. The

differences are: (1) Fewer components; (2)

Uniform Project Duration and Award Caps;

(3) Redesign of FHOI; (4) Changes to Rating

system; (5) Changes to Selection Process; (6)

No Applicaiton Kit; and (7) No EOI-National

Program NOFA.

Q. At what point may an FHOI ‘‘sponsored

organization’’ apply under any FHIP

Initiative?

A. A sponsored organization is eligible

after three (3) years to apply for funds under

EOI and, depending upon its record of

conducting enforcement-related activities,

may be eligible to apply for funds under PEI.

Q. What are award caps?

A. An award cap is the maximum amount

that will be awarded under the Initiative for

which you are applying. If you request an

amount over this maximum amount, your

application will be declared ineligible.

Q. Where do you send completed

applications?

A. All completed applications must be

received by the FHIP Office in Washington,

DC. These applications should be mailed to

the address stated in the SuperNOFA under

the Section Address for Submitting

Applications.

Q. What is the best method of knowing that

the appropriate person has received my

application? Should I follow up with a call?

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11809

A. Include with your completed

application a complete copy of the

Acknowledgment of Application Receipt. Be

sure to include your correct mailing address

and the person to whom the

Acknowledgment should be sent. HUD will

not acknowledge the receipt of applications

over the telephone.

Q. What is the website address?

A. Http//www.hud.gov/grants.

Q. What is the due date?

A. The due date is outlined in the

SuperNOFA under Section I, Application

Due Date.

Q. If I have a technical question, can I call

HUD?

A. Yes, technical questions should be

directed to Myron P. Newry of the [FHIP/

FHAP Support Division, at (202) 708–0800

(this is not a toll-free number).] Persons with

hearing or speech impairments may call 1–

800–290–1617 (this is a toll-free number).

Q. What is meant by geographic diversity?

A. In order to ensure a wider distribution

of FHIP funding, the Assistant Secretary may

apply the geographic diversity procedure to

select qualified applicants out of rank order.

It applies only when more than one qualified

organization is in the same State, i.e., when

more than one qualified organization is in the

same State, the selecting official may select

the highest ranked among them and the

other(s) is moved to the bottom of the

qualified applicant queue. If sufficient funds

remain, it is possible that applications moved

to the end of the queue may be selected for

award.

Appendices B and C

Forms that must be filed with all FHIP

applications, in addition to the forms found

at Section III of the General Section of the

SuperNOFA and the list of HUD offices and

FHAP agencies are in Appendices B and C

that follow:

BILLING CODE 4210–32–P

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BILLING CODE 4210–32–C

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FUNDING AVAILABILITY FOR THE

HOUSING COUNSELING PROGRAM

Program Overview

Purpose of the Program. The purpose

of this program is to provide

comprehensive housing counseling

through national, regional, multi-state

housing counseling agencies, State

housing finance agencies, and local

HUD-approved housing counseling

agencies. Counseling assists

homebuyers, homeowners, and tenants

to meet their housing needs and resolve

their housing problems.

Available Funds. Approximately

$17.55 million.

Eligible Applicants. (1) HUDapproved national, regional, or multistate intermediaries; (2) HUD-approved

local housing counseling agencies; and

(3) State housing finance agencies.

Application Deadline. May 3, 2001.

Match. None.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Further

Information, and Technical Assistance

Application Due Date. If you are a

Local Housing Counseling Agency or a

State Housing Finance Agency you must

submit to the Homeownership Center

designated below, and the HOC must

receive, a completed application on or

before 6:00 pm, local time, May 3, 2001.

If you are a National, Regional or

Multi-State Housing Counseling

Intermediary, you must submit a

completed application on or before

12:00 midnight, Eastern time, on May 3,

2001, to the HUD Headquarters Office

designated 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. If you are a Local Housing

Counseling Agency or State Housing

Finance Agency, your completed

application consists of an original and

two copies. Send your completed

application to the respective HUD

Homeownership Center (HOC) having

jurisdiction over the locality, area or

State in which your proposed program

is located. Your application should be

sent to the attention of the Program

Support Division Director, and the

envelope should be clearly marked ‘‘FY

2001 Housing Counseling Grant

Application.’’ A list of the HUD

Homeownership Centers, including

their field office and State jurisdictions,

and the Program Support Division

Directors appears below.

Homeownership center Field office States

U.S. Department of HUD—Detroit Office

Mr. John Niebieszczanski, Patrick V. McNamara Building, SF Program Support Branch

4, 477 Michigan Ave. Rm. 1600, Detroit, MI

48226. For technical questions Contact: Robert Wright (215) 656–0527 x3406.

Albany, Baltimore, Bangor, Boston, Buffalo,

Burlington, Camden, Charleston, Cincinnati,

Cleveland, Columbus, Detroit, Flint, Grand

Rapids, Hartford, Manchester, New York,

Newark, Philadelphia, Pittsburgh, Providence, Richmond, Washington, DC, Wilmington.

Connecticut, Delaware, District of Columbia,

Maine, Maryland, Massachusetts, Michigan,

New Hampshire, New Jersey, New York,

Ohio, Pennsylvania, Rhode Island,

Vermont, Virginia, West Virginia.

Atlanta Homeownership Center

Ms. Gayle Knowlson, 40 Marietta Street, 8th

Floor, Atlanta, GA 30303–2806. Contact:

Fellece Sawyer-Coleman (404) 331–5001,

x2675.

Atlanta, Birmingham, Caribbean, Chicago and

Springfield, Columbia, Coral Gables,

Greensboro, Indianapolis, Jackson, Jacksonville, Knoxville, Louisville, Memphis,

Nashville, Orlando, Tampa.

Alabama, Puerto Rico, Florida, Georgia, Illinois, Indiana, Kentucky, Mississippi, North

Carolina, South Carolina, Tennessee.

Denver Homeownership Center

Ms. Dawn Davis, Wells Fargo Building, 633

17th Street, Denver, CO 80202–3607. Contact: Irma Devich (303) 672–5216 x1980.

Albuquerque, Denver (Casper, Fargo, Sioux

Falls), Dallas, Des Moines, Denver, Fort

Worth, Helena, Houston, Kansas City, Little

Rock, Lubbock, Milwaukee, Minneapolis,

New Orleans, Oklahoma City, Omaha, Salt

Lake City, San Antonio, Shreveport, St.

Louis, Tulsa.

Arkansas, Colorado, Iowa, Kansas, Louisiana,

Minnesota, Missouri, Montana, Nebraska,

New Mexico, North Dakota, Oklahoma,

South Dakota, Texas, Utah, Wisconsin, Wyoming.

Santa Ana Homeownership Center

Mr. Jerrold Mayer, 1600 N. Broadway, Suite

100, Santa Ana, CA 92706–3927. Contact:

Rhonda J. Rivera, Chief 1–888–827–5605

(714) 796–1200 x3210.

Anchorage, Boise, Fresno, Honolulu, Las

Vegas, Los Angeles, Phoenix, Portland,

Reno Sacramento, San Diego, San Francisco, Santa Ana, Seattle, Spokane, Tucson.

Alaska, Arizona, California, Hawaii, Oregon,

Idaho, Nevada, Washington.

If you are a National, Regional or

Multi-State Housing Counseling

Intermediary, your completed

application also consists of an original

and two copies. Submit your completed

application to Director, Program

Support Division, Office of Single

Family Housing, HUD Headquarters,

451 Seventh Street, S.W., Washington,

DC 20410, Room 9166. The envelope

should be clearly marked, ‘‘FY 2001

Intermediary Application.:

Application Kits. Application kits will

not be used this year.

For Further Information and

Technical Assistance. If you are a local

housing counseling agency or State

housing finance agency, you may call

the HUD Homeownership Center

serving your area. If you are a national,

regional, or multi-state intermediary,

you may call HUD Headquarters,

Program Support Division at (202) 708–

0317 (this is not a toll-free number).

Persons with hearing or speech

impairments may access this number

via TTY by calling the toll-free Federal

Information Relay Service at 1–800–

877–8339. Please see above for a list of

offices and telephone numbers you can

call to receive assistance. Before the

application deadline, HUD staff will be

available to provide general guidance.

Satellite Broadcast. HUD will hold an

informational broadcast via satellite for

potential applicants to learn more about

11844 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov.

New data collection and performance

measurement system. To improve

HUD’s ability to measure performance

and target resources to the most

effective housing counseling programs,

HUD is undertaking an effort to modify

both the Housing Counseling Handbook

and the associated 9902 form, our

primary data collection instrument.

HUD plans to gather quantitative

information (to supplement the

qualitative and anecdotal information

already collected) to measure the

performance of each housing counseling

program. To ensure that our

modifications to the data collection

instrument are most effective, however,

we would like to hear from you, the

potential grantees. If you would like to

offer any suggestions or

recommendations on how best to

measure and assess the impact and

outcomes of housing counseling

services, please send your comments to

Director, Program Support Division,

Office of Single Family Housing, HUD

Headquarters, Room 9166, 451 Seventh

Street, SW, Washington, DC, 20410.

II. Amount Allocated

Under this SuperNOFA,

approximately $17.55 million of the $20

million appropriated is made available

for eligible applicants. An allocation of

up to $1.8 million of the $20 million

total in program funding has been set

aside for Housing Counseling support

which may include continuation of the

Housing Counseling Clearinghouse,

tuition assistance for housing

counselors, and/or other HUD

counseling initiatives and activities. An

allocation of up to $500,000 of the $20

million appropriated is available for the

Home Equity Conversion Mortgage

(HECM) Program, as provided in section

255(k) of the National Housing Act (12

U.S.C. 1715z–20). An allocation up to

$150,000 is available to assist HUD’s

Office of Public and Indian Housing

with housing counseling support in the

Native American Programs.

Local housing counseling agencies,

State housing finance agencies, and

national, regional and multi-state

intermediaries may apply for and

receive a grant only under one of the

three categories described below.

Affiliates and branches of State housing

finance agencies or national, regional

and multi-state intermediaries that are

not HUD-approved can apply for a

subgrant under either Category 2 or 3,

but not both. (The term ‘‘affiliate’’ or

‘‘affiliates’’ includes the term ‘‘branch’’

or ‘‘branches’’ of the affiliate unless

otherwise stated.) A HUD-approved

local housing counseling agency

applying as an affiliate for a subgrant

under either Category 2 or 3 cannot

apply directly to HUD for separate

funding. Only one source of HUD funds

is permissible under any of the three

categories or within Category 2 or

Category 3. For example, an

organization affiliated with two or more

intermediaries can only apply to one

intermediary for a housing counseling

subgrant. Another example is an

organization affiliated with an

intermediary and a State housing

finance agency. This organization can

apply to either the intermediary or the

State housing finance agency for a

housing counseling subgrant but not

both.

In situations where an applicant

submitted an application under two or

more categories or submitted an

application to two or more

intermediaries within Categories 2 or 3,

a decision must be made by the

applicant to affirm one funding source.

If two or more applications were

submitted then the applicant must

select one category or one intermediary

within Categories 2 or 3, under which

to apply and must withdraw all other

applications. If two or more grants were

awarded then one grant source must be

selected and all others forfeited.

III. Applicant Categories

The amount of funds available for

allocation are set forth below in three

competing categories. Applicants must

submit an application under the specific

category for which they are eligible to

apply for a grant.

(A) Category 1—Local Housing

Counseling Agencies (LHCA).

Approximately $6.6 million has been

made available for grants to local HUDapproved housing counseling agencies.

Funding is allocated to each HUD field

office jurisdiction by a formula that

reflects the increased emphasis on the

expansion of homeownership

opportunities for first-time homebuyers

and HUD’s intent to ensure appropriate

geographical distribution of program

funds. For FY 2001, no individual local

housing counseling agency may be

awarded more than $100,000.

A local HUD-approved housing

counseling agency may apply for a grant

to HUD, or a subgrant to a state housing

finance agency, as an affiliate, or a

subgrant to a national, regional, and

multi-state intermediary as an affiliate.

However, the local HUD-approved

housing counseling agency can apply

for only one grant or subgrant under any

of the three categories or within

Category 2 or 3.

There will be no suballocations for

field office jurisdictions this year.

Allocations for use in local agency

programs by HUD Homeownership

Centers are as follows:

Philadelphia HOC ..................... 1,861,698

Atlanta HOC ............................. 1,924,468

Denver HOC ............................. 1,469,281

Santa Ana ................................. 1,344,553

(B) Category 2—National, Regional,

and Multi-State Intermediaries.

Approximately $9.95 million is being

set aside to fund HUD-approved

national, regional and multi-state

intermediaries that apply for funding

under this SuperNOFA. Awards for

HUD-approved housing counseling

intermediaries may not exceed $1.2

million, except for regional

intermediaries, whose awards may not

exceed $250,000.

A national, regional or multi-state

intermediary may provide a subgrant to

an affiliate, but not to an affiliate that

applies directly to HUD, a State housing

finance agency, or another intermediary

in Category 2.

(C) Category 3—State Housing

Finance Agencies (SHFA).

Approximately $1 million is being set

aside to fund State housing finance

agencies that have a role as a housing

counseling agency and/or as an

intermediary to affiliates, offering

housing counseling services. (State

housing finance agencies are defined in

24 CFR 266.5 under the definition of

‘‘housing finance agency’’). The amount

of funding available to each of the four

HUD Homeownership Center

jurisdictions is as follows:

Homeownership center Funding allocation

Atlanta, GA ........................... $254,285

Denver, CO ........................... 254,285

Philadelphia, PA ................... 267,145

Santa Ana, CA ...................... 224,285

Total ............................... $1,000,000

There is no cap on the award amount

that a State housing finance agency, or

its affiliates, may receive, but HUD will

take into consideration prior usage of

grant funds as stated in Factor 1. A State

housing finance agency may provide a

subgrant to an affiliate, but not to an

affiliate that applies to HUD or a

national, regional, and multi-state

intermediary or another State housing

finance agency.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11845

IV. Funding Policies

(A) Remaining and Deobligated

Funds/Reallocations. If funds remain

after HUD has funded all approvable

grant applications in its

Homeownership Center jurisdictions, or

Headquarters, or if any funds become

available due to deobligation or refusal

to accept an award, that amount will be

retained by HUD for future housing

counseling use or HUD may use that

amount (or any part thereof) by

allocating it to another HUD office

jurisdiction, and/or another allocation

category.

(B) Funding Levels. The Factors for

Award will be used to evaluate your

application for funding. If you are a

successful applicant, HUD may require

that you participate in negotiations to

determine the specific grant amount and

the terms of the grant agreement. HUD

will follow the negotiation procedures

described in Section III(D) of the

General Section of the SuperNOFA.

Housing Counseling grants are fundable

for a period of twelve (12) calendar

months. This period may begin from the

date that your award is executed by

HUD, or may begin on a date that is not

more than 90 days prior to the date that

you are notified of your award, which

beginning date shall be determined by

HUD.

(C) Funding Methodology. As

described below, in Section VII(B) of

this program section of the SuperNOFA,

the Factors for Award will be used to

evaluate your application and a

maximum of 100 points may be

awarded for each application. Only

applicants who receive at least 50 points

out of the 100 will be considered

eligible for funding. All eligible

applicants will then be funded in

proportion to the score they receive, or

as negotiated.

This year’s formula will work as

follows: every agency that receives a

score of 50 points will receive a base

award of $2500, then will receive

additional funds for every point above

that 50 point cutoff. The total number of

agencies with scores above 50 will be

multiplied by $2500 and that amount

will be subtracted from the total

available to the HOC. Then, the

remaining balance will be divided by

the total number of points each agency

scores that are above the 50 point cutoff.

The division will result in a dollar value

for each point. The number of points

that each agency scores above the 50

point base will be multiplied by that

dollar value. The result of that

multiplication will be added to the

$2500 base for the total award amount.

For example, an agency with a score of

85 would receive $2500 plus the dollar

value for each point times 35 (35 being

the number of points above the 50 point

cutoff). $66,128

(D) Award Instrument. All Housing

Counseling Program awards shall be

made on a cost reimbursement basis in

accordance with the requirements in

OMB Circular A–87, Cost Principles for

State and Local Governments and

Indian Tribal Governments; or OMB

Circular A–122, Cost Principles for NonProfit Organizations, as applicable to

your organization; and the

administrative requirements established

in OMB Circular A–102, which was

implemented by 24 CFR part 85

(Administrative Requirements for

Grants and Cooperative Agreements to

State and Local Governments and

Indian Tribal Governments); OMB

Circular A–110, which was

implemented by 24 CFR part 84 (Grants

and Agreements with Institutions of

Higher Education, Hospitals and Other

Non-Profit Organizations); and OMB

Circular A–133 which was implemented

by 24 CFR parts 84 and 85. If you

receive an award you are also required

to ensure that any sub-recipients also

comply with the requirements in these

circulars.

After selection, but prior to award of

funds, you will be required to submit to

ensure to HUD’s satisfaction that your

financial accounting system meets the

federal requirements for fund control

and accountability as required by these

OMB Circulars. You must also submit

documentation establishing your

organization’s indirect cost rate. Such

documentation may consist of a

certification from, or your most recent

audit by, the cognizant Federal agency

or an Independent Public Accountant. If

your organization does not have an

established indirect cost rate, you will

be required to develop and submit an

indirect cost proposal to HUD or the

cognizant Federal Agency as applicable,

for determination of an indirect cost rate

which will govern your award. Funds

will not be awarded until the

determination of the Indirect cost rate.

Your submission should include the

name and telephone number of the

Independent Auditor or the cognizant

Federal Auditor. HUD cannot award

funds to an organization unless its

financial management system meets

Federal requirements for funds control

and accountability.

V. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. HUDapproved housing counseling agencies

provide counseling and advice to

tenants and homeowners on property

maintenance, financial management,

and other matters appropriate to assist

tenants and homeowners in improving

their housing conditions and meeting

responsibilities of tenancy and

homeownership. In addition, HUDapproved housing counseling agencies

conduct community outreach activities

and provide counseling to individuals,

including persons with visual or hearing

impairments or other disabilities, with

the objective of increasing awareness of

homeownership opportunities and

improving access of low and moderate

income households to sources of

mortgage credit. HUD believes that this

activity is key to the revitalization and

stabilization of low income and

minority neighborhoods. Agencies assist

first-time homebuyers by offering

Homebuyer Education and Learning

Program (HELP) training sessions.

Agencies also meet the counseling

needs of eligible persons 62 or older

who desire to use the Home Equity

Conversion Mortgage (HECM) to convert

equity in their homes into a lump sum

payment or an income stream that can

be used for home improvements,

medical costs, and/or living expenses.

(B) Eligible Applicants. Under the

Housing Counseling Program, HUD

contracts with qualified public or

private nonprofit organizations to

provide housing counseling services.

There are three categories of applicants

that are eligible to submit applications:

(1) HUD-approved Housing

Counseling Intermediaries. If you are a

housing counseling intermediary, you

are responsible for distributing grant

funds to affiliated local housing

counseling agencies. In FY 2001, you

must list all of your affiliates and the

cities and states in which you and your

affiliates maintain offices, then identify

which affiliates will receive funding

through this grant award. Your local

affiliates are eligible to undertake any or

all of the housing counseling activities

described for HUD-approved local

housing counseling agencies. Local

affiliates receiving funding through your

organization do not need to be HUDapproved in order to receive funds from

you. However, you must be HUDapproved as of the date of this

SuperNOFA. You must identify all of

your affiliates in your application that

will be seeking a subgrant. If your

affiliate is not HUD-approved, you must

certify the quality of services provided

will meet, or exceed, standards for local

HUD-approved housing counseling

agencies.

HUD will permit you wide discretion

in implementing your housing

counseling programs with your

affiliates, but your application must

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clearly define your management

responsibilities, the service delivery

responsibilities of your affiliates and

appropriate time frames for reporting

results to HUD.

You can decide how to allocate

funding among your affiliates with the

understanding that a written record

must be kept of how you determined

your funding levels. This record must be

made available to your affiliates and to

HUD. You should budget an amount

that reflects your best estimate of the

cost to oversee and fund the housing

counseling efforts of your affiliates. You

must seek other private and public

sources of funding to supplement HUD

funding. HUD does not intend for its

counseling grant funds to cover all costs

incurred by an agency participating in

this program.

(2) HUD-approved local housing

counseling agencies. These agencies are

private and public non-profit

organizations, approved by HUD to

provide housing counseling services

directly to clients. If you are a HUDapproved local housing counseling

agency, HUD will fund your activities

according to the budget submitted with

your application. The amounts you

request should reflect anticipated

operating needs for your housing

counseling activities, based upon your

counseling experience during the

previous fiscal year and your current

agency capacity.

If you apply directly to HUD, you

cannot apply as an affiliate for a

subgrant to a State housing finance

agency or to a national, regional or

multi-state intermediary. In addition,

you must disclose all funding sources to

HUD. If you are a local housing

counseling agency that is not currently

HUD-approved, you may receive FY

2001 funding only as an affiliate of a

HUD-approved national, regional, or

multi-state intermediary; or State

housing finance agency.

(3) State housing finance agencies.

Your primary activity under this grant

as a State housing finance agency is to

provide housing counseling services as

a local housing counseling agency and/

or serve as an intermediary distributing

counseling funding to local housing

counseling organizations that operate in

your State or territory. You and your

local affiliates are eligible to undertake

any or all of the housing counseling

activities described for HUD-approved

local housing counseling agencies.

As either a housing counseling agency

or intermediary, you and your local

affiliates do not need to be HUDapproved in order to receive these

funds.

As an intermediary, you must list all

of your affiliates in your application and

designate those affiliates that will be

seeking a subgrant. The amount you

request should reflect anticipated

operating needs for housing counseling

activities, based upon the counseling

experience during FY 2000 and your

current capacity.

In your role as an intermediary, the

amount you request should reflect your

best estimate of costs to oversee and

fund your housing counseling affiliates.

The amount you request should reflect

anticipated operating needs for housing

counseling activities, based on past

experience. For State Housing Finance

Agencies who participated in the

program in FY 1998 or FY 1999, the

request should reflect your past usage of

HUD housing counseling grant funds.

HUD will give you wide discretion to

implement your housing counseling

program with your affiliates.

As an intermediary, you must execute

subgrant agreements with your affiliates

that clearly delineate the mutual

responsibilities for program

management, including appropriate

time frames for reporting results to

HUD. As part of the subgrant agreement,

your affiliate must certify that it has not

applied for a grant from any other

Housing Counseling grant allocation or

category, or another State housing

finance agency. Your affiliate may be a

local housing counseling agency. Local

housing counseling agencies may also

be affiliates of national, regional, or

multi-State intermediaries or HUD

approved local housing counseling

agencies. You must decide how to

allocate funding among your affiliates

and keep a written record of how your

determination was made. This record

must be made available to the affiliates

and to HUD. You must certify that, if

your affiliate is not HUD-approved, the

quality of services provided will meet,

or exceed, standards for local HUDapproved housing counseling agencies.

You must seek other private and

public sources of funding to supplement

HUD funding. HUD does not expect its

counseling grant funds to cover all costs

incurred by your organization’s

participation in this program. You may

use the HUD grant to undertake any of

the eligible counseling activities.

(C) Eligible Activities. Housing

counseling services/activities include:

(1) Homebuyer Education Programs

that offer potential purchasers general

information on the homebuying process.

These types of programs include HUD’s

Homebuyer Education and Learning

Program (HELP), where HUD’s

educational materials are used in

sessions consisting of approximately

eight to twelve (8–12) hours of training.

HUD staff at each HUD Homeownership

Center will be available to provide you

with the HELP materials.

(2) Pre-purchase Homeownership

Counseling, which focuses more

specifically on the client’s needs and

circumstances. This type of counseling

covers purchase procedures, mortgage

financing, down payment/closing cost

fund accumulation, accessibility

requirements, and if appropriate, credit

improvement, and debt consolidation.

(3) Post-purchase Counseling,

including property maintenance, and

personal money management.

(4) Mortgage delinquency and default

resolution counseling including

restructuring debt, arrangement of

reinstatement plans, loan forbearance,

and other loss mitigation tools available.

(5) Home Equity Conversion Mortgage

(HECM) counseling to assist clients who

are 62 years old or older with the

complexities of converting the equity in

their homes into income to pay living

expenses or medical expenses.

(6) Loss Mitigation Counseling for

clients who may be facing default and

foreclosure, and need mortgage default

resolution and foreclosure avoidance

counseling.

(7) Marketing and Outreach Initiatives

including providing general information

about housing opportunities within

your target area and providing housing

counseling services and information to

persons with disabilities. Under this

program, you are required to extend

marketing and outreach services to all

segments of the population.

(8) Renter Assistance Counseling

including information about rent

subsidy programs, rights and

responsibilities of tenants, and lease and

rental agreements.

(9) Fair Housing Assistance including:

(a) Advocating with lenders,

appraisers and developers on behalf of

clients to recognize the value of nontraditional lending standards, the

vitality of housing values in all areas,

and the added value of accessible

housing design; and

(b) Advising clients on how to

recognize discriminatory acts, and how

to file a Fair Housing complaint. (This

will require being familiar with the

provisions of the Fair Housing Act.)

Your potential clients may include:

first-time homebuyers, homebuyers and

homeowners eligible for, and applying

for HUD, VA, FmHA (or its successor

agency), State, local, or conventionally

financed housing or housing assistance;

or persons who occupy such housing

and seek the assistance of a housing

counseling agency to address a housing

need. You may elect to offer this

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11847

assistance in conjunction with any HUD

housing program; however, to do this,

you must be familiar with FHA’s single

family and multifamily housing

programs.

(10) Mobility Counseling, to help

families and individuals who are

seeking new rental housing

opportunities understand the wide

range of housing options available.

VI. Program Requirements

(A) General Requirements. The

requirements listed in Section II of the

General Section of the SuperNOFA

apply to this program.

(B) Specific Requirements.

(1) Civil Rights Threshold

Requirements—All eligible applicants

and subrecipients must meet the Civil

Rights Threshold requirements that are

listed in Section II(B) of the General

Section of the SuperNOFA.

(2) Accessibility—All eligible

applicants and subrecipients will make

counseling offices and services

accessible to persons with a wide range

of disabilities and help persons locate

suitable housing in locations throughout

the applicant’s community, target area,

or metropolitan area, as defined by the

applicant.

(C) Requirements Applicable to

Religious Organizations. Where your

organization is, or you propose to

contract with, a primarily religious

organization, or a wholly secular

organization established by a primarily

religious organization, to provide,

manage, or operate a housing counseling

program, you and your subrecipients

must undertake your responsibilities in

accordance with the following

principles:

(1) You will not discriminate on

behalf of or against any segment of the

population in the provision of services

or in outreach, including those of other

religious affiliations.

(2) You will not provide religious

instruction or religious counseling,

conduct religious services or worship,

engage in religious proselytizing, and

exert religious influence in the

provision of assistance under your

housing counseling program.

(D) Performance Measurement. You

are required to complete and submit a

form HUD–9902, Fiscal Year Activity

Report. The information compiled from

this report provides HUD with its

primary means of measuring your

program performance.

VII. Application Selection Process

(A) General. Your application will be

evaluated competitively, and ranked

against all other applicants that applied

in the same funding category. National,

regional, and multi-State applications

will be rated and ranked in HUD

Headquarters, and initially selected for

funding in rank order. Local agency and

State housing finance agency

applications will be rated and ranked by

the HUD Homeownership Centers and

initially selected for funding in rank

order. However, after the initial

selection, the actual amount funded will

be based on successful completion of

negotiations.

(B) Factors for Award Used to Rate

and Rank Applications. The factors for

rating and ranking applicants, and

maximum points for each factor, are

provided below. The maximum number

of points for each applicant is 100. Your

response to the following rating factors

should provide HUD with detailed

information regarding the housing

counseling work of your organization.

Please be specific, providing relevant

examples and complete descriptions of

your services.

Rating Factor 1: Capacity, Experience,

and Effective Use of Resources (35

Points)

This factor addresses the scope and

effective use of your organizational

resources in successfully implementing

your proposed activities and complying

with the OMB Circulars set forth in this

Notice. Your rating or the rating of your

organization and staff for technical

merit will include any subcontractors,

consultants, subrecipients, and

members of consortia that are identified

as participants in your proposal. In

rating this factor, HUD will consider the

extent to which your proposal

demonstrates:

(1) (10 points) The knowledge and

experience of your proposed project

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

contractors in planning and managing

programs for which you are requesting

funding. Your experience will be judged

in terms of recent and relevant

experience of your staff to undertake

eligible program activities. You are

expected to have sufficient personnel, or

be able to quickly access qualified

experts or professionals, to deliver the

proposed activities in a timely and

effective fashion. HUD will assess the

readiness and ability of your

organization to immediately begin your

proposed work program. To

demonstrate that you have sufficient

personnel, you must submit the

proposed number of staff for each task

to be conducted, by the employees and

experts allocated to each activity you

plan to undertake in your program. You

must identify their titles and relevant

professional background and experience

related to the tasks they are to perform.

In addition, you must allocate the staff

hours for each task of these employees

and experts.

(2) (25 points) Your past performance,

specifically your ability to attain

measurable progress in the

implementation of your most recent

activities where your performance has

been assessed and the costs associated

with that performance.

HUD will consider your performance

as measured by your expenditures of

previous year’s grant awards and

demonstrated progress in achieving the

purpose of the activities associated with

those grant dollars. HUD will also

consider any documented evidence,

such as form HUD–9902, of your ability

under past awards to comply with grant

award provisions. Any organization that

used less than 90 percent of its grant

award in FY 99 will receive no points

under this subsection.

The extent to which your services are

reasonable and cost-effective in meeting

the needs identified in Factor 2 and in

complying with OMB Circular A–122,

by: relating your service tasks to your

proposed budget costs providing cost

estimates for salary levels, staff

assignments, number of staff hours, and

all other budget items to show they are

reasonable, allowable, and appropriate

for the proposed activities; and

documenting and justifying all costs.

Rating Factor 2: Need/Extent of the

Problem (10 Points)

This factor addresses the extent to

which there is a need for funding your

proposed program activities to address a

documented problem in your target

area. To the extent that the community

served by your housing counseling

organization has documented the need

in the community’s Consolidated Plan

or Analysis of Impediments to Fair

Housing Choice (AI); or requirements of

court orders or consent decrees,

settlements and voluntary compliance

agreements, references to these

documents should be included in the

response. If your proposed activities are

not covered under the scope of the

Consolidated Plan or AI, you should

indicate such and use other sound data

sources to identify the level of need for

your proposed program of activities.

In responding to this factor, you will

be evaluated on the extent to which you

document a critical level of need for

your proposed activities in the area

where activities will be carried out. The

documentation of need should

demonstrate the extent of the problem

addressed by the proposed activities.

Examples of data that might be used to

demonstrate need, include economic

11848 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

and demographic data relevant to the

target area and your proposed activities.

There must be a clear relationship

between the proposed activities,

community needs and the purposes of

this program for an applicant to receive

points for this factor.

HUD will also consider your

involvement in addressing barriers to

equal homeownership or rental housing

opportunities, including:

(a) The extent to which your proposed

activities undertake Affirmatively

Furthering Fair Housing (AFFH) may be

undertaken in a variety of ways, as

appropriate to your target area. The

following are some suggestions for all

housing counseling agencies:

(i) Implementing affirmative

marketing strategies to attract all

segments of the population regardless of

race, color, religion, national origin, sex,

familial status, and disability, especially

those least likely to request housing

counseling services to purchase or

retain their homes.

(ii) Being pro-active in reducing

concentrations of poverty and/or

minority populations in the target area.

This could include working with, or

adopting the counseling practices of,

agencies which conduct housing

opportunity counseling to encourage

low-income and minority persons to

move to low-minority-concentration

areas, and helping to locate suitable

housing in such areas if the client

chooses to move to one.

(iii) Working with local lenders to

develop alternative lending criteria. For

instance, you may make referrals to

lenders of clients with good credit and

payment histories, but who do not fit

the standard profiles for lending

practices, or advocate with financial

institutions on behalf of clients with

financial patterns which reflect cultural

differences (such as family savings

pools, which are common among some

Asian populations). Your activities

should also focus on finding appropriate

housing, free from environmental

hazards, for all segments of the

population in neighborhoods with good

transportation, schools, employment

opportunities, and other services.

(b) The following are some suggested

activities for national, regional, or multistate intermediaries and State housing

finance agencies:

(i) Training affiliates in Fair Housing

issues.

(ii) Making national or regional

agreements with lenders, insurers, and

organizations which train appraisers

and loan appraisers on fair housing

requirements, accessibility, and

financing methods which support your

organization’s fair housing and housing

opportunity efforts.

Rating Factor 3: Scope of Housing

Counseling Services (35 Points)

This factor addresses the quality and

effectiveness of your proposed housing

counseling plan (work plan), which

describes your housing counseling

needs, goals, and objectives related to

the scope of services you propose to

provide, including a description of all

counseling activities to be performed. In

rating this factor, HUD will consider:

(1) The scope of housing counseling

services and/or activities that you will

provide, how these services/activities

will be delivered, and the extent to

which the design and scope of your

services/activities provide geographic

coverage for the target areas as defined

by the applicant and meet the needs of

persons traditionally underserved in the

community as identified in Rating

Factor 2. In addition, you should

identify the immediate benefits to be

achieved, indicators by which these

benefits will be measured, and the costs

associated with providing your services,

to prove cost-effectiveness.

(2) The number of clients served by

your organization and the complexity of

the services offered. The rater will

consider the variety and complexity of

the housing counseling services you

provide, taking into account the level of

work involved in meeting the needs of

your clients. For example, if you offer

comprehensive default counseling, you

should explicitly describe the

comprehensive nature of the counseling

activities, such as stating that it takes

approximately 16 hours of one-on-one

sessions to help one family. Or, if your

offer homebuyer education workshops,

explain that you can serve 10 families

at a time, completing a full course in 12

hours total. Again, you should identify

the benefits associated with your

services, citing relevant past experience

as evidence of your potential

achievement, and identifying indicators

by which these benefits can be

measured. The rater will be assessing

the level of effort required to provide

your services and the costs associated

with that effort.

Intermediaries, including state

Housing Finance Agencies, must

provide details on the activities of the

intermediary organization (e.g. training

affiliates or coordinating partnerships

with lenders) and the activities of the

affiliates or branches, explicitly stating

the types of services offered and the

time and resources associated with

providing those services.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses your ability to

secure private and public resources

which can be combined with HUD’s

program resources to provide housing

counseling services. In evaluating this

factor HUD will consider:

(1) The extent to which you have

obtained additional resources, or

partnered with other entities to secure

additional resources, to increase the

effectiveness of your housing counseling

activities. Resources may include

funding or in-kind contributions, such

as services or equipment, allocated to

the purpose(s) of your program.

Resources may be provided by

governmental entities, public or private

nonprofit organizations, for-profit

private organizations, or other entities

willing to partner with you. You may

also partner with other program funding

recipients to coordinate the use of

housing counseling and support

services in your target area.

(2) You must provide evidence of

leveraging/partnerships by including in

your application letters of firm

commitments, memoranda of

understanding, or agreements to

participate from entities identified as

partners in your application. Each letter

of commitment, memoranda of

understanding, or agreement to

participate should include the

partnering organization’s name,

proposed level of commitment and

responsibilities as they relate to your

proposed program. The commitment

letter must also be signed by an official

of the organization legally able to make

commitments on behalf of the

partnering organization.

(3) If you are a housing counseling

agency funded under this SuperNOFA,

you may use your HUD and leveraged

funds to deliver comprehensive housing

counseling, or may specialize in

delivery of particular housing

counseling services. Either way, your

services/activities must reflect the

housing counseling needs you

submitted in your funding application

for your target area and identified in

your plan. You may conduct a wide

range of housing counseling services

that are eligible under this program.

(4) If you are a national, regional or

multi-state intermediary or a State

housing finance agency, you must

distribute the majority of your HUD

award and leveraged funds to your

housing counseling affiliates and

branches. HUD will give you wide

discretion to implement your housing

counseling program with your affiliates

and branches. You must execute

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11849

subgrant agreements with your affiliates

and branches that clearly delineates the

mutual responsibilities for program

management and appropriate time

frames for reporting results to HUD. You

can decide how to allocate the HUD and

leveraged funding among your affiliates

with the understanding that a written

record must be kept of how you

determined your funding levels. This

record must be made available to your

affiliates and to HUD.

Note: HUD housing counseling funding is

not intended to fully fund either an

organization’s housing counseling program,

nor that of its local affiliates. All

organizations that use housing counseling

grant funds and their local affiliates are

expected to seek other private and public

sources of funding for housing counseling to

supplement HUD funding.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

This factor addresses the extent to

which you have coordinated your

activities with other known

organizations, participated or promoted

participation in a community’s

Consolidated Planning process and are

working towards addressing identified

needs in a holistic and comprehensive

manner through linkages with other

activities in your community. In

evaluating this factor, HUD will

consider the extent to which you can

demonstrate you have:

(1) Coordinated your 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 you will take

to share information on solutions and

outcomes with others. Any written

agreements or memoranda of

understanding in place should be

described.

(2) Taken or will take specific steps to

become active in the Consolidated

Planning process (including the

Analysis of Impediments to Fair

Housing Choice) established in your

target area to identify and address

needs/problems related to the activities

you propose in your application. If you

reported in your FY 1999 application

that you ‘‘will take specific steps’’,

describe what steps you have taken.

(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 target area’s

Consolidated Plan; and

(b) Other Federal, State or locally

funded activities, including those

proposed or on-going in your target area.

If you reported in your FY 2000

application that you ‘‘will take specific

steps,’’ describe what steps you have

taken.

VIII. Application Submission

Requirements

(A) General. The contents of your

application will differ if you are a local

housing counseling agency; or a

national, regional, or multi-state

intermediary; or a State housing finance

agency. For all applicants, however,

your application must include the

standard forms, certifications, and

assurances listed in the General Section

of the SuperNOFA (collectively, referred

to as the ‘‘standard forms’’). The

standard forms can be found in

Appendix B to the General Section of

the SuperNOFA. The remaining

application items that are forms (i.e.,

excluding such items as narratives,

letters), referred to as the ‘‘non-standard

forms’’ can be found as Appendix A to

this program section of the SuperNOFA.

The items are as follows:

(1) Narrative statements addressing

the five Rating Factors in Section VII.(B)

of this program section of the

SuperNOFA. Your narrative responses

should be numbered in accordance with

the rating factors and subfactors

identified in Section V(B) of this

program section of the SuperNOFA. The

narrative responses must include the

quantitative, as well as qualitative,

information requested in the rating

factors.

(2) Form HUD–9902, Housing

Counseling Agency Fiscal Year Activity

Report, for fiscal year October 1, 1998

through September 30, 1999. If you did

not participate in HUD’s Housing

Counseling Program during FY 1999,

this report should be completed to

reflect your counseling workload during

that period. This form must be fully

completed and submitted by every

applicant for FY 2000 HUD funding. A

copy of this form is included in the

Appendix to the program section of this

SuperNOFA.

(3) Budget Work Sheet. A proposed

budget for use of the requested HUD

funds.

(4) Evidence of Housing Counseling

Funding Sources (required of all

applicants).

(5) Narrative of Prior Fiscal Year

Performance. You must provide a

descriptive narrative that sets forth your

(and, if applicable, your affiliate

organizations) prior fiscal year’s

performance as related to its goals,

objectives, and mission. Your narrative

must describe the most recent

operational and program activities of

your organization.

(6) Current Housing Counseling Plan.

See Rating Factor 3 for a description.

(7) Direct-labor and Hourly-labor rate

and Counseling Time Per Client for

proposed tasks.

(8) The Congressional District in

which your proposed activities are to

occur.

(9) Intermediary. If you are an

intermediary, you must provide and

certify to the number of states in which

you maintain offices, including the

national office and all affiliate or branch

offices.

(10) Authority to Operate as State

housing finance agency. If you are a

State housing finance agency, you must

submit your statutory authority to

operate as a State housing finance

agency.

(B) National, Regional, and MultiState Intermediaries and State Housing

Finance Agencies. If you are a national,

regional, or multi-state intermediary or

a State housing finance agency, you

must submit an application that covers

both your network organization and

your affiliated agencies. In FY 2001, you

must list all of your affiliates and the

cities and states in which you and your

affiliates maintain offices, then identify

which affiliates will receive funding

through this grant award. Your

application must include:

(1) A description of your affiliated

agencies. For each affiliated agency, list

the following information:

(a) Organization name;

(b) Address (city, state, and zip code);

(c) Director and contact person (if

different);

(d) Phone/FAX numbers (including

TTY, if available);

(e) Federal tax identification number;

(f) ZIP code service areas;

(g) Number of staff providing

counseling;

(h) Type of services offered (defined

by homebuyer education programs, prepurchase counseling, post-purchase

counseling, mortgage default and

delinquency counseling, HECM

counseling, outreach initiatives, renter

assistance, mobility counseling, and

other);

(i) Number of years of housing

counseling experience.

(2) Relationship with Affiliates. You

must briefly describe your relationship

with your affiliates (i.e. membership

organization, field or branch office,

subsidiary organization, etc.).

(3) Oversight System. You must

briefly describe the process that will be

used to determine affiliate funding

levels, distribute funds, and monitor

affiliate performance.

11850 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

VIII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

IX. Environmental Requirements

In accordance with 24 CFR 50.19(b)(9)

and (12) of the HUD regulations,

activities assisted under this program

are categorically excluded from the

requirements of the National

Environmental Policy Act and are not

subject to environmental review under

the related laws and authorities.

X. Authority

HUD’s Housing Counseling Program

is authorized by section 106 of the

Housing and Urban Development Act of

1968 (12 U.S.C. 1701x), and is generally

governed by HUD Handbook 7610.1,

REV–4, dated August 9, 1995.

Appendix A

The non-standard forms, which follow, are

required for your Housing Counseling

Program application.

BILLING CODE 4210–32–P

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11851

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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11853

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11855

FUNDING AVAILABILITY FOR THE

LEAD-BASED PAINT HAZARD

CONTROL GRANT PROGRAM

Program Overview

Purpose of the Program. The purpose

of the Lead-Based Paint Hazard Control

Grant Program is to assist States, Indian

Tribes and local governments in

undertaking comprehensive programs to

identify and control lead-based paint

hazards in eligible privately-owned

housing for rental or owner-occupants

in partnership with community-based

organizations.

Available Funds. Approximately $59

million.

Eligible Applicants. States, Indian

Tribes or local governments. If you are

a State or Tribal applicant, you must

have a Lead-Based Paint Contractor

Certification and Accreditation Program

authorized by EPA.

Application Deadline. May 17, 2001.

Match. A minimum of 10% match in

local funds.

Additional Information

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Submit your

completed application (an original and

four copies) to HUD on or before 12:00

midnight, Eastern time, on May 17,

2001, at the address shown below.

See the General Section of the

SuperNOFA for specific procedures

concerning the form of application

submission (e.g., mailed applications,

express mail, overnight deliver, or hand

carried).

Address for Submitting Applications.

For Mailed Applications. The address

for mailed applications is: Department

of Housing and Urban Development,

Office of Healthy Homes and Lead

Hazard Control, 451 Seventh Street, SW,

Room P3206, Washington, DC 20410.

For Overnight/Express Mail or Hand

Carried Applications. The address for

applications that are hand carried or

sent via overnight delivery is: HUD

Office of Healthy Homes and Lead

Hazard Control, Suite 3206, 490 East

L’Enfant Plaza, SW, Washington, DC

20024. Hand carried applications will

be accepted at this address (490 East

L’Enfant) up until 5:00 pm on the

application due date.

After 5:00 pm on the application due

date, hand carried applications will be

accepted until 12:00 midnight, in the

South Lobby of HUD Headquarters, 451

Seventh Street, SW, Washington, DC

20410.

For Application Kits. You may obtain

an application kit from the SuperNOFA

Information Center at 1–800–HUD–

8929. Persons with speech or hearing

impairments, may call the Center’s TTY

number at 1–800–HUD–2209. When

requesting an application kit, please

refer to the Lead-Based Paint Hazard

Control Grant Program. Please be sure to

provide your name, address (including

zip code), and telephone number

(including area code).

For Further Information and

Technical Assistance. You may contact

Ellis G. Goldman, Director, Program

Management Division, Office of Healthy

Homes and Lead Hazard Control, at the

address above; telephone (202) 755–

1785, extension 112 (this is not a tollfree number). If you are a hearing- or

speech-impaired person, you may reach

the above telephone numbers via TTY

by calling the toll-free Federal

Information Relay Service at 1–800–

877–8339.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov.

II. Amount Allocated

(A) Available Funding.

Approximately $59 million will be

available for the Lead-Based Paint

Hazard Control Grant Program.

(B) Allocation of Funds/Grant

Awards. Both existing grantees or

previously unfunded applicants are

eligible to apply for grants of $1 million

to $3 million. Approximately 20 to 25

grants will be awarded. Approximately

70% of the funds shall be available to

existing Lead-Based Paint Hazard

Control grantees. Applications from

existing (or previous) grantees will be

evaluated and scored as a separate

group and will not be in direct

competition with applications from

previously unfunded applicants.

III. Program Description, Eligible

Applicants; Eligible Activities

(A) Program Description. The LeadBased Paint Hazard Control Grant

Program assists States, Indian Tribes

and local governments in undertaking

programs for the identification and

control of lead-based paint hazards in

eligible privately-owned housing units

for rental and owner-occupants. The

application kit for this program section

of the SuperNOFA lists HUD-associated

housing programs which also meet the

definition of eligible housing.

(1) Because lead-based paint is a

national problem, these funds will be

awarded to:

(a) Maximize both the number of

children protected from lead poisoning

and housing units where lead-hazards

are controlled;

(b) Target lead hazard control efforts

at housing in which children are at

greatest risk of lead poisoning;

(c) Stimulate cost-effective

approaches that can be replicated;

(d) Emphasize lower cost methods of

hazard control;

(e) Build local capacity to safely and

effectively address lead hazards during

lead hazard control, renovation,

remodeling, and maintenance activities;

and

(f) Affirmatively further fair housing,

Partnership for Advancing Technology

in Housing (PATH), and environmental

justice.

(2) The objectives of this program

include:

(a) Implementation of a national

strategy, as defined in Title X of the

Housing and Community Development

Act of 1992 (42 U.S.C. 4851 et. seq.)

(Title X), to build the community’s

capacity necessary to eliminate leadbased paint hazards in all housing, as

widely and quickly as possible by

establishing a workable framework for

lead-based paint hazard identification

and control;

(b) Mobilization of public and private

resources, involving cooperation among

all levels of government, the private

sector, and community-based

organizations to develop cost-effective

methods for identifying and controlling

lead-based paint hazards;

(c) Development of comprehensive

community approaches which result in

integration of all community resources

(governmental, community-based, and

private businesses) to address lead

hazards in housing;

(d) Integration of lead-safe work

practices into housing maintenance,

repair, weatherization, rehabilitation,

and other programs which will continue

beyond your grant period;

(e) Establishment of a public registry

(listing) of lead-safe housing; and

(f) To the greatest extent feasible,

promotion of job training, employment,

and other economic opportunities for

low-income and minority residents and

businesses that are owned by and/or

employ low-income and minority

residents as defined in 24 CFR 135.5

(See 59 FR 33881, June 30, 1994).

(B) Eligible Applicants. (1) To be

eligible to apply for funding under this

program, you must be a State, Indian

Tribe, or unit of local government.

Multiple units of a local government (or

multiple local governments) may apply

as part of a consortium; however, you

must identify a single lead primary

11856 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

government or agency as ‘‘the

applicant.’’ You may submit only one

application. In the event you submit

multiple applications, this will be

considered a curable (minor) defect and

the application review process delayed

until you notify HUD in writing which

application should be reviewed. Your

other applications will be returned

unevaluated.

(2) Threshold Requirements. As an

applicant, you must meet all of the

threshold requirements of Section II(B)

of the General Section of the

SuperNOFA.

(3) Consolidated Plans.

(a) If your jurisdiction has a current

HUD approved Consolidated Plan, you

must submit, as an appendix, a copy of

the lead-based paint element included

in the approved Consolidated Plan.

(b) If your jurisdiction does not have

a currently approved Consolidated Plan,

but it is otherwise eligible for this grant

program, you must include your

jurisdiction’s abbreviated Consolidated

Plan, which includes a lead-based paint

hazard control strategy developed in

accordance with 24 CFR 91.235.

(4) Contracts or other formal

arrangements with Community-Based

Organizations. If selected for funding,

local and State applicants must enter

into contractual relationships or other

formal arrangements with communitybased organizations. Such relationships

must be established prior to actual

execution of the grant agreement. This

requirement does not apply to Indian

Tribes.

(5) EPA Authorization. If you are a

State government or an Indian Tribal

government, you must have an EPA

authorized Lead-Based Paint Contractor

Certification and Accreditation Program

on the application deadline to be

eligible. Your program approval date in

the Federal Register notice published

by the EPA will be used.

(6) If you were funded under the FY

2000 Lead-Based Paint Hazard Control

Funding competition in the FY 2000

SuperNOFA issued February 24, 2000

(65 FR 9539), you are not eligible for

funding under this program section of

the SuperNOFA.

(7) The eligibility factors discussed in

paragraphs (1) through (6) above are

threshold requirements. If you do not

satisfy the appropriate eligibility

requirements stated in these paragraphs,

HUD will not review your application.

(C) Eligible Activities. HUD is

interested in promoting lead hazard

control approaches that result in the

reduction of this health threat for the

maximum number of low-income

families with children under six, for the

longest period of time, and that

demonstrate techniques which are costeffective, efficient, and can be used

elsewhere. HUD will allow flexibility

within the parameters established

below. Funds will be available only for

projects conducted by contractors, risk

assessors, inspectors, workers and

others engaged in lead-based paint

activities who meet the requirements of

an EPA authorized State or Tribal LeadBased Paint Contractor Certification and

Accreditation Program under the

requirements of section 404 of the Toxic

Substances Control Act (TSCA).

However, low level hazard interventions

(e.g., dust control and minor paint

stabilization) do not require certified

personnel unless required by state or

local laws or regulations. All applicants

must use personnel certified under the

state, tribal, or EPA administered

program for their state or tribe.

(1) Direct Project Elements that you

may undertake directly or through

subrecipients, include:

(a) Performing dust testing, hazard

screens, inspections, and risk

assessments of eligible housing

constructed before 1978 to determine

the presence of lead-based paint and/or

lead hazards from paint, dust, or soil.

(b) Conducting the required prehazard control blood lead testing of

children under the age of six years (72

months) residing in units undergoing

inspection, risk assessment, or hazard

control, unless reimbursable from

Medicaid or another source.

(c) Conducting lead hazard control,

which may include any combination of

the following: interim control of leadbased paint hazards in housing (which

may include specialized cleaning

techniques to address lead dust);

abatement of lead-based paint hazards

using different methods for each unit

(based on the condition of the unit and

the extent of hazards); and abatement of

lead-based paint hazards, including soil

and dust, by means of removal,

enclosure, encapsulation, or

replacement methods. Complete

abatement of all lead-based paint or

lead-contaminated soil is not acceptable

as a cost effective strategy unless

justification is provided and approved

by HUD. Abatement of lead

contaminated soil should be limited to

areas with bare soil in the immediate

vicinity of the structure, i.e., dripline or

foundation of the structure being

treated, and children’s play areas.

(d) Carrying out temporary relocation

of families and individuals during the

period in which hazard control is

conducted and until the time the

affected unit receives clearance for

reoccupancy.

(e) Performing blood lead testing and

air sampling to protect the health of the

hazard control workers, supervisors,

and contractors.

(f) Undertaking minimal housing

rehabilitation activities that are

specifically required to carry out

effective hazard control, and without

which the hazard control could not be

completed and maintained. Hazard

Control grant funds may be used for

lead hazard control work done in

conjunction with other housing

rehabilitation programs. HUD strongly

encourages integration of this grant

program with housing rehabilitation and

PATH technologies.

(g) Conducting clearance dust-wipe

testing and laboratory analysis.

(h) Engineering and architectural

activities that are required for, and in

direct support of, lead hazard control.

(i) Providing lead-based paint worker

or contractor certification training and/

or licensing to low-income persons.

(j) Providing free training on lead-safe,

essential maintenance practices to

homeowners, renters, painters,

remodelers, and apartment maintenance

staff working in low-income private

housing.

(k) Providing cleaning supplies for

lead-hazard control to community/

neighborhood-based organizations,

homeowners, and renters in low-income

private housing.

(l) Conducting planning,

coordination, and training activities to

facilitate local implementation of HUD’s

regulations on Lead-Based Paint

Poisoning Prevention in Certain

Residential Structures, published on

September 15, 1999 (64 FR 50140), and

which became effective on September

15, 2000. These activities are intended

to allow the creation of a workforce

properly trained in lead-safe work

practices and which is available to

conduct interim controls on HUD

assisted housing covered by these

regulations. These regulations are

available from the National Lead

Information Center at 1–800–424–LEAD.

(m) Conducting general or targeted

community awareness, education or

outreach programs on lead hazard

control and lead poisoning prevention.

This includes educating owners of

rental properties on the Fair Housing

Act and training on lead-safe

maintenance and renovation practices

and management. Upon request, this

also would include making all materials

available in alternative formats to

persons with disabilities (e.g.; Braille,

audio, large type).

(n) Procuring liability insurance for

lead-hazard control activities.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11857

(o) Supporting data collection,

analysis, and evaluation of grant

program activities. This includes

compiling and delivering such

information and data as may be required

by HUD. This activity is separate from

administrative costs.

(p) Conducting applied research

activities directed at demonstration of

cost effective methods for lead hazard

control.

(q) Purchasing or leasing equipment

having a per unit cost under $5,000.

(r) Purchasing or leasing up to two (2)

X-ray fluorescence analyzers for use by

the Lead-Based Paint Hazard Control

Grant Program, if not already available.

(s) Preparing a final report at the

conclusion of grant activities.

(2) Support Elements.

(a) Administrative costs. There is a

10% maximum for administrative costs.

Specific information on administrative

costs is included in this Lead-Based

Paint Hazard Control Grant Program

section of this SuperNOFA.

(b) Program planning and

management costs of sub-grantees and

other sub-recipients.

(D) Ineligible Activities. You may not

use grant funds for any of the following:

(1) Purchase of real property.

(2) Purchase or lease of equipment

having a per unit cost in excess of

$5,000, except for X-ray fluorescence

analyzers.

(3) Chelation or other medical

treatment costs related to children with

elevated blood lead levels. Non-Federal

funds used to cover these costs may be

counted as part of the required matching

contribution.

(4) Lead hazard control activities in

publicly owned housing, or projectbased Section 8 housing.

IV. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, you, the

applicant, must comply with the

following requirements:

(A) Budgeting. (1) Matching

Contribution. You must provide a

matching contribution of at least 10% of

the requested grant sum. This may be in

the form of a cash or in-kind (non-cash)

contribution or a combination of both.

With the sole exception of Community

Development Block Grant (CDBG)

funds, Federal funds may not be used to

satisfy the statutorily required ten (10)

percent matching requirement. Federal

funds may be used, however, for

contributions above the statutory

requirement. If you do not show a

minimum 10% match in your

application, you will be rated lower

during the evaluation process, and, if

selected, you will be required to provide

the matching contribution before being

given the grant.

(2) Direct Lead Hazard Control

Activities. The budget proposed must

show a minimum of 60 percent of the

total Federal amount requested

identified for direct lead hazard control

activities. Direct lead hazard control

activities consist of inspections, risk

assessments, contracts for lead hazard

control services, and clearance

evaluations. Direct hazard control

activities do not include relocation,

blood testing of residents or workers,

housing rehabilitation, training,

community education, applied research,

purchase of supplies or equipment, or

administrative costs.

(3) Lead-Safe Work Practice Training

Activities. The budget proposed must

include a minimum of two (2) percent

of the total Federal amount to promote

the creation of a workforce properly

trained in lead-safe work practices and

which is available to conduct interim

controls on HUD assisted housing units

being treated under the provisions of the

HUD Lead Safe Housing Regulation

(Sections 1012 and 1013 of Title X of

the Housing and Community

Development Act of 1992), 24 CFR Part

35(in particular, paragraphs 35.1330 (a)

(4) (iii)–(v), published September 15,

1999 (64 FR 50201 et eq.).

(4) Applied Research Activities. You

may identify a maximum of five (5%)

percent of the total grant request for

applied research activities.

(5) Administrative Costs. There is a

10% maximum for administrative costs.

(B) Period of Performance. The period

of performance is 36 months for

previously unfunded applicants.

Existing grantee applicants will be

allowed 30 months.

(C) Certified Performers. You may use

grant funds only for projects conducted

by certified contractors, risk assessors,

inspectors, workers and others engaged

in lead-based paint activities. The

individuals and firms (if applicable)

must be certified under an EPA

authorized State or Tribal program or a

program operated by the EPA in the

absence of a State or Tribal program.

(D) Coastal Barrier Resources Act.

Pursuant to the Coastal Barrier

Resources Act (16 U.S.C. 3501), you

may not use grant funds for properties

located in the Coastal Barrier Resources

System.

(E) Flood Disaster Protection Act.

Under the Flood Disaster Protection Act

of 1973 (42 U.S.C. 4001–4128), you may

not use grant funds for lead-based paint

hazard control of a building or mobile

home that is located in an area

identified by the Federal Emergency

Management Agency (FEMA) as having

special flood hazards unless:

(1) The community in which the area

is situated is participating in the

National Flood Insurance Program in

accordance with the applicable

regulations (44 CFR parts 59–79), or less

than a year has passed since FEMA

notification regarding these hazards;

and

(2) Where the community is

participating in the National Flood

Insurance Program, flood insurance on

the property is obtained in accordance

with section 102(a) of the Flood Disaster

Protection Act (42 U.S.C. 4012a(a)). You

are responsible for assuring that flood

insurance is obtained and maintained

for the appropriate amount and term.

(F) National Historic Preservation Act.

The National Historic Preservation Act

of 1966 (16 U.S.C. 470) and the

regulations at 36 CFR part 800 apply to

the lead-based paint hazard control

activities that are undertaken pursuant

to this program. HUD and the Advisory

Council for Historic Preservation have

developed an optional Model

Agreement for use by grantees and State

Historic Preservation Officers in

carrying out activities under this

program. This may be obtained from the

SuperNOFA Clearinghouse.

(G) Waste Disposal. You must handle

waste disposal according to the

requirements of the appropriate local,

State and Federal regulatory agencies.

You must handle disposal of wastes

from hazard control activities that

contain lead-based paint but are not

classified as hazardous in accordance

with the HUD Guidelines for the

Evaluation and Control of Lead-Based

Hazards in Housing (HUD Guidelines).

The Guidelines may be purchased from

HUD User (1–800–245–2691) or

downloaded from the HUD website

(www.hud.gov/offices/lead).

(H) Worker Protection Procedures.

You must observe the procedures for

worker protection established in the

HUD Guidelines, as well as the

requirements of the Occupational

Health and Safety Administration

(OSHA) (29 CFR 1926.62—Lead

Exposure in Construction), or the State

or local occupational safety and health

regulations, whichever are most

protective. If other applicable

requirements contain more stringent

requirements than the HUD Guidelines,

the more rigorous standards shall be

followed.

(I) Prohibited Practices. You must not

engage in practices that are not allowed

because of health and safety risks.

Methods that generate high levels of

lead dust shall be undertaken only with

requisite worker protection,

11858 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

containment of dust and debris, suitable

clean-up, and clearance. Prohibited

practices include:

(1) Open flame burning or torching;

(2) Machine sanding or grinding

without a high-efficiency particulate air

(HEPA) exhaust control;

(3) Uncontained hydroblasting or high

pressure wash;

(4) Abrasive blasting or sandblasting

without HEPA exhaust control;

(5) Heat guns operating above 1100

degrees Fahrenheit;

(6) Chemical paint strippers

containing methylene chloride or other

volatile hazardous chemicals in a poorly

ventilated space; and

(7) Dry scraping or dry sanding,

except scraping in conjunction with

heat guns or around electrical outlets or

when treating no more than two (2)

square feet in any one interior room or

space, or totaling no more than 20

square feet on exterior surfaces.

(J) Proposed Modifications From

Current Procedures. Proposed methods

that differ from currently approved

standards or procedures will be

considered on their merits through a

separate HUD review and approval

process after the grant award is made

and a specific justification has been

presented. HUD may consult with

experts from both the public and private

sector as part of its final determinations

and will document its findings in an

environmental assessment. HUD will

not approve proposed modifications

that, in HUD’s opinion, involve a

lowering of standards with potential to

adversely affect the health of residents,

contractors or workers, or the quality of

the environment.

(K) Written Policies and Procedures.

You must have clearly established,

written policies and procedures for all

phases of lead hazard control, including

risk assessment, inspection,

development of specifications, prehazard control blood lead testing,

financing, relocation and clearance

testing. Grantees, subcontractors, subgrantees, sub-recipients, and their

contractors must adhere to these

policies and procedures.

(L) Continued Availability of Lead

Safe Housing to Low-Income Families.

Units in which lead hazards have been

controlled under this program shall be

occupied by and/or continue to be

available to low-income residents as

required by Title X. You must maintain

a registry (listing) of units in which lead

hazards have been controlled for

distribution and marketing to agencies

and families as suitable housing for

families with children under six.

(M) Testing. In developing your

application budget, include costs for

inspection, risk assessment, and

clearance testing for each dwelling that

will receive lead hazard control, as

follows:

(1) Testing. (a) General. All testing

and sampling shall conform to the

current HUD Guidelines and Federal,

state or tribal regulations developed as

part of the appropriate contractor

certification program. It is particularly

important to provide this full cycle of

testing for lead hazard control,

including interim controls. Testing must

be conducted according to the HUD

Guidelines and the EPA lead hazard

standards rule at 40 CFR part 745,

subparts D and L. All test results must

be provided to the owner, together with

a notice describing the owner’s legal

duty to disclose the results to tenants

and buyers.

(b) Pre-Hazard Control. A combined

inspection and risk assessment is

recommended. You should ensure that

the results of the pre-hazard control

investigation are sufficient to support

hazard control decisions. When

appropriate, you may elect to perform a

lead hazard screen in lieu of an

inspection or risk assessment.

(c) Non-Identification of Lead

Hazards from Paint, Dust, Soil. In the

event you propose to conduct lead

hazard control work without

identification of lead hazards from

paint, dust, and soil, you must fully

justify the technical and other rationale

for such a proposal. HUD must approve

such proposals. Approval is subject to

HUD environmental review under 24

CFR part 50.

(d) Clearance Testing. Clearance dust

testing must be conducted according to

the HUD Guidelines and the EPA lead

hazards standards rule at 40 CFR part

745, subparts D and L. You are required

to meet the post-hazard control dustwipe test clearance thresholds at 40 CFR

745.227(e)(8)(viii). Wipe tests shall be

conducted by an appropriately certified

individual who is independent of the

lead hazard control contractor. Dustwipe and soil samples, and any paint

samples to be analyzed by a laboratory,

must be analyzed by a laboratory

recognized by the EPA National Lead

Laboratory Accreditation Program

(NLLAP). Units treated shall not be

reoccupied until clearance is achieved.

(2) Blood lead testing. Before lead

hazard control work begins, each

occupant who is under six years old

must be tested for lead poisoning within

the six months preceding the housing

intervention. Any child with an

elevated blood lead level must be

referred for appropriate medical followup. The standards for such testing are

described in the Centers for Disease

Control and Prevention publications

Preventing Lead Poisoning in Young

Children (1991), and Screening Young

Children for Lead Poisoning: Guidance

for State and Local Public Health

Officials (1997).

(N) Cooperation With Related

Research and Evaluation. You shall

cooperate fully with any research or

evaluation sponsored by HUD, CDC,

EPA or other government agency and

associated with this grant program,

including preservation of project data

and records and compiling requested

information in formats provided by the

researchers, evaluators or HUD. This

also may include the compiling of

certain relevant local demographic,

dwelling unit, and participant data not

contemplated in your original proposal.

Participant data shall be subject to

Privacy Act protection.

(O) Data collection. You will be

required to collect and maintain the

data necessary to document the various

lead hazard control methods used and

the relative cost of these methods.

(P) Section 3 Employment

Opportunities. Please see Section II(E) of

the General Section of the SuperNOFA.

The requirements of Section 3 of the

Housing and Urban Development Act of

1968 are applicable to the Lead-Based

Paint Hazard Control Program.

(Q) Replacing Existing Resources.

Funds received under this grant

program should not be used to replace

existing community resources dedicated

to any ongoing project.

(R) Certifications and Assurances.

You must include the certifications and

assurances listed in the General Section

of the SuperNOFA with your

application.

(S) Davis-Bacon Act. The Davis-Bacon

Act does not apply to this program.

However, if you use grant funds in

conjunction with other Federal

programs in which Davis-Bacon

prevailing wage rates apply, then DavisBacon provisions would apply to the

extent required under the other Federal

programs.

V. Application Selection Process

(A) Rating and Ranking. HUD intends

to fund the highest ranked applications

within the limits of funding, but

reserves the right to advance other

eligible applicants in funding rank. A

decision to advance an applicant will be

based on programs that: foster

innovative local approaches or lead

hazard control methods.

(B) Award Offers. In the selection

process, once available funds have been

allocated to meet the requested or

negotiated amounts of the top eligible

applicants, HUD reserves the right to

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11859

offer any residual amount as partial

funding to the next eligible applicant,

provided HUD is satisfied that the

residual amount is sufficient to support

a viable, though reduced effort, by such

applicant(s). If you are an applicant

offered a reduced grant amount you will

have a maximum of seven (7) calendar

days to accept such a reduced award. If

you fail to respond within the seven day

limit, you shall be considered to have

declined the award.

(C) Budget. HUD will evaluate your

proposed budget (for a 36 month period

for previously unfunded applicants and

a 30 month period for existing grantee

applicants) to determine if it is

reasonable, clearly justified, and

consistent with the intended use of

grant funds. HUD is not required to

approve or fund all proposed activities.

You may devote up to 36 months (30

months for existing grantee applicants)

for the planning, implementation, and

completion of lead hazard control

activities. You must thoroughly

document and justify all budget

categories and costs (Part B of Standard

Form 424A).

(D) Factors for Award Used to

Evaluate and Rate Applications. The

factors for rating and ranking applicants,

and maximum points for each factor, are

stated below. The maximum number of

points to be awarded is 102. This

maximum includes two EZ/EC bonus

points as described in the General

Section of the SuperNOFA. Also,

Section III(C)(2) of the General Section,

which addresses a court-ordered

consideration, is applicable to this

program.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (15 points for previously

unfunded applicants; 30 points for

existing grantees)

This factor addresses your

organizational capacity necessary to

successfully implement the proposed

activities in a timely manner. The rating

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

staff’’ for technical merit or threshold

compliance, unless otherwise specified,

includes any community-based

organizations, sub-contractors,

consultants, sub-recipients, and

members of consortia which are firmly

committed to your project. In rating this

factor, HUD will consider:

(1) Your recent, relevant and

successful demonstrated experience

(including governmental and

community-based partners) to undertake

eligible program activities. You must

describe the knowledge and experience

of the proposed overall project director

and day-to-day program manager in

planning and managing large and

complex interdisciplinary programs,

especially involving housing

rehabilitation, public health, or

environmental programs. You must

demonstrate that you have sufficient

personnel or will be able to quickly

retain qualified experts or professionals,

to immediately begin your proposed

work program and to perform your

proposed activities in a timely and

effective fashion. In the narrative

response for this factor, you should

include information on your program

staff, their experience, commitment to

the program, salary information, and

position titles. Resumes (for up to three

key personnel), position descriptions,

and a clearly identified organizational

chart for the lead hazard control grant

program effort must be included in an

appendix. Indicate the percentage of

time that key personnel will devote to

your project. To receive maximum

points, your day-to-day program

manager must be dedicated for a

minimum of 75% of the time. Describe

how other principal components of your

agency or other organizations will

participate in or otherwise support the

grant program. You may demonstrate

capacity by thoroughly describing your

prior experience in initiating and

implementing lead hazard control

efforts and/or related environmental,

health, or housing projects. You should

indicate how this prior experience will

be used in carrying out your proposed

comprehensive Lead-Based Paint

Hazard Control Grant Program.

(2) If you have received previous HUD

Lead-Based Paint Hazard Control Grant

funding, your past experience will be

evaluated in terms of progress under the

most recent previous grant. You must

provide a description of your progress

in implementing your most recent grant

award within the period of performance,

including the total number of housing

units completed as of the most recent

calendar quarter.

Rating Factor 2: Needs/Extent of the

Problem (20 points)

This factor addresses the extent to

which there is a need for the proposed

program activities to address a

documented problem in the target area.

(1) Document a critical level of need

for your proposed activities in the area

where activities will be carried out.

Since an objective of the program is to

prevent at-risk children from being

poisoned, specific attention must be

paid to documenting such need as it

applies to the targeted areas, 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. So the threat to your

jurisdiction’s children can be

thoroughly assessed, you should

describe the need in both the target

areas as well as the entire jurisdiction.

(2) Document the following:

(a) Numbers and percentages of

children with elevated blood lead

levels, particularly in the areas targeted

in your proposal;

(b) Economic and demographic data

relevant to the target area, including

poverty and unemployment rates;

(c) Housing market data available

from HUD, or other data sources,

including the Consolidated Plan/

Analysis of Impediments, Public

Housing Authority’s Five Year

Comprehensive Plan, State or local

Welfare Department’s Welfare Reform

Plan;

(d) Other data relevant to the target

area or jurisdiction that may document

an unmet need. These data may include

the number of lead poisoned children

where the identified lead-based paint

hazards have not been remediated, the

number of lead-based paint health and/

or housing code violations, or the

number of pre-1978 housing units

anticipated to undergo rehabilitation in

the next 12 months; or

(3) To the extent that statistics and

other data contained in your

community’s Consolidated Plan or

Analysis of Impediments to Fair

Housing Choice (AI) support the extent

of the problem, you should include

references to the Consolidated Plan and

the AI in your response.

(4) Provide information on your

jurisdiction, and, the areas targeted for

the lead hazard control activities (data

may be available in your currently

approved Consolidated Plan, derived

from 1990 Census Data, or special local

studies):

(a) The age and condition of housing;

(b) The number and percentage of

very-low (income less than 50% of the

area median) and low (income less than

80% of the area median) income

families, as determined by HUD, with

adjustments for smaller and larger

families;

(c) The number and proportion of

children under six years (72 months) of

age at risk of lead poisoning;

(d) The extent of the lead poisoning

problem in children under six years of

age in target areas and the overall

jurisdiction; and

(e) Other socioeconomic or

environmental factors that demonstrate

a need to establish or continue lead

hazard control work in your

jurisdiction.

(5) You also must provide

documentation of the priority that the

11860 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

community’s Consolidated Plan and

Analysis of Impediments has placed on

addressing the needs you described.

(6) If your application addresses

needs that are in the Consolidated Plan,

Analysis of Impediments to Fair

Housing Choice, court orders or consent

decrees, settlements, conciliation

agreements, and voluntary compliance

agreements, you will receive more

points than applicants that do not relate

their program to identified needs.

(7) For you to receive maximum

points for this factor, there must be a

direct relationship between your

proposed activities, community needs,

and the purpose of the program funding.

If the data presented in your response

does not specifically represent your

target area, you should discuss why the

target areas were proposed.

Rating Factor 3: Soundness of

Approach (45 points for previously

unfunded applicants and 30 points for

existing grantees)

This factor addresses the quality and

cost-effectiveness of your proposed

work plan. You should present

information on your proposed leadbased paint hazard control program and

describe how it will satisfy the

identified needs. To the extent possible,

describe a comprehensive strategy to

address the need to protect targeted

neighborhoods rather than individual

units or homes. Your response to this

factor must include the following

elements:

(1) Lead Hazard Control Strategy (37

points for previously unfunded

applicants; 22 points for existing

grantees). Describe your strategy to plan

and execute your lead hazard control

grant program. You should provide

information on:

(a) Implementing a Lead Hazard

Control Program (16 points for

previously unfunded applicants; 8

points for existing grantees). Describe

how you will implement the strategy for

your proposed lead hazard control

program. The description must include

information on:

(i) How your previous experience in

reducing or eliminating lead-based paint

hazards in conjunction with other

Federal, State or locally funded

programs will facilitate such

implementation.

(ii) Your overall strategy for the

identification, selection, prioritization,

and enrollment of units of eligible

privately-owned housing for lead hazard

control. Describe the proposed activities

that will occur in an EZ/EC and how

they will benefit the residents of those

zones or communities. Provide

estimates of the total number of owner

occupied and/or rental units which will

receive lead hazard control. You should

describe how you will respond to the

needs of EBL children located outside

the targeted areas.

(iii) The degree to which the work

plan focuses on eligible privately-owned

housing units with children under six

years (72 months) old. Describe your

planned approach to control lead

hazards before children are poisoned

and/or to control lead hazards in units

where children have already been

identified with an elevated blood lead

level. Describe your process for referring

and tracking children with elevated

blood lead levels for medical case

management. Provide estimates of the

number of children you will assist

through this program.

(iv) The financing strategy, including

eligibility requirements, terms,

conditions, and amounts available, you

will use in carrying out lead hazard

control activities. You must discuss the

way these funds will be administered

(e.g. use of grants, deferred loans,

forgivable loans, other resources, private

sector financing, etc.), as well as the

agency that will administer the

financing process. Describe any

matching requirements proposed for

assistance to investor-owned properties.

Investor-owner match that is a program

requirement should also be reflected in

your response to Factor 4.

(v) You should describe how your

proposed program will satisfy the stated

needs or will assist in addressing the

impediments in the AI. Describe how

your proposed program will further and

support the policy priorities of the

Department, including promoting

healthy homes; providing opportunities

for self-sufficiency, particularly for

persons enrolled in welfare to work

programs; or providing educational and

job training opportunities. Describe how

your strategy will provide long-term

benefits to families with children under

six years of age.

(b) Lead Hazard Control Outreach

and Community Involvement (5 points

for all applicants). Your application

must describe:

(i) Proposed methods of community

education. These may include

community awareness, education,

training, and outreach programs in

support of the work plan and objectives.

This description should include general

and/or targeted efforts undertaken to

assist your program in reducing lead

exposure. Programs should be culturally

sensitive, targeted, and linguistically

appropriate. Upon request, this would

include making materials available in

alternative formats to persons with

disabilities (e.g., Braille, audio, large

type), and in other languages common

to the community to the extent possible.

(ii) How you intend to involve

neighborhood or community-based

organizations in your proposed

activities. Your activities may include

training, outreach, community

education, marketing, inspection

(including dust lead testing), and the

conduct of lead hazard control

activities. HUD will evaluate the level of

substantive involvement during the

review process.

(iii) Outreach strategies and

methodologies to affirmatively further

fair housing and provide lead-safe

housing to all segments of the

population: homeowners, owners of

rental properties, and tenants. Once the

population to which outreach will be

‘‘targeted’’ is identified, outreach

strategies directed specifically to them

should be multifaceted. This criterion

goes beyond testing and hazard control;

it concerns what happens to the units

after lead hazard control activities are

completed and tries to ensure, for the

long term, that all families will have

adequate, lead-safe housing choices.

(c) Technical Approach for

Conducting Lead Hazard Control

Activities (16 points for previously

unfunded applicants; 9 points for

existing grantees).

(i) Describe your process for the

conduct of risk assessments and/or

inspections in units of eligible privatelyowned housing in which you will

undertake lead hazard control. You may

include housing which has a valid risk

assessment or inspection which had

been previously performed by certified

inspectors or risk assessors, in

accordance with the HUD Guidelines

and identified with lead-based paint

hazards.

(ii) Describe your testing methods,

schedule, and costs for performing

blood lead testing, risk assessments and/

or inspections to be used. If you propose

to use a more restrictive standard than

the HUD thresholds (e.g., 0.5% or 1.0

mg/cm2), identify the lead-based paint

threshold for undertaking lead hazard

control which will be used. All testing

shall be performed in accordance with

the HUD Guidelines.

(iii) Describe the lead hazard control

methods you will undertake and the

number of units you will treat for each

method selected (interim controls,

hazard abatement, and complete

abatement). Provide an estimate of the

per unit costs (and a basis for those

estimates) for each lead hazard control

method proposed and a schedule for

initiating and completing lead hazard

control work in the selected units.

Discuss efforts to incorporate costVerDate 11<MAY>2000 17:37 Feb 24, 2001 Jkt 194001 PO 00000 Frm 00224 Fmt 4701 Sfmt 4701 E:\FR\FM\26FEN2.SGM pfrm01 PsN: 26FEN2
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effective lead hazard control methods (if

you propose complete abatement,

provide HUD with a detailed rationale

for that decision). Explain your cost

estimates, providing detail on how the

estimates were developed, with

particular references to cost

effectiveness.

(iv) Schedule. Describe your expected

schedule for the overall project. Discuss

when you plan to complete planning

and receive approval of your workplan;

perform lead hazard control on your

first unit; and complete lead hazard

control on all units in your workplan

and grant agreement.

Describe the schedule for a typical

unit which will receive lead hazard

control. Discuss the duration for

enrollment and qualification;

evaluation; hazard control; and

clearance.

(v) Describe how you will integrate

proposed lead hazard control activities

with rehabilitation activities, including

the training needed to create a

workforce properly trained in lead-safe

work practices for units being treated

under other HUD programs.

(vi) Describe your contracting process,

including development of specifications

for selected lead hazard control

methods. Describe the management

processes you will use to ensure the

cost-effectiveness of your lead hazard

control methods. Your application must

include a discussion of the contracting

process for the conduct of lead hazard

control activities in the selected units.

(vii) Describe your plan for occupant

protection or the temporary relocation

of occupants of units selected for lead

hazard control work. You should

address the use of safe houses and other

housing arrangements, storage of

household goods, stipends, incentives,

etc.

(viii) If you are an existing grantee,

you must describe the actions you will

take to ensure that your proposed lead

hazard control work will occur

concurrently with other ongoing HUD

lead hazard control grant work. Your

application must provide the detail

necessary to assure HUD that you will

implement the proposed work

immediately and perform it

concurrently with existing lead hazard

control grant work.

(ix) If you are an existing grantee, you

must describe your progress in

implementing your most recent lead

hazard control grant award. If the

production achieved is below the

performance values (percentages of

units completed) provided in the

application kit, and no changes are

proposed, you should explain why the

strategy in the earlier grant remains

appropriate. Failure to provide this

discussion will result in reduced points

for this subfactor.

(2) Economic Opportunity (4 points

for all applicants). Describe the ways

you will train individuals and

contractors in housing related trades,

such as painters, remodelers,

renovators, maintenance personnel, and

rehabilitation specialists, and others in

lead-safe practices. Describe how you

will integrate such practices into lead

hazard control activities including

interim control work conducted on HUD

assisted housing units being treated

under the provisions of the HUD LeadSafe Housing Regulation.

Describe the methods to be used to

provide economic opportunities for

residents and businesses in the

community. This discussion should

include information on how you will

promote training, employment, business

development, and contract

opportunities as part of your lead

hazard control program. Describe how

you will accomplish the requirements of

section 3 of the Housing and Urban

Development Act of 1968 to give

preference to hiring of low-and very

low-income persons or contracting with

businesses owned by or employing lowand very low-income persons.

(3) Program Evaluation, Data

Collection, and Research (4 points for

all applicants).

(a) Identify and discuss the specific

methods and measures you will use (in

addition to HUD reporting

requirements) to measure progress,

evaluate program effectiveness, and

identify program changes necessary to

improve performance. Describe how you

will obtain, document and report the

information.

(b) Provide a detailed description of

any proposed applied research

activities. Describe the objectives,

methodology and impact at the local

level of the proposed research activities.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses your ability to

obtain other community resources

(financing is a community resource) and

private resources that can be combined

with HUD’s program resources to

achieve program objectives.

(1) In evaluating this factor, HUD will

consider the extent to which you have

established working partnerships with

other entities to get additional resources

or commitments to increase the

effectiveness of the proposed program

activities. Resources may include cash

or in-kind contributions (such as

services or equipment) allocated to the

proposed program. Resources may be

provided by governmental entities,

public or private organizations, or other

entities partnering with you. Leveraging

arrangements with investor-owners may

have the benefits of increasing the

efficiency of public lead hazard

expenditures and creating a financial

stake for investor owners in the quality

of lead hazard control work. In advance

of the actual agreements with investorowners, however, it may be difficult to

predict the precise amount of

contributions they will generate.

Contractual or other formal

relationships with community-based

organizations are a requirement for State

and local government applicants.

Applicants which do not have such

partnerships at the time of application

will be required to establish partnership

relationships with community-based

organizations immediately following

notification of grant award (this

requirement does not apply to you if

you are an Indian Tribe applicant). You

also may partner with other program

funding recipients to coordinate the use

of resources in your target area.

(2) You should detail any activities to

increase the understanding of lead

poisoning prevention activities in your

community. This could include

partnerships with childhood lead

screening programs or collaboration

with ongoing health, housing or

environmental research efforts which

could result in a greater availability of

resources.

(3) Matching funds must be shown to

be specifically dedicated to and

integrated into supporting the leadbased paint hazard control program.

You may not include funding from any

Federally funded program (except the

CDBG program) as part of your required

10% match. Other resources committed

to the program that exceed the required

10% match will provide points for this

rating factor and may include funds

from other Federally funded programs.

You must support each source of

contributions, cash or in-kind, both for

the required minimum and additional

amounts, by a letter of commitment

from the contributing entity, whether a

public or private source. This letter

must describe the contributed resources

that you will use in the program. Staff

in-kind contributions should be given a

monetary value. If you do not provide

letters specifying details and the amount

of the actual contributions, those

contributions will not being counted.

Matching contributions required of

investor-owners may be included as part

of your match. Documentation and

estimates for the amount of the match

should be provided in the annex for this

factor.

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(4) For meeting the required match,

you must provide evidence of leveraging

or partnerships by including letters of

firm commitment, memoranda of

understanding, or agreements to

participate from those entities identified

as partners in your application. Each

letter of commitment, memorandum of

understanding, or agreement to

participate should include the

organization’s name, the proposed level

of commitment and responsibilities as

they relate to your proposed program.

The commitment must be signed by an

official of the organization legally able

to make commitments on behalf of the

organization. Describe the role of

community-based organizations in

specific program activities, such as

hazard evaluation and control;

monitoring; and awareness, education,

and outreach within the community.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

This factor addresses the extent to

which your program reflects a

coordinated, community-based process

of identifying needs and building a

system to address current and future

needs by using available HUD and other

community resources. In evaluating this

factor, HUD will consider how you

have:

(1) Coordinated your proposed

activities with those of other groups or

organizations to best support and

coordinate all known activities and the

specific steps you will take to share

information on solutions and outcomes

with others. Any written agreements or

memoranda of understanding in place

or proposed should be described. You

should, at a minimum, describe the

activities, in your metropolitan area or

region, of other HUD Lead-Based Paint

Hazard Control grantees, Centers for

Disease Control and Prevention (CDC)

Childhood Lead Poisoning Prevention

grantees, HUD or EPA Lead Outreach

and Education grantees, and other

programs which are addressing lead

poisoning prevention needs.

Coordination also includes providing

technical assistance and training to

neighboring or regional jurisdictions to

facilitate the implementation of leadbased paint hazard control activities in

those jurisdictions.

(2) Become actively involved (or if not

currently active, the specific steps it

will take to become active) in your

community’s Consolidated Planning

and Analysis of Impediments process

established to identify and address a

need/problem that is related in whole,

or part, directly, or indirectly to the

activities you propose.

(3) Developed linkages, or the specific

steps you will take to develop linkages

with other activities, programs or

projects through meetings, information

networks, task forces, planning

processes or other mechanisms to

coordinate your activities so solutions

are comprehensive, including linkages

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.

(4) Coordinated and integrated lead

hazard control work with housing

rehabilitation, housing and health

codes, other related housing programs,

or including work of community

development corporations and

childhood lead poisoning prevention

programs.

(a) Describe the degree to which lead

hazard control work will be done in

conjunction with other housing-related

activities (i.e., rehabilitation,

weatherization, correction of code

violations, and other similar work), or

your plan for the integration and

coordination of lead hazard control

activities into those activities in the

future.

(b) Describe plans to incorporate leadbased paint maintenance, essential

maintenance practices, and hazard

control standards with the applicable

housing codes and health regulations,

including training of workers to conduct

such activities.

(c) Describe plans to generate and use

public subsidies or other resources

(such as revolving loan funds) to finance

future lead hazard control activities.

(d) Describe plans to develop publicprivate lending partnerships to finance

lead hazard control as part of

acquisition and rehabilitation financing

including the use of Community

Reinvestment Act ‘‘credits’’ by lending

institutions.

(e) Evidence firm commitments from

participating organizations by

describing:

(i) The name of each organization;

(ii) The capabilities or focus of each

organization;

(iii) The proposed level of effort of

each organization; and

(iv) The resources and responsibilities

of each organization, including the

applicant’s clearly proposed plans for

the training and employment of lowincome residents.

(f) Described specific plans and

objectives to implement a registry of

lead-safe housing into your

community’s planning. Such plans

could include strategies on how the

information would be managed and

made available to the public so that

families (particularly low income

families with children under age six)

can make informed decisions regarding

their housing options. Existing grantee

applicants must address any registry of

lead-safe housing and specifically

discuss the availability, amount of

information contained, and the use by

members of the community. Describe

your plans to develop and maintain a

registry of publicly available

information on lead-safe units.

(g) Detail the extent to which the

policy of affirmatively furthering fair

housing for all segments of the

population is advanced by the proposed

activities. Detail how your proposed

work plan will support the community’s

efforts to further housing choices for all

segments of the population. If you have

an existing grant, you should discuss

activities which have contributed to

enhanced lead safe housing

opportunities to all segments of the

population.

(h) Describe plans to adopt or amend

statutes, regulations, or policies which

will more fully integrate lead hazard

control into community policies and

priorities.

(5) Describe how the lead hazard

control efforts which are focused in the

Empowerment Zone/Enterprise

Community will directly benefit the

residents or community in that EC/EZ.

(6) Describe efforts to coordinate and

cooperate with other organizations

which will lead to a reduction in lead

risks to community residents. This

could include such activities as free

training to create a workforce properly

trained in lead safe work practices, leadsafe repainting and remodeling;

promotion of essential maintenance

practices; and provision of lead dust

testing to low-income, privately-owned

homes which may not receive lead

hazard control assistance under this

grant program.

VI. Application Submission

Requirements

(A) Applicant Information. (1)

Application Format. The application

narrative response to the Rating Factors

is limited to a maximum of 25 pages.

Your response must be typewritten on

one (1) side only on 8 1/2’’ x 11’’ paper

using a 12 point (minimum) font with

not less than 3/4’’ margins on all sides.

Appendices should be referenced and

discussed in the narrative response.

Materials provided in the appendices

should directly apply to the rating factor

narrative.

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(2) Application Checklist. Your

application must contain the items

listed in this Section VI(A)(B). These

items include the standard forms,

certifications, and assurances listed in

the General Section of the SuperNOFA

that are applicable to this funding

(collectively, referred to as the

‘‘standard forms’’). The standard forms

can be found in Appendix B to the

General Section of the SuperNOFA. The

remaining application items that are

forms (i.e., excluding such items as

narratives, letters), referred to as the

‘‘non-standard forms’’ can be found as

Appendix A to this program section of

the SuperNOFA. The application items

are as follows:

(a) Transmittal Letter that identifies

‘‘the applicant’’ (or applicants)

submitting the application, the dollar

amount requested, what the program

funds are requested for, and the nature

of involvement with community-based

organizations.

(b) The name, mailing address,

telephone number, and principal

contact person of ‘‘the applicant.’’ If you

have consortium associates, subgrantees, partners, major subcontractors,

joint venture participants, or others

contributing resources to your project,

you must provide similar information

for each of these partners.

(c) Checklist and Submission Table of

Contents.

(d) Applicant Abstract. An abstract

describing the goals and objectives of

your proposed program (2 page

maximum).

(e) Standard Form 424, Application

for Federal Assistance.

(f) HUD 424M, Federal Assistance

Funding Matrix.

(g) A detailed budget (total budget is

the federal share and matching

contribution) with supporting cost

justifications for all budget categories of

your grant request. You must provide a

separate estimate for the overall grant

management element (Administrative

Costs), which is more fully defined in

the application kit for this program

section of the SuperNOFA. The budget

shall include not more than 10% for

administrative costs and not less than

90% for direct project elements. A

minimum of 60% of the total Federal

amount requested must be dedicated to

direct lead hazard control activities. A

minimum of 2% of the total Federal

amount must be dedicated to activities

to create a workforce properly trained in

lead-safe work practices. In the event of

a discrepancy between grant amounts

requested in various sections of the

application, the amount you indicate on

the SF–424 will govern as the correct

value.

(h) An itemized breakout (using the

SF–424A) of your required matching

contribution, including:

—Values placed on donated in-kind

services;

—Letters or other evidence of

commitment from donors; and

—The amounts and sources of

contributed resources.

(i) Standard Forms SF–LLL and SF–

424B, and HUD Forms 2880, 2990, 2991,

2992, 2993, 2994, 50070 and 50071.

(j) Contracts, Memoranda of

Understanding or Agreement, letters of

commitment or other documentation

describing the proposed roles of

agencies, local broad-based task forces,

participating community or

neighborhood-based groups or

organizations, local businesses, and

others working with the program.

(k) A copy of the lead hazard control

element included in your current

program year’s Consolidated Plan. You

should include the discussion of any

lead-based paint issues in your

jurisdiction’s Analysis of Impediments,

particularly as it addresses your target

areas.

(l) Narrative responses to the five

rating factors.

(B) Proposed Activities. All

applications must, at a minimum,

describe the proposed activities in the

narrative responses to the rating factors.

Your narrative statement must be

numbered in accordance with each

factor for award (Rating Factors 1

through 5).

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

In accordance with HUD regulations

in 24 CFR part 58, recipients of leadbased paint hazard control grants will

assume Federal environmental review

responsibilities. Recipients of a grant

under this funded program will be given

guidance in these responsibilities.

IX. Authority

The Lead-Based Paint Hazard Control

Program is authorized by section 1011

of the Residential Lead-Based Paint

Hazard Reduction Act of 1992 (Title X

of the Housing and Community

Development Act of 1992).

Appendix A

The non-standard forms, which follow, are

required for your Lead-Based Paint Hazard

Control Program application. They are the

Checklist and Submission Table of Contents

and the Total Budget (Federal Share and

Matching Contribution, including

instructions).

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR

HEALTHY HOMES RESEARCH

PROGRAM OVERVIEW

Purpose of the Program. To fund

research to improve methods for

detecting and controlling residential

environmental health and safety (EHS)

hazards. The purpose of the Healthy

Homes Initiative is to develop,

demonstrate and promote cost effective,

preventive measures to correct multiple

safety and health hazards in the home

environment which produce serious

diseases and injuries in children.

Available Funds. Approximately $1.5

million.

Eligible Applicants. Academic and

not-for-profit institutions located in the

U.S., State and local governments, and

Federally-recognized Indian tribes are

eligible to apply. For-profit firms also

are eligible; however, they are not

allowed to earn a fee.

Application Deadline. May 17, 2001.

Match. None required.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Submit an

original and four copies of your

completed application on or before

12:00 midnight, Eastern time, on May

17, 2001, at the address shown below.

See the General Section of this

SuperNOFA for specific procedures that

you must follow for the form of

application submission (e.g., mailed

applications, express mail, overnight

delivery, or hand carried).

Address for Submitting Applications.

For Mailed Applications. The address

for mailed applications is: Department

of Housing and Urban Development,

Office of Healthy Homes and Lead

Hazard Control, 451 Seventh Street, SW,

Room P3206, Washington, DC 20410.

For Overnight/Express Mail or Hand

Carried Applications. The address for

applications that are hand carried or

sent via overnight/express mail delivery

is: HUD Office of Healthy Homes and

Lead Hazard Control, Suite 3206, 490

L’Enfant Plaza, SW, Washington, DC

20024. Hand carried applications will

be accepted at this address (490

L’Enfant) up until 5:00 pm on the

application due date.

After 5:00 pm on the application due

date, hand carried applications will be

accepted until 12:00 midnight, in the

South Lobby of HUD Headquarters, 451

Seventh Street, SW, Washington, DC

20410.

For Application Kits. You may obtain

an application kit from the SuperNOFA

Information Center at 1–800–HUD–

8929. Persons with speech or hearing

impairments may call the Center’s TTY

number at 1–800–HUD–2209. When

requesting an application kit, please

refer to the Healthy Homes Research

grant program. Please be sure to provide

your name, address (including zip

code), and telephone number (including

area code).

For Further Information and

Technical Assistance. You may contact:

Ms. Ellen Taylor, Office of Healthy

Homes and Lead Hazard Control, at the

address above; telephone (202) 755–

1785, extension 116, or Ms. Karen

Williams, Grants Officer, extension 118

(these are not toll-free numbers).

Hearing- and speech-impaired persons

may access the above telephone number

via TTY by calling the toll-free Federal

Information Relay Service at 1–800–

877–8339.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov.

II. Amount Allocated

Approximately $1.5 million will be

available to fund research proposals in

FY 2001. Grants or cooperative

agreements will be awarded on a

competitive basis according to the

Rating Factors described in Section

V(B). HUD anticipates awarding three to

five grants ranging from approximately

$200,000 to approximately $600,000.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. Background.

In the FY 2001 Budget, HUD received a

third year of funding to continue the

Healthy Homes Initiative (sometimes

referred to as the ‘‘Initiative’’ or ‘‘HHI’’)

that protects children from housing

conditions responsible for multiple

diseases and injuries. The Initiative

departs from the more traditional

approach of attempting to correct one

hazard at a time (e.g., asbestos, radon).

In April 1999, HUD submitted to

Congress a preliminary plan containing

a full description of the Initiative. This

description (Summary and Full Report)

is available on the HUD website at

www.hud.gov/offices/lead.

In addition to deficiencies in basic

housing facilities that may impact

health, changes in the U.S. housing

stock and more sophisticated

epidemiological methods and

biomedical research have led to the

identification of new and often more

subtle health hazards in the residential

environment (e.g., indoor air quality

hazards). While such hazards will tend

to be found disproportionately in

housing that is substandard (e.g.

structural problems, lack of adequate

heat, etc.), such housing-related

environmental hazards may also exist in

housing that is otherwise of good

quality. Appendix A to this Healthy

Homes Research program section of the

SuperNOFA briefly describes the

housing-associated health and injury

hazards HUD considers key targets for

intervention. Appendix B to this

Healthy Homes Research program

section of the SuperNOFA lists the

references that serve as the basis for the

information provided in this Healthy

Homes Research section of this

SuperNOFA.

HUD is interested in promoting

approaches that are cost-effective and

efficient and that result in the reduction

of health threats for the maximum

number of residents for the long run,

and in particular low-income children.

The overall goals and objectives of the

HHI are:

(1) Mobilize public and private

resources, involving cooperation among

all levels of government, the private

sector, and community-based

organizations to develop the most

promising, cost-effective methods for

identifying and controlling housingbased hazards.

(2) Build local capacity to operate

sustainable programs that will continue

to prevent and, where they occur,

minimize and control housing-based

hazards in low and very low income

residences when HUD funding is

exhausted.

(3) Affirmatively further fair housing

and environmental justice. HUD

recognizes that there are many key

scientific and implementation questions

related to this Initiative, some of which

were articulated in the HHI Preliminary

Plan. With this NOFA, HUD hopes to

advance the recognition and control of

residential environmental health and

safety hazards and more closely

examine the link between housing and

health.

(B) Eligible Applicants. Academic and

not-for-profit institutions located in the

U.S., State and local governments and

Federally-recognized Indian tribes are

eligible under all existing

authorizations. For-profit firms also are

eligible; however, they are not allowed

to earn a fee (i.e., no profit can be made

11876 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

from the project). Federal agencies and

Federal employees are not eligible to

submit applications. The General

Section of the SuperNOFA provides

additional eligibility requirements.

(C) Eligible Activities. (1) General

Goals and Objectives. The overall goal

of this research is to gain knowledge to

improve the efficacy and costeffectiveness of methods for evaluation

and control of environmental health and

safety hazards in the home. Through the

Healthy Homes Initiative, HUD is

assessing and promoting new risk

reduction techniques and research on

the control of key hazards described in

Appendix A. Objectives to be addressed

by these projects are:

(a) Investigation of the epidemiology

of housing-related hazards and illness

and injury.

(b) Development and assessment of

low-cost test methods and protocols for

identification and assessment of

housing-related hazards.

(c) Development and assessment of

cost-effective methods for reducing or

eliminating housing-related hazards.

(d) Evaluation of the effectiveness of

housing interventions and public

education campaigns, and barriers and

incentives affecting future use of the

most cost-effective strategies.

(f) Investigation of the environmental

health effects on children living in

deteriorated housing and the impact on

their development and productivity.

A table of examples of current

Healthy Homes and lead-related

research projects being funded by HUD

can be found in Appendix C.

(2) HUD is interested in the following

research topics:

(a) Evaluation of residential

Environmental Health and Safety (EHS)

hazard control methodologies.

—Controlling excess moisture and dust,

and improving indoor air quality (e.g.,

controlling combustion products)

have been identified as key areas in

the HHI Preliminary Plan.

(b) Low-cost analytical techniques for

the rapid, on-site determination of

environmental contaminants of concern

(e.g., bioaerosols, pesticides, allergens).

—Establish and validate any necessary

procedures, such as extraction and/or

digestion, that would work well with

the field device/procedure.

—Examine old technology (e.g.,

colorimetric tests, titrimetric

procedures) as well as newer

techniques.

—Consider the safety and

environmental impacts of the

procedure, particularly as used in the

field.

(c) New or Novel Methods of EHS

Hazard Evaluation or Control, or other

areas of research that are consistent with

the overall goals of this research

program section of the SuperNOFA.

—Identify and evaluate new methods

and/or techniques for EHS hazard

control in the residential

environment.

—Identify materials and/or procedures

that may be used for abatement or for

interim controls.

—Show the potential utility of these

methods for hazard control and risk

reduction.

—Evaluate critical elements and

potential weaknesses of the methods

or techniques, and address how to

minimize the effect of each critical

element and/or eliminate or mitigate

each weakness.

—Demonstrate where and how these

methods have been applied and

tested, and/or perform demonstration

activities.

—Illustrate the results obtained, and the

costs involved.

—Recommend cost-effective changes to

the Program for inclusion in future

HUD Healthy Homes Initiative grants.

—Additional ideas will be considered

with an open mind toward novel

techniques and applications.

Although HUD is soliciting proposals

for research on these specific topics, the

Department will also consider funding

applications for research on topics

which are relevant under the overall

goals and objectives of this research, as

described above. In such instances, the

applicant should describe how the

proposed research activity addresses

these overall goals and objectives.

Applicants should consider the

efficiencies that might be gained by

working cooperatively with some of the

recipients of HUD Healthy Homes and

Lead Hazard Control grants, who are

widely distributed throughout the U.S.

Information on current grantees is

available at www.hud.gov/offices/lead.

You may address one or more of the

research topic areas within your

proposal, or submit separate

applications for different topic areas.

Projects need not address all of the

objectives within a given topic area.

IV. Program Requirements.

(A) Applicable Requirements. Please

refer to Section II of the General Section

of the SuperNOFA, Requirements and

Procedures Applicable to All Programs.

The threshold requirements are listed in

Section II.B of the General Section of

this SuperNOFA.

(B) Certifications and Assurances. In

addition to the certifications mentioned

in the Section II(G) of the General

Section of the SuperNOFA, you must

comply with the following:

(1) All relevant State and Federal

regulations regarding exposure to and

proper disposal of hazardous materials.

(2) Any blood lead testing, blood lead

level test results, and medical referral

and follow-up for children under six

years of age will be conducted according

to the recommendations of the Centers

for Disease Control and Prevention

(CDC) Preventing Lead Poisoning in

Young Children, (See Appendix B of

this research program section of the

SuperNOFA).

(3) HUD research grant funds will not

replace existing resources dedicated to

any ongoing project.

(4) Laboratory analysis covered by the

National Lead Laboratory Accreditation

Program (NLLAP) will be conducted by

a laboratory recognized under the

program.

(5) Human research subjects will be

protected from research risks in

conformance with Federal Policy for the

Protection of Human Subjects, codified

by HUD at 24 CFR part 60.

(6) The requirements of OSHA (e.g.,

29 CFR part 1910 and/or 1926, as

applicable), or the State or local

occupational safety and health

regulations, whichever are most

stringent, will be met.

(C) Period of Performance. The period

of performance cannot exceed 36

months from the time of award.

V. Application Selection Process

(A) Submitting Applications for

Grants. Applications that meet all of the

threshold requirements will be eligible

to be scored and ranked, based on the

total number of points allocated for each

of the rating factors described below in

Section V(B) of this program section of

the SuperNOFA. Your application must

receive a total score of at least 65 points

to remain in consideration for funding.

Awards will be made in rank order,

within the limits of funding availability.

You may address more than one of the

research topic areas within your

proposal, or submit separate

applications for different topic areas.

Projects need not address all of the

objectives within a given topic area.

While you will not be penalized for not

addressing all of the specific objectives

for a given topic area, if two

applications for research in a given

topic have equal scores, HUD will select

the applicant whose project addresses

the most objectives.

You are encouraged to plan projects

that can be completed over a short time

period (e.g., 12 to 24 months from the

date of award) so useful information

generated from the research can be

available for policy or program

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11877

decisions and disseminated to the

public as quickly as possible.

Regarding the amount to be awarded

to the selected applicants, please refer to

the Negotiations section in the General

Section of this SuperNOFA.

(1) Use of Residual Funds. In the

selection process, HUD reserves the

right to offer partial funding to any or

all applicants. If you are offered a

reduced grant amount, you will have a

maximum of seven (7) calendar days to

accept such a reduced award. If you fail

to respond within the seven day limit,

you shall be considered to have

declined the award.

(B) Rating Factors. The factors for

rating and ranking applicants, and

maximum points for each factor, are

provided below. The maximum number

of points to be awarded is 100. The EZ/

EC bonus points described in the

General Section of the SuperNOFA do

not apply to this Research NOFA.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (20 Points)

This factor addresses the extent to

which you have the ability and

organizational resources necessary to

successfully implement your proposed

activities in a timely manner. The rating

of you, the ‘‘applicant,’’ will include

any sub-grantees, consultants, subrecipients, and members of consortia

that are firmly committed to the project

(generally, ‘‘subordinate

organizations’’). In rating this factor

HUD will consider the extent to which

your application demonstrates:

(1) The capability and qualifications

of the principal investigator and key

personnel (10 points). Qualifications to

carry out the proposed study as

evidenced by academic background,

relevant publications, and recent

(within the past 10 years) relevant

research experience. Publications and

research experience are considered

relevant if they required the acquisition

and use of knowledge and skills that can

be applied in the planning and

execution of the research that is

proposed under this program section of

this SuperNOFA.

(2) Past performance of the research

team in managing similar research (10

points). Demonstrated ability to

successfully manage various aspects of

a complex research study in such areas

as logistics, research personnel

management, data management, quality

control, community research

involvement (if applicable), and report

writing, as well as overall success in

project completion (i.e., research

completed on time and within budget).

You should also demonstrate that your

project would have adequate

administrative support, including

clerical and specialized support in areas

such as accounting and equipment

maintenance.

Rating Factor 2: Need/Extent of the

Problem (15 Points)

This factor addresses the extent to

which there is a need for your proposed

program activities to address

documented problems, target areas or

target groups. In responding to this

factor, you should document in detail

how your research would make a

significant contribution towards

achieving some or all of HUD’s stated

goals and objectives for one or more of

the topic areas described in Sections III

(A) and (C)(2)(a)-(c) of this program

section of the SuperNOFA.

(1) Your rating will be based on the

scope and completeness of your

documentation which should include

available data linking housing-based

hazards to disease or injuries to

children. Examples of data that might be

used to demonstrate need include:

(a) Rates of childhood illnesses or

injuries (e.g., asthma, burns) that could

be caused or exacerbated by exposure to

conditions in the home environment

and/or rates of environmentally-related

disease or adverse health effects (e.g.,

hypertension, elevated blood lead

levels) that would be addressed by your

research;

(b) Unavailability of other Federal,

State or local funding or private sector

resources that could be, or is used, to

address the problem. This includes

current research projects for which

funding will be terminated or

significantly reduced in the next 12

months.

(c) Data documenting affected groups

or areas that are traditionally

underserved or have special needs.

(2) If your application addresses

needs that are in the Consolidated Plan,

Analysis of Impediments to Fair

Housing Choice (AI), court orders or

consent decrees, settlements,

conciliation agreements, and voluntary

compliance agreements, you will

receive more points than applicants that

do not relate their program to identified

need.

(3) In addition, if you are seeking

funding for ‘‘other’’ research, as is

described in section III(C)(2)(c), you

must document the importance and

need for the research with respect to

addressing the overall goal of this

research program, and providing

measurable positive impact on

children’s health.

Rating Factor 3: Soundness of

Approach (45 Points)

This factor addresses the quality of

your proposed research plan. Specific

components include the following:

(1) Soundness of the study design (25

points). The project description/study

design must be thorough and feasible,

and reflect your knowledge of the

relevant scientific literature. You should

include a plan for analyzing and

archiving data. You should approach

your study design as a project with a

goal, some activities with associated

tasks, a time frame, and an associated

cost.

(2) Quality assurance mechanisms (8

points). You must describe the quality

assurance mechanisms which will be

integrated into your research design to

ensure the validity and quality of the

results. Areas to be addressed include

acceptance criteria for data quality,

procedures for selection of samples/

sample sites, sample handling,

measurement and analysis, and any

standard/nonstandard quality

assurance/control procedures to be

followed. Documents (e.g., government

reports, peer-reviewed academic

literature) which provide the basis for

your quality assurance mechanisms

should be cited.

(3) Project management plan (5

points). The proposal should include a

management plan that provides a

schedule for the completion of major

activities, tasks and deliverables, with

an indication that there will be adequate

resources (e.g., personnel, financial) to

successfully meet the proposed

schedule. Projects with a duration of 24

months or less will be awarded more

points in this category than projects

with a longer duration.

(4) Project Evaluation (5 points). You

are required to identify and discuss the

specific methods you will use to

measure progress towards your goals,

track and report results of your research,

and evaluate the effectiveness of your

project:

(i) Discuss the performance goals for

your project and identify specific

outcome measures;

(ii) Describe how the outcome

information will be obtained,

documented, and reported; and

(iii) Identify the major milestones for

your project, and describe how your

progress towards these milestones will

be tracked, recorded and reported.

(5) Budget Proposal (2 Points). Your

budget proposal should thoroughly

estimate all applicable direct and

indirect costs, and be presented in a

clear and coherent format in accordance

with the requirements listed in the

11878 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

General Section of this SuperNOFA.

HUD is not required to approve or fund

all proposed activities. Your budget

should be submitted in the format

recommended; an electronic

spreadsheet is available on HUD’s

website, www.hud.gov/offices/lead.

You must thoroughly document and

justify all budget categories and costs

(Part B of Standard Form 424A) and all

major tasks, for yourself, sub-recipients,

partners, major subcontractors, joint

venture participants, or others

contributing resources to the project.

Your budget proposal should be activity

and task related.

Rating Factor 4: Leveraging Resources

(10 Points)

Your proposal should demonstrate

that the effectiveness of the HUD

research grant funds are being increased

by securing other public and/or private

resources or by structuring the research

in a cost-effective manner, such as

integrating the project into an existing

research effort. Resources may include

funding or in-kind contributions (such

as services, facilities or equipment)

allocated to the purpose(s) of your

research. Staff and in-kind contributions

should be given a monetary value.

You should provide evidence of

leveraging/partnerships by attaching to

your application the following: letters of

firm commitment, memoranda of

understanding, or agreements to

participate from those entities identified

as partners in the research efforts. Each

letter of commitment, memorandum of

understanding, or agreement to

participate should include the

organization’s name, proposed level of

commitment (with monetary value) and

responsibilities as they relate to specific

activities or tasks of your proposed

program. The commitment must also be

signed by an official of the organization

legally able to make commitments on

behalf of the organization.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

You should describe how the results

of your proposed research efforts will

support planning, policy development,

implementation of healthy homes

programs, and/or public education in

the area of residential EHS hazard

control or in accordance with the goals

and operations of the Partnership for

Advancing Technology in Housing

(PATH) (refer to Section VI(E) of the

General Section of the SuperNOFA). If

your application involves a particular

community, it should relate to the

community’s Consolidated Plan and

Analysis Impediments to Fair Housing

Choice. In addition, you should also

address the extent to which your

research could be used to expand fair

housing choice and to affirmatively

further fair housing.

VI. Application Submission

Requirements

(A) Applicant Data. Your application

must contain the items listed in this

Section (VI(A)). These items include the

standard forms, certifications, and

assurances listed in the General Section

of the SuperNOFA that are applicable to

this funding (collectively, referred to as

the ‘‘standard forms’’). The standard

forms can be found in Appendix B to

the General Section of the SuperNOFA.

The remaining application items that

are forms (i.e., excluding such items as

narratives), referred to as the nonstandard forms can be found as

Appendix D to this program section of

the SuperNOFA: The items are as

follows:

(1) Transmittal Letter that identifies

what the research program funds are

requested for, the dollar amount

requested, and the applicant or

applicants submitting the application. If

two or more organizations are working

together on the research, a primary

applicant must be designated.

(2) Checklist and Submission Table of

Contents (see Appendix D).

(3) The name, mailing address,

telephone number, and principal

contact person of the prime applicant. If

you have consortium associates, subgrantees, partners, major subcontractors,

joint venture participants, or others

contributing resources to your project,

similar information must be provided

for each of these entities.

(4) Completed Forms HUD–2880,

Applicant/Recipient Disclosure/Update

Report; Certification Regarding

Lobbying; and/or SF-LLL, Disclosure of

Lobbying Activities, where applicable.

(5) Completed Standard Forms SF–

424, 424M, 424A, 424B, and other

certifications and assurances listed in

the General Section of the SuperNOFA

and in Section VII(B) of this program

section of the SuperNOFA.

(6) A detailed total budget with

supporting cost justification for all

budget categories of the Federal grant

request. Use the budget format

discussed in Section V(B) Rating Factor

3:5, above. (See Appendix D.)

(7) A two-page (maximum) abstract

containing the following information:

The project title, the names and

affiliations of all investigators, and a

summary of the objectives, expected

results, and study design described in

the proposal.

(8) A project description/narrative

statement addressing the rating factors

for award of funding under this program

section of the SuperNOFA. The

narrative statement must be numbered

in accordance with each factor for

award (Rating Factors 1 through 5). The

response to the rating factors should not

exceed a total of 25 pages for each

research topic area. Any pages in excess

of this limit will not be read.

(9) Any important attachments,

appendices, references, or other relevant

information may accompany the project

description, but must not exceed twenty

(20) pages for the entire application.

Any pages in excess of this limit will

not be read.

(10) The resumes of the principal

investigator and other key personnel.

Resumes shall not exceed three pages

each, and are limited to information that

is relevant in assessing the

qualifications of key personnel to

conduct and/or manage the proposed

research.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

In accordance with 24 CFR 50.19(b)(1)

and (5) of the HUD regulations,

activities assisted under this program

are categorically excluded from the

requirements of the National

Environmental Policy Act of 1969 (42

U.S.C. 4321) and are not subject to

environmental review under the related

laws and authorities.

IX. Authority

These grants are authorized under

sections 1051 and 1052 of the

Residential Lead Based Paint Hazard

Reduction Act of 1992, which is Title X

of the Housing and Community

Development Act of 1992, sections 501

and 502 of the Housing and Urban

Development Act of 1970, and the

Departments of Veterans Affairs and

Housing and Urban Development, and

Independent Agencies Appropriations

Act, 2001, Public Law 106–377,

approved October 27, 2000.

Appendix A

The following briefly describes the

housing-associated health and injury hazards

HUD considers key targets for intervention:

Allergens and asthma: Experts estimate

that 14 million Americans have asthma, with

an associated annual cost of $14 billion.

Asthma is now recognized as the leading

cause of school and work absence, emergency

room visits and hospitalization. For

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11879

sensitized children, exposure to antigens

from dust mites, certain pets, and

cockroaches has been associated with more

severe asthma. There is a preponderance of

evidence showing a dose-response

relationship between exposure and

prevalence of asthma and allergies; some

evidence also indicates that exposure to

antigens early in life may predispose or

hasten the onset of allergies and asthma. Dust

mites have been identified as the largest

trigger for asthma and allergies. Cockroach

allergens appear to be excessive in 30–50%

of inner-city housing and affect 5–15% of the

population, whereas dust mite appears to be

the dominant allergen in other environments.

Interventions known to have beneficial

effects include installation of impervious

mattress and pillow covers, which can

reduce allergen exposure by 90%. Other dust

mite control measures include

dehumidification, laundering bedding, and

removal of carpets and other dust sinks.

Cleaning carpets with tannic acid solution

has also been demonstrated to greatly reduce

dust mites. Asthma prevention program costs

have been estimated at about $500 per unit,

which includes about $150 for educational

interventions.

Asbestos: Asbestos is a mineral fiber that

has been used commonly in a variety of

building construction materials and

household products for insulation and as a

fire-retardant. The Environmental Protection

Agency (EPA) and the Consumer Product

Safety Commission (CPSC) have banned most

asbestos products. Manufacturers have also

voluntarily limited uses of asbestos. Today,

asbestos is most commonly found in older

homes: in pipe and furnace insulation

materials, asbestos shingles, millboard,

textured paints and other coating materials,

and floor tiles. Elevated concentrations of

airborne asbestos can occur when asbestoscontaining materials (ACM) are disturbed by

cutting, sanding or other remodeling

activities. Improper attempts to remove these

materials can release asbestos fibers into the

air in homes, increasing asbestos levels and

endangering people living in those homes.

The most dangerous asbestos fibers are too

small to be visible. After they are inhaled,

they can remain and accumulate in the lungs.

Asbestos can cause lung cancer,

mesothelioma (a cancer of the chest and

abdominal linings), and asbestosis

(irreversible lung scarring that can be fatal).

Most people with asbestos-related diseases

were exposed to elevated concentrations on

the job; some developed disease from

exposure to clothing and equipment brought

home from job sites. As with radon, doseresponse extrapolations suggest that lower

level exposures, as may occur when asbestoscontaining building materials deteriorate or

are disturbed, may also cause cancer.

Intact asbestos-containing materials are not

a hazard; they should be monitored for

damage or deterioration and isolated if

possible. Repair of damaged or deteriorating

ACM usually involves either sealing

(encapsulation) or covering (enclosure) it.

Repair is usually cheaper than removal, but

it may make later removal of asbestos more

difficult and costly. Repairs should be done

only by a professional trained and certified

to handle asbestos safely and can cost from

a few hundred to a few thousand dollars;

removal can be more expensive.

Combustion products of heating and

cooking appliances: Burning of oil, natural

gas, kerosene, and wood for heating or

cooking purposes can release a variety of

combustion products of health concern.

Depending upon the fuel, these may include

carbon monoxide (a chemical asphyxiant),

oxides of nitrogen (respiratory irritants),

polycyclic aromatic hydrocarbons (e.g., the

carcinogen benzo[a]pyrene), and airborne

particulate matter (respiratory irritants).

Carbon monoxide, an odorless gas, can be

fatal. Nitrogen dioxide can damage the

respiratory tract, and sulfur dioxide can

irritate the eyes, nose and respiratory tract.

Smoke and other particulates irritate the

eyes, nose and throat, and can cause lung

cancer.

Improper venting and poor maintenance of

heating systems and cooking appliances can

dramatically increase exposure to

combustion products. Experts recommend

having combustion heating systems

inspected by a trained professional every

year to identify blocked openings to flues and

chimneys; cracked or disconnected flue pipe;

dirty filters; rust or cracks in the heat

exchanger; soot or creosote build-up; and

exhaust or gas odors. Installing a carbon

monoxide detector is also recommended;

however, such a detector will not detect

other combustion by-products.

Insect and rodent pests: The observed

association between exposure to cockroach

antigen and asthma severity has already been

noted above. In addition, cockroaches may

act as vehicles to contaminate environmental

surfaces with certain pathogenic organisms.

Rodents can transmit a number of

communicable diseases to humans, either

through bites, arthropod vectors, or exposure

to aerosolized excreta. In addition, humans

can become sensitized to proteins in rodent

urine, dander and saliva. Such sensitization

may contribute to asthma severity among

children. Insect and rodent infestation is

frequently associated with substandard

housing that makes it difficult to eliminate.

Treatment of rodent and insect infestations

often includes the use of toxic pesticides

which may present hazards to occupants (see

below). Integrated pest management (IPM) for

rodents and cockroaches, which reduces the

use of pesticides, is estimated to cost

approximately $150 per unit. IPM control

measures include sealing holes and cracks,

removing food sources and use of traps.

Lead: Exposure to lead, especially from

deteriorating lead-based paint, remains one

of the most important and best-studied of the

household environmental hazards to

children. Although blood lead levels have

fallen nationally, a large reservoir of lead

remains in housing. The most recent national

survey, conducted from 1991–94, showed

that nearly one million U.S. preschoolers still

have elevated blood lead levels. Overall, the

prevalence rate among all children under six

years of age is 4.4%. Among low-income

children living in older housing where leadbased paint is most prevalent, the rate climbs

to 16%; and for African-American children

living in such housing, it reaches 21%.

HUD estimates that 64 million dwellings

have some lead-based paint, and that 20

million have lead-based paint hazards. Of

those, about 3.6 million have young children

and of those, about 500,000 units have

inadequate cash flow to respond to leadbased paint hazards. Costs can range

anywhere from $500 to $15,000 per unit.

Corrective measures include paint

stabilization, enclosure and removal of

certain building components coated with

lead paint, and cleanup and ‘‘clearance

testing’’, which ensures the unit is safe for

young children.

Mold and moisture: An analysis of several

pulmonary disease studies estimates that

25% of airways disease, and 60% of

interstitial lung disease may be associated

with moisture in the home or work

environment. Moisture is a precursor to the

growth of mold and other biological agents,

which is also associated with respiratory

symptoms. An investigation of a cluster of

pulmonary hemosiderosis (PH) cases in

infants showed PH was associated with a

history of recent water damage to homes and

with levels of the mold Stachybotrys atra

(SA) in air and in cultured surface samples.

Associations between exposure to SA and

‘‘sick building’’ symptoms in adults have also

been observed. Other related toxigenic

11880 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

fungi have been found in association with

SA-associated illness and could play a role.

For sensitive individuals, exposure to a wide

variety of common molds may also aggravate

asthma. Addressing mold problems in

housing requires coordination among the

medical, public health, microbiological,

housing, and building science communities.

The cost of mold/moisture-related

intervention work (e.g., integrated pest

management, clean and tune furnace, remove

debris, vent clothes dryer, cover dirt floor

with impermeable vapor barrier) is a few

hundred dollars, unless major modification

of the ventilation system is needed. In

Cleveland, mold interventions, including

repairs to ventilation systems and basement

flooring, in the most heavily-contaminated

homes range from $500–$5,000, with some

costs also being dedicated to lead hazard

control simultaneously through its

lead+asthma program.

Pesticide residues: According to the EPA,

75 percent of U.S. households used at least

one pesticide product indoors during the past

year. Products used most often are

insecticides and disinfectants. Another study

suggests 80 percent of most people’s

exposure to pesticides occurs indoors and

that measurable levels of up to a dozen

pesticides have been found in the air inside

homes. The amount of pesticides found in

homes appears to be greater than can be

explained by recent pesticide use in those

households; other possible sources include

contaminated soil or dust that migrates in

from outside, stored pesticide containers, and

household surfaces that collect and then

release the pesticides. Pesticides used in and

around the home include products to control

insects (insecticides), termites (termiticides),

rodents (rodenticides), molds and fungi

(fungicides), and microbes (disinfectants). In

1990, the American Association of Poison

Control Centers reported that some 79,000

children were involved in common

household pesticide poisonings or exposures.

In households with children under five years

old, almost one-half stored at least one

pesticide product within reach of children.

Exposure to chlorpyriphos (CP), a commonly

used organophosphate insecticide, in the

prenatal and early postnatal period may

impair neurodevelopment. While CP is a

biodegradable pesticide, substantial

persistence of CP in house dust has been

demonstrated. Exposure to high levels of

cyclodiene pesticides, commonly associated

with misapplication, has produced various

symptoms, including headaches, dizziness,

muscle twitching, weakness, tingling

sensations, and nausea. In addition, EPA is

concerned that cyclodienes might cause longterm damage to the liver and the central

nervous system, as well as an increased risk

of cancer.

There are available data on hazard

evaluation methods and remediation

effectiveness regarding pesticide residues in

the home environment.

Radon progeny: The National Academy of

Sciences estimates that approximately 15,000

cases of lung cancer per year are related to

radon exposure. Epidemiologic studies of

miners exposed to high levels of radon in

inhaled air have defined the dose response

relation for radon-induced lung cancer at

high exposure levels. Extrapolation of these

data has been used to estimate the excess risk

of lung cancer attributable to exposure to

radon gas at the lower levels found in homes.

These estimates indicate that radon gas is an

important cause of lung cancer deaths in the

U.S. Excessive exposures are typically related

to home ventilation, structural integrity and

location.

Radon measurement and remediation

methods are well-developed, and the

Environmental Protection Agency (EPA)

recommends that every home be measured

for radon. EPA estimates that materials and

labor costs for radon reduction in an existing

home are $800–$2500. Including radon

resistant techniques in new home

construction costs $350–$500, and can save

up to $65 annually in energy costs, according

to the EPA.

Take home hazards from work/hobbies and

work at home: When the clothing, hair, skin,

or shoes of workers become contaminated

with hazardous materials in the workplace,

such contaminants may inadvertently be

carried to the home environment and/or an

automobile. Such ‘‘take-home’’ exposures

have been demonstrated, for example, in

homes of lead-exposed workers. In addition,

certain hobbies or workplaces located in the

home may provide an especially great risk of

household contamination.

Control methods include storing and

laundering work clothes separately, and

showering and changing before leaving work,

or immediately after arriving home. Once a

home becomes contaminated, cleaning floors

and contact surfaces and replacing

furnishings may be necessary to reduce

exposures.

Unintentional injuries/fire: Unintentional

injury is now the leading cause of death and

disability among children younger than 15

years of age. In 1997, nearly 7 million

persons in the United States were disabled

for at least 1 full day by unintentional

injuries received at home. During the same

year, 28,400 deaths were attributable to

unintentional home injuries, of which 1800

occurred among children 0–4 years of age.

Among young children, three types of events

accounted for more than 3⁄4 of deaths: fires/

burns, drownings, and mechanical

suffocation. Falls and poisoning are the next

most common.

Home visitation protocols have been

shown to be effective in reducing exposure

to such hazards. The ‘‘add-on’’ cost of injury

prevention measures, when combined with

other housing interventions are estimated at

about $100 per unit. This includes the cost

of some injury prevention devices, such as

smoke alarms, electrical socket covers, etc.

Appendix B—Relevant Publications

and Guidelines

To secure any of the documents listed, call

the listed telephone number (generally, the

telephone numbers are not toll-free).

Regulations: 1. Worker Protection: OSHA

publication—Telephone: 202–693–1888

(OSHA Regulations) (available for a charge)—

Government Printing Office—Telephone:

202–512–1800 (not a toll-free number):

—General Industry Lead Standard, 29 CFR

1910.1025 (Document Number

869022001124). Can be downloaded from

the Internet without charge from

www.osha-slc.gov/OshStd_data/

1910_1025.html.

—Lead Exposure in Construction, 29 CFR

1926.62, and appendices A, B, C, and D

(Document Number 869022001141). Can be

downloaded from the Internet without

charge from www.osha-slc.gov/

OshStd_data/1926_0062.html.

2. Waste Disposal: 40 CFR parts 260–268

(EPA regulations) (available for a charge)—

Telephone 1–800–424–9346, or, from the

Washington, DC, metropolitan area, 1–703–

412–9810 (not a toll-free number). Can be

downloaded from the Internet without charge

from www.epa.gov/docs/epacfr40/chaptI.info/subch-I/.

3. Lead; Requirements for Lead-Based Paint

Activities in Target Housing and ChildOccupied Facilities; Final Rule: 40 CFR part

745 (EPA) (Lead Hazard Standards, Work

Practice Standards, EPA and State

Certification and Accreditation Programs for

those engaged in lead-based paint

activities)—Telephone: 1–202–554–1404

(Toxic Substances Control Act Hotline) (not

a toll-free number). Can be downloaded from

the Internet without charge from

www.epa.gov/opptintr/lead/index.html.

4. Requirements for Notification,

Evaluation and Reduction of Lead-Based

Paint Hazards in Federally Owned

Residential Property and Housing Receiving

Federal Assistance; Final Rule: 24 CFR part

35, subparts A through R, published

September 15, 1999, at Federal Register

pages 50201 through 50231(HUD)—

Telephone: 1–800–424–LEAD (National Lead

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11881

Information Center). Can be downloaded

from the Internet without charge from

www.hud.gov/lea/leadwnlo.html or

www.epa.gov/lead/leadbase.htm.

5. U.S. Environmental Protection Agency.

Lead; Identification of Dangerous Levels of

Lead; Final Rule at 66 FR 1205–1240, January

5, 2001. TSCA Hotline: 202–554–1404 (not a

toll-free number). Can be downloaded from

the Internet without charge from

www.epa.gov/lead/leadhaz.htm.

Guidelines: 1. Guidelines for the

Evaluation and Control of Lead-Based Paint

Hazards in Housing; HUD, June 1995, and

amended September, 1997. (Available for a

charge)—Telephone: 800–245–2691. Can be

downloaded from the Internet without charge

from www.hud.gov/lea/leadwnlo.html.

2. Preventing Lead Poisoning in Young

Children; Centers for Disease Control,

October 1991: Telephone: 888–232–6789.

3. Screening Young Children for Lead

Poisoning: Guidance for State and Local

Public Health Officials, November 1997;

Centers for Disease Control and Prevention

(CDC): Telephone: 888–232–6789. Can be

downloaded from the Internet without charge

from www.hud.gov/lea/leadwnlo.html.

Reports and Articles: 1. Putting the Pieces

Together: Controlling Lead Hazards in the

Nation’s Housing, (Summary and Full

Report); HUD, July 1995 (available for a

charge)—Telephone 800–245–2691. Can be

downloaded from the Internet without charge

from www.hud.gov/lea/leadwnlo.html.

2. The Healthy Homes Initiative: A

Preliminary Plan (Summary and Full Report);

HUD, July 1995. Can be downloaded from the

Internet without charge from www.hud.gov/

lea/leadwnlo.html.

3. Institute of Medicine. Indoor Allergens.

Assessing and Controlling Adverse Health

Effects. National Academy Press.

Washington, D.C. 1993.

4. Mott L., Our Children at Risk. Natural

Resources Defense Council. Washington, D.C.

1997. Can be ordered from the Internet from

www.nrdc.org

5. Rom W.N., Ed. Environmental and

Occupational Medicine. Little, Brown and

Co., Boston. 1992.

6. President’s Task Force on Environmental

Health Risks and Safety Risks to Children.

Asthma and The Environment: An Action

Plan to Protect Children. Washington, D.C.

1999. Eliminating Childhood Lead Poisoning:

A Federal Strategy Targeting Lead Paint

Hazards. Washington, D.C., 2000. Can be

downloaded from the Internet without charge

from www.epa.gov/children.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR THE

HEALTHY HOMES DEMONSTRATION

AND EDUCATION PROGRAM

Program Overview

Purpose of the Program. The purpose

of the Healthy Homes Demonstration

and Education Program is to develop,

demonstrate and promote cost effective,

preventive measures to correct multiple

safety and health hazards in the home

environment which produce serious

diseases and injuries in children. HUD

is interested in reducing health threats

to the maximum number of residents,

especially children, in a cost efficient

manner.

Available Funds. Approximately $5.5

million.

Eligible Applicants. Not-for-profit

institutions, and for-profit firms located

in the U.S., State and local governments,

and Federally-recognized Indian Tribes

are eligible to apply. For-profit firms are

not allowed to include a fee in the cost

proposal (i.e., no profit can be made

from the project). Federal agencies and

federal employees are not eligible to

apply for this program.

Application Deadline. May 17, 2001.

Match. None.

Additional Information

If you are interested in applying for

funding under this initiative, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application (an original and

four copies) is due on or before 12:00

midnight, Eastern time, on May 17,

2001, at the address shown below.

See the General Section of the

SuperNOFA for specific procedures

concerning the form of application

submission (e.g., mailed applications,

express mail, overnight deliver, or hand

carried).

Address for Submitting Applications.

For Mailed Applications. The address

for mailed applications is: Department

of Housing and Urban Development,

Office of Healthy Homes and Lead

Hazard Control, 451 Seventh Street,

SW., Room P3206, Washington, DC

20410.

For Overnight/Express Mail or Hand

Carried Applications. The address for

applications that are hand carried or

sent via overnight/express mail delivery

is: HUD Office of Healthy Homes and

Lead Hazard Control, Suite 3206, 490

L’Enfant Plaza, SW., Washington, DC

20024. Hand carried applications will

be accepted at this address (490

L’Enfant) up until 5 pm on the

application due date.

After 5 pm on the application due

date, hand carried applications will be

accepted until 12:00 midnight, in the

South Lobby of HUD Headquarters, 451

Seventh Street, SW., Washington, DC

20410.

For Application Kits. You may obtain

an application kit from the SuperNOFA

Information Center at 1–800–HUD–

8929, or the TTY number at 1–800–

HUD–2209. When requesting an

application kit, please refer to Healthy

Homes Demonstration and Education

Program. Please be sure to provide your

name, address (including zip code), and

telephone number (including area code).

Alternatively, you may obtain an

application kit by downloading it from

the internet at http://www.hud.gov.

For Further Information and

Technical Assistance. You may contact

Ms. Ellen Taylor, Planning and

Standards Division, Office of Healthy

Homes and Lead Hazard Control, at the

address above; telephone (202) 755–

1785, extension 116, or Ms. Karen

Williams, Grants Officer, extension 118

(these are not toll-free numbers).

Hearing- and speech-impaired persons

may access the above telephone

numbers via TTY by calling the toll-free

Federal Information Relay Service at 1–

800–877–8339.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov.

II. Amount Allocated

Approximately $5.5 million will be

available in FY 2001. Grants will be

awarded on a competitive basis

following evaluation of all proposals

according to the Rating Factors

described in Section V(C). HUD

anticipates that approximately 6 to 8

grants will be awarded, ranging from

approximately $250,000 to

approximately $1,000,000.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. (1)

Background. In the FY 2001 Budget,

HUD received a third year of funding to

continue the Healthy Homes Initiative

(sometimes referred to as the

‘‘Initiative’’ or ‘‘HHI’’) that protects

children from housing conditions

responsible for multiple diseases and

injuries. The Initiative departs from the

more traditional approach of attempting

to correct one hazard at a time (e.g.,

asbestos, radon). In April 1999, HUD

submitted to Congress a preliminary

plan containing a full description of the

Initiative. This description (Summary

and Full Report) is available on the

HUD website at www.hud.gov/offices/

lead.

The Healthy Homes Initiative builds

upon HUD’s existing housing-related

health and safety issues, including lead

hazard control, building structural

safety, electrical safety, and fire

protection to address multiple

childhood diseases and injuries related

to housing in a more coordinated

fashion. A coordinated effort is feasible

because a limited number of building

deficiencies contribute to many hazards.

Substantial savings are possible using

this approach, because separate visits to

a home by an inspector, public health

nurse, or outreach worker can add

significant costs to efforts to eliminate

hazards.

In addition to deficiencies in basic

housing facilities that may impact

health, changes in the U.S. housing

stock and more sophisticated

epidemiological methods and

biomedical research have led to the

identification of new and often more

subtle health hazards in the residential

environment (e.g., indoor air quality

hazards). While such hazards will tend

to be found disproportionately in

housing that is substandard (e.g.,

structural problems, lack of adequate

heat, etc.), such housing-related

environmental hazards may also exist in

housing that is otherwise of good

quality. Appendix A to the Healthy

Homes (HH) Demonstration and

Education program section of the

SuperNOFA briefly describes the

housing-associated health and injury

hazards HUD considers key targets for

intervention. Appendix B to the HH

Demonstration and Education program

section of the SuperNOFA lists the

references that serve as the basis for the

information provided in this section of

the SuperNOFA.

HUD is interested in promoting

approaches that are cost-effective and

efficient and that result in the reduction

of health threats for the maximum

number of residents for the long run,

and in particular low-income children.

The overall goals and objectives of the

HHI are:

(1) Mobilize public and private

resources, involving cooperation among

all levels of government, the private

sector, and community-based

organizations to develop the most

promising, cost-effective methods for

identifying and controlling housingbased hazards.

11896 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(2) Build local capacity to operate

sustainable programs that will continue

to prevent and, where they occur,

minimize and control housing-based

hazards in low and very low income

residences when HUD funding is

exhausted.

(3) Affirmatively further fair housing

and environmental justice.

(B) Healthy Homes Demonstration

and Education Activities. Through the

Healthy Homes Demonstration and

Education program, HUD will initiate

projects to promote implementation of

available risk reduction techniques for

the control of key hazards described in

Appendix A. HUD has decided to

initiate the HH Demonstration and

Education projects through this

competition. There are two categories of

grants being awarded. These are:

• Demonstration projects

implementing housing assessment,

maintenance, renovation and

construction techniques to identify and

correct housing-related illness and

injury risk factors, and

• Education projects disseminating

healthy homes information and

replicating successful interventions.

HUD will evaluate proposals based on

the elements described below. Although

you are expected to focus your efforts in

one of the two categories, the activities

of a proposed project may also address

the other category. Applicants are

required to be specific as to the

locations where they are targeting their

intervention activities to occur, the

residents, individuals, or groups

targeted to receive interventions, and

the organizations targeted to continue to

operate effective intervention strategies

over the life of the award and hereafter.

(1) Demonstration Projects. Objectives

to be addressed by these projects are:

(a) Identification of target areas and

homes where intervention would be

appropriate.

(b) Identification and evaluation of

effective methods of hazard abatement

and risk reduction.

(c) Development of appropriatelyscaled, flexible, cost-effective and

efficient intervention strategies that take

into account the range of conditions

likely to be encountered in older

housing, and that maximize the number

of housing units that receive an

intervention.

(d) Development of methodologies for

evaluating intervention effectiveness.

(e) Development of local capacity in

target areas and target groups to operate

sustainable programs to prevent and

control housing-based hazards,

especially in low and very-low income

residences.

(f) Development of a cost-effective

protocol for identifying homes that are

candidates for interventions, identifying

hazards in these homes, and screening

out homes where structural or other

condition factors (e.g., cost) make

interventions infeasible or impractical.

(2) Education Projects. Objectives to

be addressed by these projects are:

(a) Development and delivery of

public outreach programs to prevent

and eradicate both emerging and wellrecognized housing-related childhood

diseases and injuries, and promote the

use of identified solutions.

(b) Increased identification and

control of housing based hazards

through education and outreach to

specific high-risk communities and

other identified audiences such as

health care deliverers, pregnant women,

children, residential construction

contractors, maintenance personnel,

housing inspectors, real estate

professionals, home buyers and

homeowners.

(c) Implementation of media strategies

to use print, radio and television to

increase public awareness of housing

related hazards that threaten children.

(d) Dissemination of materials that

inform parents and caregivers about

housing-related hazards and enable

them to take prompt corrective action.

(C) Eligible Activities. The following

direct activities and support activities

are eligible under this grant program.

(1) Direct Project Elements (activities

conducted by you and any subrecipients):

(a) Performing evaluations of eligible

housing to determine the presence of

housing-based hazards (e.g., mold

growth, allergens, unvented appliances,

exposed steam pipes or radiators,

deteriorated lead-based paint) through

the use of generally accepted testing

procedures.

(b) Conducting medical examinations

of young children for conditions caused

or exacerbated by exposure to hazards

where this is considered essential to

your project, and there are no

alternative sources to cover these costs.

(c) Conducting housing interventions

to remediate existing housing-based

hazards and address conditions that

could result in their recurrence. Any

lead hazard evaluation and control work

shall be conducted by certified

performers in accordance with the HUD

Guidelines for the Evaluation and

Control of Lead-Based Paint Hazards in

Housing (‘‘Guidelines’’) and applicable

regulations. You may obtain the

Guidelines and applicable regulations

by downloading them from the Internet

at http://www.hud.gov/offices/lead. All

pest control activities shall incorporate

the principles and methods of integrated

pest management (IPM).

(d) Carrying out temporary relocation

of families and individuals, when

necessary, during the period in which

intervention is conducted and until the

time the affected unit receives clearance

for reoccupancy. Residents relocated

must be guaranteed the choice of

returning to the unit after the

intervention.

(e) Performing medical testing

recommended by a physician or

applicable occupational or public health

agency for individuals in hazardous

conditions and environmental sampling

to protect the health of the intervention

workers, supervisors, and contractors.

(f) Undertaking housing rehabilitation

activities that are specifically required

to carry out effective control of housingbased hazards, and without which the

intervention could not be completed

and maintained. Grant funds under this

program may also be used to control

lead-based paint hazards, but such

controls may not be a principal focus of

the grant.

(g) Conducting clearance testing and

analysis for lead, mold, carbon

monoxide and/or other toxins as

appropriate, with respect to generally

accepted standards or criteria, or where

not available, other appropriate levels

justified in conjunction with the project.

(h) Carrying out architectural,

engineering and work specification

development and other construction

management services to control

housing-based hazards and remediate

existing hazards.

(i) Providing training on safe

maintenance practices to homeowners,

renters, painters, remodelers, and

housing maintenance staff working in

low- or very-low income housing.

(j) Providing cleaning supplies for

hazard intervention and hazard control

to community/neighborhood-based

organizations for use by homeowners

and tenants in low-income housing, or

to such homeowners, and tenants

directly.

(k) Conducting general or targeted

community education programs on

environmental health and safety

hazards. This activity would include

training on safe maintenance and

renovation practices, among other

topics, and further fair housing and

environmental justice goals. It would

also include making materials available,

upon request, in alternative formats for

persons with disabilities (e.g., Braille,

audio, large type), and in languages

other than English that are common in

the community, whenever possible.

(l) Securing liability insurance for

hazard intervention and hazard

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11897

evaluation and control activities to be

performed.

(m) Supporting data collection,

analysis, and evaluation of project

activities. This activity is separate from

administrative costs.

(n) Conducting activities directed at

demonstration of cost-effective

evaluation and intervention methods for

assessing and preventing housing-based

hazards.

(o) Maintaining a registry (updated at

least monthly) of housing units in

which housing-based hazards were not

found during evaluation, and those in

which such problems and hazards have

been controlled. Units on the registry

should be given priority for

affirmatively marketing to low-income

families with young children and such

families should be given preference for

occupancy when they are vacant.

(p) Preparing quarterly progress

reports and an overall final grant report

detailing activities (e.g., number of units

tested, types of interventions provided,

evaluation of most cost efficient

methodologies by type of unit), findings,

and recommended future actions for

cost effective interventions, at the

conclusion of grant activities.

(2) Support Elements. (a) Your

administrative costs.

(b) Program planning and

management costs of sub-grantees and

other sub-recipients.

(D) Ineligible Activities

(1) Purchase of real property.

(2) Purchase or lease of equipment

having a per unit cost in excess of

$5,000, unless prior written approval is

obtained from HUD.

(3) Medical treatment costs.

IV. Program Requirements

In addition to program requirements

listed in the General Section of the

SuperNOFA, you, the applicant must

comply with the following

requirements:

(A) Budgeting—Administrative Costs.

There is a 10% maximum for

administrative costs. The application kit

contains specific information on

allowable administrative costs.

(B) Period of Performance. The period

of performance cannot exceed 36

months from the time of the award.

(C) Coastal Barrier Resources Act.

Pursuant to the Coastal Barrier

Resources Act (16 U.S.C. 3501), funds

may not be used for properties located

in the Coastal Barrier Resources System.

(D) Flood Disaster Protection Act.

Under the Flood Disaster Protection Act

of 1973 (42 U.S.C. 4001–4128), funds

may not be used for construction,

reconstruction, repair or improvement

of a building or mobile home which is

located in an area identified by the

Federal Emergency Management Agency

(FEMA) as having special flood hazards

unless:

(1) The community in which the area

is situated is participating in the

National Flood Insurance Program in

accordance with the applicable

regulations (44 CFR parts 59–79), or less

than a year has passed since FEMA

notification regarding these hazards;

and

(2) Where the community is

participating in the National Flood

Insurance Program, flood insurance on

the property is obtained in accordance

with section 102(a) of the Flood Disaster

Protection Act (42 U.S.C. 4012a(a)). You

are responsible for assuring that flood

insurance is obtained and maintained

for the appropriate amount and term.

(E) National Historic Preservation Act.

The National Historic Preservation Act

of 1966 (16 U.S.C. 470) (NHPA) and the

regulations at 36 CFR part 800 apply to

the mold intervention and related

hazard control activities that are

undertaken pursuant to this program.

HUD and the Advisory Council for

Historic Preservation have developed an

optional Model Agreement for use by

grantees and State Historic Preservation

Officers in carrying out any lead hazard

control activities under this program.

This must be obtained from the

SuperNOFA Information Center at 1–

800–HUD–8929.

(F) Waste Disposal. Waste disposal

will be handled according to the

requirements of the Occupational

Health and Safety Administration

(OSHA) (e.g., 29 CFR part 1910 and/or

1926, as applicable), the Environmental

Protection Agency (EPA) (e.g., 40 CFR

parts 61, 260–282, 300–374, and/or 700–

799, as applicable), the Department of

Transportation (e.g., 49 CFR parts 171–

177), and/or appropriate State or local

regulatory agency(ies). Disposal of

wastes from intervention activities that

contain lead-based paint but are not

classified as hazardous will be handled

in accordance with the HUD Guidelines

and applicable EPA regulations and

guidance.

(G) Worker Protection Procedures.

You must comply with the requirements

of OSHA (e.g., 29 CFR part 1910 and/

or 1926, as applicable), or the State or

local occupational safety and health

regulations, whichever are most

stringent.

(H) Written Policies and Procedures.

You must have written policies and

procedures for all phases of

intervention, including evaluation,

development of specifications,

financing, occupant relocation,

independent project inspection, and

clearance testing (e.g., for mold, lead,

carbon monoxide or other hazards, as

applicable). You and all your

subcontractors, sub-recipients, and their

contractors must comply with these

policies and procedures.

(I) Clearance Testing for Lead Hazard

Control Activities. Clearance dust

testing for lead hazard control activities

must be conducted according to the

HUD Guidelines and the EPA lead

hazards standards rule at 40 CFR 745

subparts D, L, and Q. You are required

to meet the post-hazard control dustwipe test clearance thresholds at 40 CFR

745.227(e)(8)(viii). Wipe tests shall be

conducted by an appropriately certified

individual who is independent of the

lead hazard control contractor. Dustwipe and soil samples and any paint

samples to be analyzed by a laboratory,

must be analyzed by a laboratory

recognized by the EPA National Lead

Laboratory Accreditation Program

(NLLAP). Units treated shall not be

reoccupied until clearance is achieved.

(J) Continued Availability of Safe

Housing to Low-Income Families. Units

in which housing-based hazards have

been controlled under this program

shall be occupied by and/or continue to

be available to low-income residents for

not less than 3 years following the

completion of intervention activities

according to Section 1011(a) of the

Residential Lead-Based Paint Hazard

Reduction Act of 1992 (Title X), as

amended by Section 217 of Public Law

104–134 (the Omnibus Consolidated

Rescissions and Appropriations Act of

1996, 110 Stat. 1321, approved April 26,

1996).

(K) Environmental Review. You must

comply with HUD’s regulations in 24

CFR 50.3(h) in carrying out

responsibilities regarding HUD’s

environmental review. Recipients of a

grant under this NOFA will be given

guidance in these responsibilities.

(L) Economic Opportunities for Lowand Very Low-Income Persons (Section

3). Recipients of assistance must comply

with Section 3 of the Housing and

Urban Development Act of 1968, 12

U.S.C. 1701u (Economic Opportunities

for Low- and Very Low-Income Persons

in Connection with Assisted Projects)

and the HUD regulations at 24 CFR part

135, including the reporting

requirements of subpart E. Section 3

requires recipients to ensure that, to the

greatest extent feasible, training,

employment and other economic

opportunities will 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

11898 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

economic opportunities to low and very

low income persons.

(M) Data collection and provision.

You must collect, maintain and provide

to HUD the data necessary to document

the various approaches used to evaluate

and control housing-based hazards,

including evaluation and control

methods, building conditions, medical

and familial information (with

confidentiality of individuallyidentifiable information ensured) in

order to determine the effectiveness and

relative cost of these methods.

(N) Certifications and Assurances.

You must include the certifications and

assurances listed in Section II(G) of the

General Section of the SuperNOFA with

your application.

(O) Davis-Bacon Act. The Davis-Bacon

Act does not apply to this program.

However, if program funds are used in

conjunction with other Federal

programs in which Davis-Bacon

prevailing wage rates apply, then DavisBacon provisions would apply to the

extent required under the other Federal

programs.

V. Application Selection Process

(A) Threshold Requirements. Please

see Section III of the General Section of

this SuperNOFA. As an applicant, you

must meet all of the threshold

requirements of Section II(B) of the

General Section of the SuperNOFA.

Applications that meet all of the

threshold requirements will be eligible

to be scored and ranked based on the

total number of points allocated for each

of the rating factors described below.

Your application must receive a total

score of at least 65 points to remain in

consideration for funding.

(B) Rating and Ranking. HUD intends

to make awards to qualifying

applications in the following order:

STEP 1. An award will be made to the

highest ranked application in each of

the two categories listed in Section III(B)

of this program section of the

SuperNOFA within the limits of

funding availability. If there are

insufficient funds to award in both

categories, HUD will make awards in

the demonstration category (1), then the

education category (2), in order.

STEP 2. After following Step 1 if

funding remains available, an award

will be made each of the two categories,

demonstration (1) and education (2), in

order.

STEP 3. After following Step 2 if

funding remains available, awards will

be made in rank order, regardless of

category.

You must state the category for which

you are applying. If an applicant wishes

to apply under more than one category

they must submit a separate application

for each category. While you will not be

penalized for not addressing all the

specific objectives within a given

category, if two applications have equal

scores, HUD will first select the

applicant whose project addresses the

most objectives.

(C) Factors for Award Used to

Evaluate and Rate Applications. This

section provides the factors for rating

and ranking your application and the

maximum points for each factor. The

maximum number of points to be

awarded is 102. This maximum

includes two EZ/EC bonus points as

described in the General Section of the

SuperNOFA. Also, Section III(C)(2) of

the General Section, which addresses a

court-ordered consideration, is

applicable to this program.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (20 Points)

This factor addresses your

organizational capacity necessary to

successfully implement your proposed

activities in a timely manner. The rating

of you or your staff includes any

community-based organizations, subcontractors, consultants, sub-recipients,

and members of consortia that are firmly

committed to your project. In rating this

factor HUD will consider:

(1) Your recent, relevant and

successful demonstrated experience in

undertaking eligible program activities.

You must describe the knowledge and

experience of the proposed overall

project director and day-to-day project

manager in planning and managing

large and complex interdisciplinary

programs, especially those involving

housing rehabilitation, public health, or

environmental programs. In your

narrative response for this factor, you

should include information on your

project staff, their experience,

commitment to the project, and position

titles. Resumes of up to three (3) pages

each and position descriptions for up to

three personnel in addition to the

project director and project manager,

and a clearly delineated organizational

chart for your project must be included

as an appendix. Copies of job

announcements (including salary range)

should be included for any key

positions that are currently vacant.

Indicate the percentage of time that key

personnel will devote to your project

and any salary costs to be paid by funds

from this program. Include descriptions

of the experience and qualifications of

subcontractors and consultants.

(2) Your qualifications to carry out the

proposed activities as evidenced by

experience, academic background,

training, and/or relevant publications of

project staff.

(3) Whether you have sufficient

personnel or will be able to quickly

retain qualified experts or professionals

to begin your proposed project

immediately and to perform your

proposed activities in a timely and

effective fashion. Describe how

principal components of your

organization will participate in or

support your project. You should

thoroughly describe capacity, as

demonstrated by experience in initiating

and implementing related

environmental, health, or housing

projects.

Rating Factor 2: Need/Extent of the

Problem (15 Points)

This factor addresses the extent to

which there is a need for your proposed

project activities to address documented

problems, target area(s) and target

groups.

(1) Document a critical level of need

for your proposed activities in the area

where activities will be carried out. You

should pay specific attention to

documenting the need as it applies to

your target area(s), rather than the larger

geographic area.

(2) Your documentation should

summarize available data linking

housing-based hazards to disease or

injuries to children in your target

area(s). Examples of data that might be

used to demonstrate need, include:

(a) Economic and demographic data

relevant to your target area(s), including

poverty and unemployment rates;

(b) Rates of childhood illnesses or

injuries (e.g., asthma, burns) that could

be caused or exacerbated by exposure to

conditions in the home environment,

among children residing in your target

area(s), and/or rates of environmentallyrelated disease or adverse health effects

(e.g., hypertension, elevated blood lead

levels) in your target area(s); and

(c) Unavailability of other Federal,

State or local funding or private sector

resources that could be, or is being, used

to address the problem.

(3) For the areas targeted for your

project activities, provide data available

in your jurisdiction’s currently

approved Consolidated Plan, or derived

from 1990 Census Data, or derived from

other sources, including the Analysis of

Impediments to Fair Housing Choice,

AI, (all data should be documented) that

address:

(a) The age and condition of housing;

(b) The number and percentage of

very-low and low-income families with

incomes less than 80% of the median

income, as determined by HUD, for the

area, with adjustments for smaller and

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11899

larger families (See application kit for

additional information).

(c) To the extent that statistics and

other data contained in your

community’s Consolidated Plan or

Analysis of Impediments to Fair

Housing Choice (AI) support the extent

of the problem, you should include

references to the Consolidated Plan and

the AI in your response.

(d) Data documenting targeted groups

that are traditionally underserved or

have special needs. If the data presented

in your response does not specifically

represent your target area, you should

discuss why the target areas are being

proposed. If your application addresses

needs that are in the Consolidated Plan,

AI, court orders or consent decrees,

settlements, conciliation agreements,

and voluntary compliance agreements,

you will receive more points than

applicants that do not relate their

project to identified need.

Rating Factor 3: Soundness of

Approach (45 Points)

This factor addresses the quality and

cost-effectiveness of your proposed

work plan. You should present

information on the proposed approach

for addressing housing-based hazards

and describe how proposed activities

would help HUD achieve its goals for

this program area. For you to receive

maximum points for this factor, there

must be a direct relationship between

the proposed activities, community

needs, and the purpose of the project.

The response to this factor should

include the following elements:

(1) Strategy (25 points). Describe your

project goals and objectives and the

strategy you will use in planning and

executing the project. You should

provide information on the general

approach and overall plan employed:

(a) Baseline Plan for Project

Management (10 points). Include a

management plan that:

(i) Lists the project objectives, major

tasks and activities. All specific

activities necessary to complete the

proposed project must be included in

the task listing;

(ii) Identifies appropriate performance

goals and benchmarks;

(iii) Provides a schedule for the

assignment and completion of major

tasks and activities, and a timeframe for

delivery;

(iv) Designates resources and

identifies responsible entities; and

(v) Provides an estimate of per unit (or

other appropriate apportionment) costs

(and a basis for those estimates) for the

type of interventions that are planned.

(b) Budget Justification (2 points).

Your proposed budget will be evaluated

for the extent to which it is reasonable,

clearly justified, and consistent with the

project management plan and intended

use of program funds. HUD is not

required to approve or fund all

proposed activities. Your budget should

be submitted in the format

recommended; an electronic

spreadsheet is available on HUD’s

website, at www.hud.gov/lea/

leaforms.html. You must thoroughly

document and justify all budget

categories and costs (Part B of Standard

Form 424A) and all major tasks, for

yourself, sub-recipients, partners, major

subcontractors, joint venture

participants, or others contributing

resources to the project. Describe clearly

and in detail your budgeted costs for

each required program element (major

task) included in your overall plan.

(c) Project Evaluation (8 points). You

are required to identify and discuss the

specific methods you will use to

measure progress towards your goals,

track and report results of interventions,

and evaluate the effectiveness of

interventions:

(i) Discuss the performance goals for

your project and identify specific

outcome measures;

(ii) Describe how the outcome

information will be obtained,

documented, and reported; and (P)(iii)

Identify the major milestones for your

project, and describe how your progress

towards these milestones will be

tracked, recorded and reported.

(d) Economic Opportunity (5 points).

To the greatest extent feasible, your

project should promote job training,

employment, and other economic

opportunities for low-income and

minority residents and businesses

which are owned by, and/or employ,

low-income and minority residents as

defined in 24 CFR 135.5. You should:

(i) Describe methods that will result

in economic opportunities for residents

and businesses in the community where

activities will be carried out. Include

information on how you will provide

employment, business development,

and contract opportunities;

(ii) Describe how you or your partners

will satisfy the requirements of Section

3 of the Housing and Urban

Development Act of 1968 to give

preference to hiring low-and very lowincome persons or contracting with

businesses owned by or employing lowand very-low income persons;

(iii) Describe how your proposed

project will further and support the

policy priorities of the Department,

including providing opportunities for

self-sufficiency, particularly for persons

enrolled in welfare-to-work programs; or

providing educational and job training

opportunities; and

(iv) Describe the extent to which your

proposed activities will occur in an

Empowerment Zone or Enterprise

Community (EZ/EC), if applicable.

(2) Approach for Implementing the

Project (20 points). Describe your

overall approach for your proposed

project. The description must include a

discussion of specific planned project

activities which address one or more of

the following categories:

(a) Demonstration activities.

(i) Describe in detail how you will

identify, select, prioritize, and enroll

units of eligible housing in which you

will undertake housing-based hazards

interventions, how you will integrate

safe work practices into housing

maintenance, repair, and improvements,

and then target such units to lowincome families with young children.

You should use all reasonably available

sources of information on controlling

housing-based hazards in buildings and

protecting workers and occupants

during and after the intervention

process.

(ii) Describe any assessment tools you

would employ to establish baseline

data.

(iii) Provide the estimated total

number of owner occupied and/or rental

units in which you will conduct

interventions.

(iv) Describe your process for

evaluating units of eligible housing in

which you will undertake housingbased hazard interventions.

(v) Describe any specialized testing or

visual inspection that you will conduct

during unit inspection with reference to

source(s) of the protocol(s).

(vi) Discuss efforts to incorporate costeffective methods to address multiple

environmental health and safety

hazards, and describe the specific

interventions you will utilize to control

housing-based hazards before children

are affected; and/or to control these

hazards in units where children have

already been treated for illnesses or

injuries associated with housing-based

hazards (e.g., burns, lead poisoning,

asthma).

(vii) Describe the process for your

referral of children for medical case

management if this is not ongoing.

(viii) Describe your process for the

development of work specifications for

the selected interventions.

(ix) Describe your management

processes to be used to ensure the costeffectiveness of the housing

interventions, and provide cost

estimates per intervention and per unit.

11900 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(x) Discuss your contracting process

to obtain contractors to conduct

interventions in selected units.

(xi) Describe your plan for the

temporary relocation of occupants of

units selected for intervention, if

relocation is necessary, and how you

will determine the need for relocation.

Address the use of safe houses and other

housing arrangements, storage of

household goods, stipends, incentives,

etc.

(xii) Describe your plan for ensuring

right of return and/or first referral for

occupants of units selected for

intervention who have had to move for

intervention to occur.

(xiii) Describe how you will

affirmatively further fair housing.

(xiv) Describe the financing strategy,

including eligibility requirements,

terms, conditions, and amounts

available, to be employed in conducting

housing-based hazards activities. You

must discuss the way funds will be

administered (e.g., use of grants,

deferred loans, forgivable loans, other

resources, private sector financing, etc.)

as well as the agency which will

administer the process.

(b) Education Activities. This should

include general and/or targeted efforts

undertaken to assist your efforts in

reducing exposure to housing-based

hazards. You must describe:

(i) Proposed methods of community

education. These should include

community awareness, education,

training, and outreach programs in

support of your work plan and

objectives that are culturally sensitive,

targeted, and linguistically appropriate.

(ii) Proposed involvement of

neighborhood or community-based

organizations in the proposed activities.

These activities may include outreach,

community education, marketing,

inspection, and housing evaluations and

interventions.

(iii) Proposed methods to reach high

risk groups and communities,

vulnerable populations and persons

traditionally underserved (see Rating

Factor 2(d)).

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses your ability to

secure other community resources (such

as financing, supplies or services) which

can be combined with HUD’s resources

to achieve project purposes.

(1) In evaluating this factor, HUD will

consider the extent to which you have

partnered with other entities to secure

additional resources to increase the

effectiveness of your proposed project.

Describe how other organizations will

participate in or support your project.

Resources may include funding or inkind contributions (such as services or

equipment) allocated to your proposed

project. Resources may be provided by

governmental entities, public or private

organizations, or other entities willing

to be your partner in this effort.

(2) Each source of contributions

(financial or in-kind) must be supported

by a letter of commitment from the

contributing entity, whether a public or

private source, which must describe the

contributed resources that will be used

in your project. Staff in-kind

contributions should be given a marketbased monetary value. If you fail to

provide letters of commitment with

specific details including the amount of

the actual contributions, you will not

get rating points for this factor. Each

letter of commitment, memorandum of

understanding, or agreement to

participate shall include the

organization’s name and the proposed

level of commitment and

responsibilities as they relate to the

proposed project. The commitment

must be signed by an official 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 your project reflects a

coordinated, community-based process

of identifying needs and building a

system to address the needs by using

available HUD and other community

resources. In evaluating this factor, HUD

will consider:

(1) The degree of coordination of your

proposed project with those of other

groups or organizations to best support

and coordinate all activities, and the

specific steps you will take to share

information on solutions and outcomes

with others. Any written agreements or

memoranda of understanding in place

must be described.

(2) The extent to which you have

developed linkages, or the specific steps

you will take to develop linkages, to

coordinate your activities so solutions

are holistic and comprehensive.

Linkages include those with other HUD,

Federal, State, the Partnership for

Advancing Technology in

Homebuilding (PATH) (see Section

VI(E) of the General Section of the

SuperNOFA), or locally funded

activities through meetings, information

networks, planning processes, or other

means.

(3) The degree of coordination with

housing rehabilitation, housing and

health inspection, and other related

housing programs.

(a) Describe your plan for integrating

and coordinating housing-based hazard

interventions with other housing-related

activities (e.g., rehabilitation,

weatherization, removal of code

violations, and other similar work).

(b) Describe your plans to consolidate

housing-based hazard interventions

with applicable housing codes and

health regulations.

(c) Describe your plans to generate

and use public subsidies or other

resources (such as revolving loan funds)

to finance future interventions to

prevent and control housing-based

hazards, particularly in low-and verylow-income housing.

(d) Detail the extent to which you will

ensure that the needs of minorities and

persons with disabilities will be

addressed adequately during your

intervention activities; and that housing

in which environmental hazards have

been addressed will remain available

and affordable in the long run for low

income, minority, large families, and for

persons with disabilities.

(4) If applicable, the application

should demonstrate a knowledge of the

target community’s Consolidated Plan

and/or Analysis of Impediments to Fair

Housing Choice and detail the

Consolidated Plan issue areas in which

your organization participates. Describe

the degree to which you have become

actively involved (or if not currently

active, the specific steps you will take

to become active) in your community’s

Consolidated Planning and/or AI

process established to identify and

address a need/problem that is related

in whole or part, directly, or indirectly

the activities you propose.

VI. Application Submission

Requirements

(A) Applicant Information. You

should submit your application in

accordance with the format and

instructions contained in this program

section of this SuperNOFA (the

application kit repeats this information).

The following is a checklist of required

application contents. Your application

must contain the items listed in this

section (VI(A)). These items include the

standard forms, certifications, and

assurances listed in the General Section

of the SuperNOFA that are applicable to

this funding (collectively, referred to as

the ‘‘standard forms’’). The standard

forms can be found in Appendix B to

the General Section of the SuperNOFA.

The remaining application items that

are forms (i.e., excluding such items as

narratives), referred to as the ‘‘nonstandard forms’’ can be found as

Appendix C to this program section of

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11901

the SuperNOFA. The items are as

follows:

(1) Transmittal letter that summarizes

your proposed project, provides the

dollar amount requested, and identifies

you and your partners in the

application.

(2) The name, mailing address,

telephone number, and principal

contact person. If you are a consortium

of associates, sub-recipients, partners,

major subcontractors, joint venture

participants, or others contributing

resources to the project, similar

information shall also be provided for

each of these entities and you must

specify the lead entity.

(3) Checklist and Submission Table of

Contents.

(4) Completed Forms HUD–2880,

Applicant/Recipient Disclosure/Update

Report; Certification Regarding

Lobbying; and SF–LLL, Disclosure of

Lobbying Activities, where applicable.

(5) Standard Forms SF–424, 424M,

424A, 424B, and other certifications and

assurances listed in this program

section.

(6) A narrative statement addressing

the rating factors for award. The

narrative statement must be numbered

in accordance with each factor for

award (Rating Factors 1 through 5). The

response to the rating factors must not

exceed a total of 25 pages. Any pages in

excess of this limit will not be read.

(7) Any attachments, appendices,

references, or other relevant information

that directly support the narrative may

accompany it, but must not exceed

twenty (20) pages for your entire

application. Any pages in excess of this

limit will not be read.

(8) A detailed budget with supporting

cost justification for all budget

categories of your funding request (in

accordance with Rating Factor 3(1)(b)).

This information will not be counted

towards the page limits.

(9) The resumes and position

descriptions of your project director and

project manager and up to three

additional key personnel, not to exceed

three pages each (in accordance with

Rating Factor 1). This information will

not be counted towards the page limits.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

Activities assisted under this program

are subject to HUD environmental

review to the extent required under 24

CFR part 50. An award under the

Healthy Homes Initiative does not

constitute approval of specific sites

where activities may be carried out.

Following award execution, HUD will

perform environmental reviews for

activities to be carried out on properties

proposed by your organization. You

may not rehabilitate, convert, repair or

construct a property, or commit or

expend program funds or non-HUD

funds for these program activities for

any eligible property, until you receive

written notification from the

appropriate HUD official that HUD has

completed its environmental review and

the property has been approved. The

results of environmental reviews may

require that proposed activities be

modified or proposed sites rejected.

IX. Authority

The authority for this program is

Sections 501 and 502 of the Housing

and Urban Development Act of 1970

and the Departments of Veterans Affairs

and Housing and Urban Development,

and Independent Agencies

Appropriations Act, 2001, Pub.L. 106–

377, approved October 27, 2000.

Appendix A

The following briefly describes the

housing-associated health and injury hazards

HUD considers key targets for intervention:

Allergens and asthma: Experts estimate

that 14 million Americans have asthma, with

an associated annual cost of $14 billion.

Asthma is now recognized as the leading

cause of school and work absence, emergency

room visits and hospitalization. For

sensitized children, exposure to antigens

from dust mites, certain pets, and

cockroaches has been associated with more

severe asthma. There is a preponderance of

evidence showing a dose-response

relationship between exposure and

prevalence of asthma and allergies; some

evidence also indicates that exposure to

antigens early in life may predispose or

hasten the onset of allergies and asthma. Dust

mites have been identified as the largest

trigger for asthma and allergies. Cockroach

allergens appear to be excessive in 30–50%

of inner-city housing and affect 5–15% of the

population, whereas dust mite appears to be

the dominant allergen in other environments.

Interventions known to have beneficial

effects include installation of impervious

mattress and pillow covers, which can

reduce allergen exposure by 90%. Other dust

mite control measures include

dehumidification, laundering bedding, and

removal of carpets and other dust sinks.

Cleaning carpets with tannic acid solution

has also been demonstrated to greatly reduce

dust mites. Asthma prevention program costs

have been estimated at about $500 per unit,

which includes about $150 for educational

interventions.

Asbestos: Asbestos is a mineral fiber that

has been used commonly in a variety of

building construction materials and

household products for insulation and as a

fire-retardant. The Environmental Protection

Agency (EPA) and the Consumer Product

Safety Commission (CPSC) have banned most

asbestos products. Manufacturers have also

voluntarily limited uses of asbestos. Today,

asbestos is most commonly found in older

homes: in pipe and furnace insulation

materials, asbestos shingles, millboard,

textured paints and other coating materials,

and floor tiles. Elevated concentrations of

airborne asbestos can occur when asbestoscontaining materials (ACM) are disturbed by

cutting, sanding or other remodeling

activities. Improper attempts to remove these

materials can release asbestos fibers into the

air in homes, increasing asbestos levels and

endangering people living in those homes.

The most dangerous asbestos fibers are too

small to be visible. After they are inhaled,

they can remain and accumulate in the lungs.

Asbestos can cause lung cancer,

mesothelioma (a cancer of the chest and

abdominal linings), and asbestosis

(irreversible lung scarring that can be fatal).

Most people with asbestos-related diseases

were exposed to elevated concentrations on

the job; some developed disease from

exposure to clothing and equipment brought

home from job sites. As with radon, doseresponse extrapolations suggest that lower

level exposures, as may occur when asbestoscontaining building materials deteriorate or

are disturbed, may also cause cancer.

Intact asbestos-containing materials are not

a hazard; they should be monitored for

damage or deterioration and isolated if

possible. Repair of damaged or deteriorating

ACM usually involves either sealing

(encapsulation) or covering (enclosure) it.

Repair is usually cheaper than removal, but

it may make later removal of asbestos more

difficult and costly. Repairs should be done

only by a professional trained and certified

to handle asbestos safely and can cost from

a few hundred to a few thousand dollars;

removal can be more expensive.

Combustion products of heating and

cooking appliances: Burning of oil, natural

gas, kerosene, and wood for heating or

cooking purposes can release a variety of

combustion products of health concern.

Depending upon the fuel, these may include

carbon monoxide (a chemical asphyxiant),

oxides of nitrogen (respiratory irritants),

polycyclic aromatic hydrocarbons (e.g., the

carcinogen benzo[a]pyrene), and airborne

particulate matter (respiratory irritants).

Carbon monoxide, an odorless gas, can be

fatal. Nitrogen dioxide can damage the

respiratory tract, and sulfur dioxide can

irritate the eyes, nose and respiratory tract.

Smoke and other particulates irritate the

eyes, nose and throat, and can cause lung

cancer.

Improper venting and poor maintenance of

heating systems and cooking appliances can

dramatically increase exposure to

combustion products. Experts recommend

having combustion heating systems

inspected by a trained professional every

year to identify blocked openings to flues and

chimneys; cracked or disconnected flue pipe;

dirty filters; rust or cracks in the heat

exchanger; soot or creosote build-up; and

exhaust or gas odors. Installing a carbon

monoxide detector is also recommended;

however, such a detector will not detect

other combustion by-products.

11902 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Insect and rodent pests: The observed

association between exposure to cockroach

antigen and asthma severity has already been

noted above. In addition, cockroaches may

act as vehicles to contaminate and

environmental surfaces with certain

pathogenic organisms. Rodents can transmit

a number of communicable diseases to

humans, either through bites, arthropod

vectors, or exposure to aerosolized excreta. In

addition, humans can become sensitized to

proteins in rodent, urine, dander and saliva.

Such sensitization may contribute to asthma

severity among children. Insect and rodent

infestation is frequently associated with

substandard housing that makes it difficult to

eliminate. Treatment of rodent and insect

infestations often includes the use of toxic

pesticides which may present hazards to

occupants (see below). Integrated pest

management (IPM) for rodents and

cockroaches, which reduces the use of

pesticides, is estimated to cost approximately

$150 per unit. IPM control measures include

sealing holes and cracks, removing food

sources and use of traps.

Lead: Exposure to lead, especially from

deteriorating lead-based paint, remains one

of the most important and best-studied of the

household environmental hazards to

children. Although blood lead levels have

fallen nationally, a large reservoir of lead

remains in housing. The most recent national

survey, conducted from 1991–94, showed

that nearly one million U.S. preschoolers still

have elevated blood lead levels. Overall, the

prevalence rate among all children under six

years of age is 4.4%. Among low-income

children living in older housing where leadbased paint is most prevalent, the rate climbs

to 16%; and for African-American children

living in such housing, it reaches 21%.

HUD estimates that 64 million dwellings

have some lead-based paint, and that 20

million have lead-based paint hazards. Of

those, about 3.6 million have young children

and of those, about 500,000 units have

inadequate cash flow to respond to leadbased paint hazards. Costs can range

anywhere from $500 to $15,000 per unit.

Corrective measures include paint

stabilization, enclosure and removal of

certain building components coated with

lead paint, and cleanup and ‘‘clearance

testing,’’ which ensures the unit is safe for

young children.

Mold and moisture: An analysis of several

pulmonary disease studies estimates that

25% of airways disease, and 60% of

interstitial lung disease may be associated

with moisture in the home or work

environment. Moisture is a precursor to the

growth of mold and other biological agents,

which is also associated with respiratory

symptoms. An investigation of a cluster of

pulmonary hemosiderosis (PH) cases in

infants showed PH was associated with a

history of recent water damage to homes and

with levels of the mold Stachybotrys atra

(SA) in air and in cultured surface samples.

Associations between exposure to SA and

‘‘sick building’’ symptoms in adults have also

been observed. Other related toxigenic fungi

have been found in association with SAassociated illness and could play a role. For

sensitive individuals, exposure to a wide

variety of common molds may also aggravate

asthma. Addressing mold problems in

housing requires coordination among the

medical, public health, microbiological,

housing, and building science communities.

The cost of mold/moisture-related

intervention work (e.g., integrated pest

management, clean and tune furnace, remove

debris, vent clothes dryer, cover dirt floor

with impermeable vapor barrier) is a few

hundred dollars, unless major modification

of the ventilation system is needed. For

example, in Cleveland, mold interventions,

including repairs to ventilation systems and

basement flooring, in the most heavilycontaminated homes range from $500—

$5,000, with some costs also being dedicated

to lead hazard control simultaneously

through its Lead+Asthma program.

Pesticide residues: According to the EPA,

75 percent of U.S. households used at least

one pesticide product indoors during the past

year. Products used most often are

insecticides and disinfectants. Another study

suggests 80 percent of most people’s

exposure to pesticides occurs indoors and

that measurable levels of up to a dozen

pesticides have been found in the air inside

homes. The amount of pesticides found in

homes appears to be greater than can be

explained by recent pesticide use in those

households; other possible sources include

contaminated soil or dust that migrates in

from outside, stored pesticide containers, and

household surfaces that collect and then

release the pesticides. Pesticides used in and

around the home include products to control

insects (insecticides), termites (termiticides),

rodents (rodenticides), molds and fungi(

fungicides), and microbes (disinfectants). In

1990, the American Association of Poison

Control Centers reported that some 79,000

children were involved in common

household pesticide poisonings or exposures.

In households with children under five years

old, almost one-half stored at least one

pesticide product within reach of children.

Exposure to chlorpyriphos (CP), a commonly

used organophosphate insecticide, in the

prenatal and early postnatal period may

impair neurodevelopment. While CP is a

biodegradable pesticide, substantial

persistence of CP in house dust has been

demonstrated. Exposure to high levels of

cyclodiene pesticides, commonly associated

with misapplication, has produced various

symptoms, including headaches, dizziness,

muscle twitching, weakness, tingling

sensations, and nausea. In addition, EPA is

concerned that cyclodienes might cause longterm damage to the liver and the central

nervous system, as well as an increased risk

of cancer.

There are available data on hazard

evaluation methods and remediation

effectiveness regarding pesticide residues in

the home environment.

Radon progeny: The National Academy of

Sciences estimates that approximately 15,000

cases of lung cancer per year are related to

radon exposure. Epidemiologic studies of

miners exposed to high levels of radon in

inhaled air have defined the dose response

relation for radon-induced lung cancer at

high exposure levels. Extrapolation of these

data has been used to estimate the excess risk

of lung cancer attributable to exposure to

radon gas at the lower levels found in homes.

These estimates indicate that radon gas is an

important cause of lung cancer deaths in the

U.S. Excessive exposures are typically related

to home ventilation, structural integrity and

location.

Radon measurement and remediation

methods are well-developed, and the

Environmental Protection Agency (EPA)

recommends that every home be measured

for radon. EPA estimates that materials and

labor costs for radon reduction in an existing

home are $800-$2500. Including radon

resistant techniques in new home

construction costs $350-$500, and can save

up to $65 annually in energy costs, according

to the EPA.

Take-home hazards from work/hobbies

and work at home: When the clothing, hair,

skin, or shoes of workers become

contaminated with hazardous materials in

the workplace, such contaminants may

inadvertently be carried to the home

environment and/or an automobile. Such

‘‘take-home’’ exposures have been

demonstrated, for example, in homes of leadexposed workers. In addition, certain hobbies

or workplaces located in the home may

provide an especially great risk of household

contamination.

Control methods include storing and

laundering work clothes separately, and

showering and changing before leaving work,

or immediately after arriving home. Once a

home becomes contaminated, cleaning floors

and contact surfaces and replacing

furnishings may be necessary to reduce

exposures.

Unintentional injuries/fire: Unintentional

injury is now the leading cause of death and

disability among children younger than 15

years of age. In 1997, nearly 7 million

persons in the United States were disabled

for at least 1 full day by unintentional

injuries received at home. During the same

year, 28,400 deaths were attributable to

unintentional home injuries, of which 1800

occurred among children 0–4 years of age.

Among young children, three types of events

accounted for more than 3/4 of deaths: fires/

burns, drownings, and mechanical

suffocation. Falls and poisoning are the next

most common.

Home visitation protocols have been

shown to be effective in reducing exposure

to such hazards. The ‘‘add-on’’ cost of injury

prevention measures, when combined with

other housing interventions are estimated at

about $100 per unit. This includes the cost

of some injury prevention devices, such as

smoke alarms, electrical socket covers, etc.

Appendix B

References: To secure any of the

documents listed, call the listed telephone

number (generally, the telephone numbers

are not toll-free).

Regulations: 1. Worker Protection: OSHA

publication—Telephone: 202–693–1888

(OSHA Regulations) (available for a charge)—

Government Printing Office—Telephone:

202–512–1800 (not a toll-free number):

—General Industry Lead Standard, 29 CFR

1910.1025 (Document Number

869022001124). Can be downloaded from

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11903

the Internet without charge from

www.osha-slc.gov/OshStd_data/

1910_1025.html.

—Lead Exposure in Construction, 29 CFR

1926.62, and appendices A, B, C, and D

(Document Number 869022001141). Can be

downloaded from the Internet without

charge from www.osha-slc.gov/

OshStd_data/1926_0062.html.

2. Waste Disposal: 40 CFR parts 260–268

(EPA regulations) (available for a charge)—

Telephone 1–800–424–9346, or, from the

Washington, DC, metropolitan area, 1–703–

412–9810 (not a toll-free number). Can be

downloaded from the Internet without charge

from www.epa.gov/docs/epacfr40/chaptI.info/subch-I/.

3. Lead; Requirements for Lead-Based Paint

Activities in Target Housing and ChildOccupied Facilities; Final Rule: 40 CFR Part

745, (EPA) (Lead Hazard Standards, Work

Practice Standards, EDP and State

Certification and Accreditation programs for

those engaged in lead-based paint

activities)—Telephone: 1–202–554–1404

(Toxic Substances Control Act Hotline) (not

a toll-free number). Can be downloaded from

the Internet without charge from

www.epa.gov/opptintr/lead/index.html.

Guidelines: 1. Guidelines for the

Evaluation and Control of Lead-Based Paint

Hazards in Housing; HUD, June 1995, and

amended September, 1997. (available for a

charge)—Telephone: 800–245–2691. Can be

downloaded from the Internet without charge

from www.hud.gov/lea/leadwnlo.html.

2. Preventing Lead Poisoning in Young

Children; Centers for Disease Control,

October 1991: Telephone: 888–232–6789.

3. Screening Young Children for Lead

Poisoning: Guidance for State and Local

Public Health Officials, November 1997;

Centers for Disease Control and Prevention

(CDC): Telephone: 888–232–6789. Can be

downloaded from the Internet without charge

from www.hud.gov/lea/leadwnlo.html.

Reports: 1. Putting the Pieces Together:

Controlling Lead Hazards in the Nation’s

Housing, (Summary and Full Report); HUD,

July 1995 (available for a charge)—Telephone

800–245–2691. Can be downloaded from the

Internet without charge from www.hud.gov/

lea/leadwnlo.html

2. The Healthy Homes Initiative: A

Preliminary Plan (Summary and Full Report);

HUD, July 1995. Can be downloaded from the

Internet without charge from www.hud.gov/

lea/leadwnlo.html

3. Institute of Medicine. Indoor Allergens.

Assessing and Controlling Adverse Health

Effects. National Academy Press.

Washington, D.C. 1993.

4. Mott L., Our Children at Risk. Natural

Resources Defense Council. Washington, D.C.

1997. Can be ordered from the Internet from

www.nrdc.org

5. Rom W.N., Ed. Environmental and

Occupational Medicine. Little, Brown and

Co., Boston. 1992.

6. President’s Task Force on Environmental

Health Risks and Safety Risks to Children.

Asthma and The Environment: An Action

Plan to Protect Children. Washington, D.C.

1999. Eliminating Childhood Lead Poisoning:

A Federal Strategy Targeting Lead Paint

Hazards. Washington, D.C., 2000. Can be

downloaded from the Internet without charge

from www.epa.gov/children.

Appendix C

The non-standard forms, which follow, are

required for your Healthy Homes

Demonstration and Education application.

They are the Checklist and Submission Table

of Contents and the Total Budget (Federal

Share and Matching Contribution, including

instructions).

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR THE

HOPE VI PROGRAM

Program Overview

Purpose of the Program. HOPE VI

Revitalization Grants. In accordance

with section 24(a) of the U.S. Housing

Act of 1937 (1937 Act), the purpose of

HOPE VI Revitalization grants is to

assist public housing agencies (PHAs)

to:

(1) Improve the living environment

for public housing residents of severely

distressed public housing projects

through the demolition, rehabilitation,

reconfiguration, or replacement of

obsolete public housing projects (or

portions thereof);

(2) Revitalize sites (including

remaining public housing dwelling

units) on which such public housing

projects are located and contribute to

the improvement of the surrounding

neighborhood;

(3) Provide housing that will avoid or

decrease the concentration of very lowincome families; and

(4) Build sustainable communities.

HOPE VI Demolition Grants.

Demolition grants enable PHAs to

expedite the demolition of severely

distressed public housing units. Any

subsequent new construction or

revitalization of any remaining units

must be funded from other resources,

which may include a HOPE VI

Revitalization Grant.

Available Funds. Approximately $565

million, as allocated in accordance with

Section II of this HOPE VI section of the

SuperNOFA, below.

Eligible Applicants. PHAs that meet

the requirements at Section III(B) of this

HOPE VI section of the SuperNOFA,

below.

Application Deadlines. Revitalization

grant applications are due on June 22,

2001. Demolition grant applications are

due on July 10, 2001.

Additional Information

If you are interested in applying for a

HOPE VI grant, please review the

following information, the General

Section of this SuperNOFA, and the

HOPE VI Application Kit.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

(A) Application Due Dates. (1)

Revitalization grant applications are due

at HUD Headquarters on or before 12:00

midnight, Eastern time on June 22,

2001.

(2) Demolition grant applications are

due at HUD Headquarters on or before

12:00 midnight, Eastern time on July 10,

2001. See Section VII(B)(3) of this HOPE

VI section of the SuperNOFA, below, for

important information regarding the

application deadline and deficiency

cure period for Demolition grant

applications.

(3) 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).

(B) Submission of Applications.

(1) Revitalization Grants. (a) Send an

original and one copy of your completed

application to HUD Headquarters, 451

Seventh Street, SW, Room 4130,

Washington, DC 20410, Attention: Mr.

Milan Ozdinec, Acting Deputy Assistant

Secretary for Public Housing

Investments.

(b) Send one copy of your completed

application to your local HUD Field

Office.

(2) Demolition Grants. (a) Send one

copy of your completed application to

HUD Headquarters, 451 Seventh Street,

SW, Room 4130, Washington, DC 20410,

Attention: Mr. Milan Ozdinec, Acting

Deputy Assistant Secretary for Public

Housing Investments.

(b) Send one copy of your completed

application to your local HUD Field

Office.

(3) Field Offices: Appendix A–1.

A list of HUD Field Offices and their

hours of operation is included as

Appendix A of the General Section of

this SuperNOFA. If you wish to hand

carry your application(s) to your local

HUD Field Office, you may do so during

normal business hours before the

application deadline dates. On each

application deadline date, HUD Field

Office business hours will be extended

to 6:00 pm. HUD will determine

whether your application is timely filed

based on the date and time of receipt at

HUD Headquarters, not the date and

time of receipt at your local Field Office.

(C) Application Kits. HUD will mail

an Application Kit to every eligible

PHA. To obtain an Application Kit and

any supplemental materials, 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. When requesting an Application

Kit, please refer to HOPE VI and provide

your name, address (including zip

code), and telephone number (including

area code). The Application Kit also will

be available on the HUD Grant

Information Website (www.hud.gov/

grants) and the HOPE VI Home Page

(www.hud.gov/hopevi).

(D) Further Information and

Technical Assistance. You may call, fax,

or write Mr. Milan Ozdinec, Acting

Deputy Assistant Secretary for Public

Housing Investments, Department of

Housing and Urban Development, 451

Seventh Street, SW, Room 4130,

Washington, DC 20410; telephone (202)

708–0614x4166; fax (202) 401–2370

(these are not toll free numbers).

Persons with hearing or speech

impairments may call via TTY by

calling the Federal Information Relay

Service at 1–800–877–8339.

(E) Satellite Broadcast. HUD will hold

an information broadcast via satellite for

potential applicants HOPE VI staff will

review the NOFA and answer questions

from members of the audience. For more

information about the date and time of

the broadcast, consult the HUD Grant

Information Website (www.hud.gov/

grants).

II. Amount Allocated

Type of Assistance Allocation of funds

(approximate)

Funds Available

for Award in this

HOPE VI section

of the SuperNOFA

(Approximate)

A. Revitalization Grants for projects with 300+ units; preference for Section 202 projects scoring 80+

points ........................................................................................................................................................ $225,000,000 $225,000,000

B. Revitalization Grants for all Housing Authorities .................................................................................... 265,000,000 265,000,000

Demolition Grants ........................................................................................................................................ 75,000,000 75,000,000

Technical Assistance ................................................................................................................................... 10,000,000 ..............................

Total ...................................................................................................................................................... 575,000,000 565,000,000

11916 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(A) Revitalization Grants. (1)

Allocation of Funds.

(a) Total Allocation. Approximately

$490 million of the FY 2001 HOPE VI

appropriation has been allocated to fund

HOPE VI Revitalization grants and will

be awarded in accordance with this

HOPE VI section of the SuperNOFA.

(b) Group A Applications.

(i) Section 202 Priority.

Approximately $225 million of the FY

2001 HOPE VI appropriation has been

allocated to fund Revitalization

applications that propose to revitalize

severely distressed public housing

projects that:

(A) have 300 or more units. If your

application proposes to revitalize more

than one development or a scattered site

development, as described in section

II(A)(5)(b) and (c) of this HOPE VI

section of the SuperNOFA, all of the

units will be counted toward the 300

unit minimum; and

(B) receive a score of 80 points or

more; and

(C) propose to provide replacement

housing (including on-site replacement

housing) for public housing

developments that:

(i) have been identified by HUD, in

HUD’s sole determination, to be subject

to conversion or assessment under

Section 202 of the Omnibus

Consolidated Rescissions and

Appropriations Act of 1996 (‘‘Section

202’’); and

(ii) as of January 1, 2000, have not

subsequently been determined by HUD

to have satisfied the requirements of

Section 202; and

(iii) as of January 1, 2000, have not

approved Section 202 Mandatory

Conversion plan (i.e., a plan for removal

of units from the public housing

inventory in accordance with the

requirements at 24 CFR 971.7(d)),

approved demolition or disposition

application under section 18 of the U.S.

Housing Act, or approved HOPE VI

Revitalization Grant (‘‘Section 202

Developments’’).

(ii) Section 202 Priority Guidelines.

(A) If you intend to submit an

application for a Section 202

Development, discuss your proposal

with your Field Office to ensure that it

qualifies under the standards set forth

above.

(B) If more than one development is

targeted in your application (in

accordance with section II(A)(5)(b) and

(c) of this HOPE VI section of the

SuperNOFA), and one or more qualify

under Section 202, all developments

targeted in the application will be

considered to qualify under Section 202.

(iii) Other Priority A Applications.

(A) If funds remain of the $225

million allocated for Group A

application after all applications

described in (b)(i) above are funded,

applications that target developments

with 300 or more units will be funded,

in score order, to the approximately

$225 million allocation.

(B) If funds remain of the $225 million

allocated for all eligible Group A

applications described in (b)(i) and

(b)(iii) above are funded, those

remaining funds will be combined with

the $265 allocation for Group B

applications.

(c) Group B Applications.

Approximately $265 million has been

allocated to fund all other Revitalization

applications without regard to the size

of the project to be revitalized,

including any eligible Group A

applications that were not funded.

(2) Application Submission.

(a) If you submit an application that

targets a Section 202 Development, you

may also submit a second application,

regardless of whether it targets a 202

Development or the number of units in

the development.

(b) If you do not submit an

application that targets a Section 202

Development, you may submit only one

application.

(3) Total Grant Amount. The total

amount you may request per

Revitalization Application is limited to

$35 million or the sum of the amounts

in paragraph (4) below, of this Section

II(A)(3), whichever is lower.

(4) Revitalization Grant Limitations.

(a) Total Development Cost (TDC).

TDCs are limited by the HUD-published

TDC Cost Tables, which are issued for

each fiscal year (FY) for the building

type and bedroom distribution for the

public housing replacement units. Use

the TDCs in effect at the time the

SuperNOFA is published when making

your TDC calculations. The total cost of

development, including relocation

costs, is limited to the sum of:

(i) HUD’s TDCs up to 100 percent of

HUD’s published TDC limits for the

costs of demolition and new

construction, multiplied by the number

of HOPE VI replacement units; and/or

(ii) 90 percent of the TDC limits,

multiplied by the number of public

housing units after substantial

rehabilitation and reconfiguration.

(b) Community and Supportive

Services (CSS). You may request an

amount up to 15 percent of the total

HOPE VI grant to pay the costs of CSS

activities, as described in Section

IV(C)(3) of this HOPE VI section of the

SuperNOFA. These costs are in addition

to the TDC calculation in subparagraph

(a) above.

(c) Demolition and Site Remediation

Costs of Unreplaced On-site Units. You

may request an amount necessary for

demolition and site remediation costs of

units that will not be replaced on-site.

This cost is in addition to the TDC

calculation in subparagraph (a) above.

(d) Extraordinary Site Costs. (i) You

may request a reasonable amount to pay

extraordinary site costs necessary to

complete the proposed revitalization.

These costs are in addition to the TDC

calculation in paragraph (a) above.

Extraordinary site costs may be incurred

in the remediation and demolition of

existing property, as well as in the

development of new and rehabilitated

units. Examples of such costs include,

but are not limited to: abatement of

extraordinary environmental site

hazards; removal or replacement of

extensive underground utility systems;

extensive rock and/or soil removal and

replacement; removal of hazardous

underground tanks; work to address

unusual site conditions such as slopes,

terraces, water catchments, lakes, etc.;

and work to address flood plain and

other environmental remediation issues.

Costs to abate asbestos and lead-based

paint should be included in normal

demolition costs where such items are

found within the structures themselves.

An example of extraordinary lead-based

paint would be where the lead has

leached into the soil and extraordinary

measures are needed to remove the lead.

(ii) Extraordinary site costs must be

justified and verified by an engineer or

architect licensed by his or her state

licensing board who is not an employee

of the housing authority or the city. The

engineer or architect must provide his

or her license number and state of

registration. An Extraordinary Site Costs

Certification is included in the HOPE VI

Application Kit.

(e) You may not use HOPE VI

Revitalization Grant funds to pay for

any revitalization activities carried out

before the date of the letter announcing

the award of the HOPE VI Grant.

(f) You may use any non-public

housing funds to supplement public

housing funds for any project cost.

(g) Your application must disclose all

prior HUD public housing grant

assistance received for the project(s) you

have targeted for the physical

revitalization related to the proposed

revitalization activities. Do not include

Modernization or Capital Funds used

for prior rehabilitation activities

unrelated to the proposed HOPE VI

revitalization activities.

(5) Revitalization Site and Unit

Application Guidelines.

(a) Except as provided in

subparagraphs (b) and (c) below, each

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11917

application must target one severely

distressed public housing project (i.e., a

project with one development number).

(b) Each application may request

funds for more than one project if those

projects are immediately adjacent to one

another or within a quarter-mile of each

other. If you include more than one

project in a single application, you must

provide a map that clearly indicates that

the projects are within a quarter-mile of

each other.

(c) Your application may request

funds to revitalize a scattered site public

housing project. The sites targeted in an

application proposing to revitalize

scattered sites (regardless of whether the

scattered sites are under multiple

project numbers) must fall within a one

square mile area, except that you may

identify a larger site if you can show

that all of the targeted scattered site

units are located within the hard edges

(e.g., major highways, railroad tracks,

lakeshore, etc.) of a neighborhood.

(d) You may request funds for as few

or as many units as you wish in your

application. HUD will review requests

for small numbers of units on an equal

basis with requests for large numbers of

units.

(e) You may submit a Revitalization

application that targets a project that is

being revitalized or replaced under a

previously-funded HOPE VI

Revitalization grant or another source of

HUD funds. However, you may not

apply for new HOPE VI Revitalization

funds for units in that project that were

funded by the previous HOPE VI

Revitalization grant or other HUD funds,

even if the previously-awarded HUD

funds turned out to be inadequate to pay

the costs to revitalize or replace all of

the targeted units. For example, if a

project has 700 units and you were

awarded HOPE VI Revitalization grant

funds or other HUD public housing

funds to address 300 of those units, you

may submit an FY 2001 HOPE VI

Revitalization application to revitalize

the remaining 400 units. You may not

apply for supplemental funds to

supplement work on the original 300

units.

(B) Demolition Grants. (1) Allocation

of Funds. Approximately $75 million of

the FY 2001 HOPE VI appropriation has

been allocated to fund HOPE VI

Demolition grants and will be awarded

in accordance with this HOPE VI

section of the SuperNOFA.

(2) Demolition Grant Limitations.

(a) Demolition. You may request up to

$5,000 per unit for demolition and other

eligible related costs.

(b) Relocation. (i) You may request up

to $3,000 in relocation costs for each

unit that is occupied as of the date you

submit your HOPE VI Demolition grant

application.

(ii) At least half of the funds requested

for relocation must be used to provide

mobility counselling and other services

to promote the self-sufficiency of

displaced residents, and must be

matched by non-HOPE VI funds in

accordance with Section IV(E)(2)(d)(ii)

of this HOPE VI section of the

SuperNOFA, below.

(c) Extraordinary Site Costs. (i) You

may request a reasonable amount to pay

extraordinary site costs necessary to

complete the proposed demolition. If

requested, extraordinary site costs must

be included as part of an application for

funding of demolition of public housing

units; you may not apply for them by

themselves. For Priority Group 4

applications, as described in Section

VII(A)(1)(d) below, these costs are in

addition to the TDC calculation in

Section II(A)(3)(a) of this HOPE VI

section of the SuperNOFA, above.

Examples of such costs include, but are

not limited to: abatement of

extraordinary environmental site

hazards; removal of extensive

underground utility systems; extensive

rock and/or soil removal and

replacement; removal of hazardous

underground tanks; work to address

unusual site conditions such as slopes,

terraces, water catchments, lakes, etc.;

and work to address flood plain and

other environmental remediation issues.

Costs to abate asbestos and lead-based

paint should be included in normal

demolition costs where such items are

found within the structures themselves.

An example of extraordinary lead-based

paint would be where the lead has

leached into the soil and extraordinary

measures are needed to remove the lead.

(ii) Extraordinary site costs must be

justified and verified by an engineer or

architect licensed by his or her state

licensing board who is not an employee

of the housing authority or the city. The

engineer or architect must provide his

or her license number and state of

registration. An Extraordinary Site Costs

Certification is included in the HOPE VI

Application Kit.

(d) Nondwelling Facilities.

(i) You may request reasonable

amounts to pay for the demolition of

significant nondwelling facilities related

to the demolition of dwelling units.

These costs must be included as part of

an application for funding of demolition

of public housing units; you may not

apply for them by themselves. Examples

of such costs include, but are not

limited to, the demolition of heating

plants, community buildings, or streets.

(ii) Such costs must be justified and

verified by an engineer or architect, as

described in subparagraph (c)(ii) above.

A Nondwelling Facilities Cost

Certification is included in the

Demolition Grant Application section of

the HOPE VI Application Kit.

(e) HUD recognizes that the HOPE VI

grant may not cover the total costs of

relocation, abatement, and demolition

in all cases and that you may have to

provide additional funding from other

sources.

(f) You may not use HOPE VI

Demolition Grant funds to pay for any

demolition or related activities carried

out before the date of the letter

announcing the award of the HOPE VI

Grant.

(3) Demolition Site and Unit

Application Guidelines.

(a) You may submit up to 10 HOPE VI

Demolition grant applications that target

a total of no more than 4,500 severely

distressed public housing units.

(b) You may target units in only one

public housing project per application.

(c) You may submit more than one

application targeting units in a single

housing project.

(d) You may target as many or as few

units per application as you wish.

(C) Section 8. (1) If you anticipate that

you will need Section 8 assistance in

order to carry out necessary relocation

in conjunction with proposed

revitalization or demolition during FY

2002, you must state the number of

certificates you will need, both in total

and in FY 2002, and include a

completed Section 8 Application (HUD–

52515) for the units you will need in FY

2002 with your HOPE VI application.

The Section 8 Application Form can be

found in the HOPE VI Application Kit

and from HUDCLIPS

(www.hudclips.org). If you are selected

for HOPE VI funding, the HUD Field

Office will detach the Section 8

application and process it in accordance

with Section 8 Guidelines. If you are

successful in receiving a HOPE VI

Revitalization grant, you should confirm

with your Field Office that your Section

8 application is processed.

(2) If you will need Section 8

assistance in fiscal years beyond FY

2002 for revitalization or demolition

that is being carried out in phases, or if

you have unused Section 8 vouchers

that are available to be used for HOPE

VI-related relocation in FY 2002 but will

need more for subsequent years, you

must request additional vouchers only

as needed during the appropriate fiscal

years.

(3) Section 8 assistance cannot be

awarded or used to relocate residents

from units that are to be demolished

until those units have been approved by

HUD for demolition.

11918 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(4) If you have already applied for FY

2002 Section 8 assistance for the

targeted units, include a copy of your

Section 8 application with your HOPE

VI application.

(5) If you have previously received

Section 8 assistance to relocate residents

from the targeted severely distressed

units, you may still apply for a HOPE

VI Revitalization Grant to physically

replace those same units, or a HOPE VI

Demolition Grant to demolish the units

without replacement.

(6) You may request Section 8

assistance to provide temporary

relocation to families who intend to

move back to the site upon completion

of the demolition and revitalization of

the severely distressed project.

(7) You may request Section 8

assistance for all units covered under a

HOPE VI Revitalization or Demolition

application to relocate residents from

units that will not be replaced with hard

units.

(8) Under standard HUD policy,

Section 8 vouchers are available as

replacement units for all units

(occupied or vacant) that will be

demolished, sold, or otherwise disposed

of, minus the number of public housing

units replaced with Federal funds. To

the extent that the resulting number

exceeds the number of units requested

for relocation as a result of activities

funded by a HOPE VI Revitalization or

Demolition grant under this NOFA, you

should apply for Section 8 vouchers in

accordance with the funding notices

issued by HUD. For more information,

see Notice PIH 2000–27, which is

available through HUDCLIPS

(www.hudclips.org).

(D) Technical Assistance. The FY

2001 appropriation for HOPE VI

allocated $10 million to provide

Technical Assistance in the planning,

development, and implementation of

the HOPE VI Program. Those funds will

be administered by the Office of Public

Housing Investments.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. The HOPE

VI Program, through its Revitalization

funding component, assists PHAs in

improving the living environment for

public housing residents of severely

distressed public housing projects

through the demolition, rehabilitation,

reconfiguration, or replacement of

obsolete public housing projects (or

portions thereof), in revitalizing sites in

which public housing sites are located,

and providing housing that avoids or

decreases the concentration of very lowincome families. The demolition

funding component of the HOPE VI

Program enables PHAs to expedite the

demolition of severely distressed public

housing units.

(B) Eligible Applicants. (1) Troubled

Status. In accordance with section 24(j)

of the 1937 Act, the term ‘‘applicant’’

means:

(a) Any PHA that is not designated as

‘‘troubled’’ pursuant to section 6(j)(2) of

the 1937 Act;

(b) Any PHA for which a private

housing management agent has been

selected, or a receiver has been

appointed, pursuant to section 6(j)(3) of

the 1937 Act; and

(c) Any PHA that is designated as

‘‘troubled’’ pursuant to section 6(j)(2) of

the 1937 Act and that:

(i) Is designated as troubled

principally for reasons that will not

affect its capacity to carry out a

revitalization program;

(ii) Is making substantial progress

toward eliminating the deficiencies of

the agency that resulted in its troubled

status; or

(iii) Is otherwise determined by HUD

to be capable of carrying out a

revitalization program.

(2) MTCS Reporting. (a) To be eligible

to submit an application under this

HOPE VI Section of the SuperNOFA,

you must:

(i) have a minimum reporting rate of

not less than 85 percent for public

housing resident records to HUD’s

MTCS (see 24 CFR part 908 and Notices

PIH 98–30, 99–2, and 2000–13) for the

period ending December 1999, and

(ii) submit a certification with your

application certifying that you have met

this requirement.

(b) If you received less than an 85

percent rate of reporting under MTCS

for the period ending December 1999,

you will still be considered to have

passed this threshold requirement if:

(i) you subsequently achieved a

minimum rate of not less than 85

percent for public housing resident

records under the MTCS as of the

December 2000 reporting period, or

(ii) you were granted forbearance by

HUD under the applicable procedures

under PIH Notice 2000–13 for the semiannual assessment period ending

December 2000, and

(iii) you submit a certification with

your application indicating that you

have either:

(A) achieved the minimum reporting

rate as of the December 2000 reporting

period, or

(B) obtained a forbearance from HUD

for the semi-annual assessment period

ending December 2000.

(C) Eligible Activities. The following

are the activities that are eligible to be

carried out using HOPE VI

Revitalization and Demolition Grant

funds. Other activities may also be

eligible at future dates as Congress may

authorize. Keep in mind that, until HUD

has approved a Request for Release of

Funds following a responsible entity’s

environmental review under 24 CFR

part 58, or until HUD has completed an

environmental review and given

approval for the action under 24 CFR

part 50, you may not undertake any

actions that are choice-limiting or could

have environmentally adverse effects,

including demolishing, acquiring,

rehabilitating, converting, leasing,

repairing, or constructing property, and

you may not commit or spend HUD or

local funds for these activities.

(1) Eligible Revitalization Activities.

HOPE VI Revitalization grants may be

used for activities to carry out

revitalization programs for severely

distressed public housing in accordance

with section 24(d) of the 1937 Act. If

HOPE VI Revitalization Grant funds are

used for any of the following activities,

you must conduct them in accordance

with the following program

requirements.

(a) Relocation, including reasonable

moving expenses, for residents

displaced as a result of the revitalization

of the project.

(i) General. You must provide

suitable, decent, safe, and sanitary

housing for each family required to

relocate as a result of revitalization

activities under the Revitalization Plan.

(ii) Standard Relocation

Requirements. You must carry out

relocation activities in compliance with

the following statutory and regulatory

requirements, as applicable:

(A) Relocation or temporary

relocation carried out as a result of

rehabilitation under an approved

Revitalization Plan is subject to the

Uniform Relocation Assistance and Real

Property Policies Act (42 U.S.C. 4601 et

seq; 49 CFR part 24) (URA) and

regulations at 24 CFR 968.108 or

successor regulations.

(B) Relocation carried out as a result

of acquisition under an approved

Revitalization Plan is subject to the URA

and regulations at 24 CFR 941.207 or

successor regulations.

(C) Relocation carried out as a result

of disposition under an approved

Revitalization Plan is subject to section

18 of the 1937 Act, as amended.

(D) Relocation carried out as a result

of demolition under an approved

Revitalization Plan is subject to the

URA.

(iii) Relocation Application

Information. In your application, you

will provide:

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11919

(A) information on your plans for

relocation in your response to Rating

Factor 3(5) (Relocation and Section 8);

and

(B) a list of the names of current

residents to be relocated as of the date

the HOPE VI Revitalization application

is submitted.

(iv) The HOPE VI Revitalization

Relocation Plan. If you are selected to

receive a HOPE VI Revitalization grant,

you will be required to submit to HUD

a HOPE VI Revitalization Relocation

Plan, including a Reoccupancy

Agreement executed with the

recognized resident body, as described

in Section IV(D)(1)(c) of this HOPE VI

Section of the SuperNOFA.

(b) Demolition of dwelling units and

nondwelling facilities, in whole or in

part. You may not carry out, nor permit

others to carry out the demolition of any

units or nondwelling facilities until

HUD approves one of the following:

(i) information in your HOPE VI

Revitalization Application, along with

any supplemental information requested

by HUD after the award of the grant.

Section 24(g) of the 1937 Act provides

that severely distressed public housing

demolished pursuant to a Revitalization

Plan is not required to be approved by

a demolition application under section

18 of the 1937 Act or regulations at 24

CFR part 970;

(A) If you do not receive a HOPE VI

Revitalization grant, the information in

your application will not be used to

process a request for demolition.

(B) Please note that demolition is not

a required element of a HOPE VI

Revitalization application.

(ii) a demolition application under

Section 18 of the Act. While not

required in order to proceed with

demolition, you may carry out

demolition based on an existing Section

18 demolition approval, or apply for

Section 18 approval; or

(iii) a Section 202 Mandatory

Conversion Plan, if the project is subject

to the requirements of Section 202.

(c) Disposition of a severely distressed

public housing site, by sale or lease, in

whole or in part, in accordance with

section 18 of the 1937 Act and

implementing regulations at 24 CFR part

970. A long term lease of one year or

more which is not incident to the

normal operation of the development is

considered a disposition.

(d) Rehabilitation and physical

improvement of public housing and/or

community facilities primarily intended

to facilitate the delivery of community

and supportive services for residents of

the project and residents of off-site

replacement housing, in accordance

with 24 CFR 968.112(b), (d), (e), and (g)-

(o) and 24 CFR 968.130 and 968.135(b)

and (d) or successor regulations, as

applicable.

(e) Development. (i) For any standard

(non-mixed finance) public housing

development activity, (whether on-site

reconstruction or off-site development),

you must obtain HUD approval of a

Standard Development Proposal

submitted under 24 CFR part 941 (or

successor part).

(ii) For mixed-finance housing

development, you must obtain HUD

approval of a Mixed Finance Proposal,

submitted under 24 CFR part 941,

subpart F (or successor part and

subpart).

(iii) For new construction of

community facilities primarily intended

to facilitate the delivery of community

and supportive services for residents of

the project and residents of off-site

replacement housing, you must comply

with 24 CFR part 941 (or successor

part). Information required for this

activity must be included in either a

Standard or Mixed Finance

Development Proposal.

(f) Homeownership Activities. For

homeownership replacement units

developed under a Revitalization Plan,

you must obtain HUD approval of a

homeownership proposal submitted

under section 24(d)(1)(J) or Section 32 of

the 1937 Act. The Homeownership

Proposal must be consistent with the 80

percent of Area Median Income (AMI)

limitations under the 1937 Act.

Assistance may include:

(i) Downpayment or closing cost

assistance;

(ii) Provision of second mortgages;

and/or

(iii) Construction or permanent

financing for new construction,

acquisition, or rehabilitation costs

related to homeownership replacement

units.

(g) Acquisition.

(i) Rental Units. For acquisition of

rental units in existing or new

apartment buildings, single family

subdivisions, etc., with or without

rehabilitation, for use as public housing

replacement units, you must comply

with 24 CFR part 941 or successor part.

(ii) Land for Housing, Off-Site Units.

For acquisition of land for public

housing development, you must comply

with 24 CFR part 941 or successor part.

(iii) Land for Economic Development.

(A) For acquisition of land for economic

development-related activities that

promote the economic self-sufficiency

of residents, you must comply with 24

CFR part 941, subpart F, or successor

part.

(B) With HUD approval, you may also

use HOPE VI grant funds for limited

infrastructure and site improvements

associated with developing retail,

commercial, or office facilities, such as

rough grading and bringing utilities to

(but not on) the site.

(C) You must enter into a long-term

ground lease to govern the development

and use of land acquired for economic

development purposes.

(D) You may not use HOPE VI Grant

funds to pay hard development costs or

to buy equipment for retail, commercial,

or office facilities.

(h) Necessary management

improvements, including transitional

security activities.

(i) Reasonable costs for

administration, planning, technical

assistance, and fees and costs, as

established by HUD guidance and

policies regarding cost controls. These

costs are limited to the incremental

costs of implementing the Revitalization

Plan, as specifically approved by HUD,

such as fees for architectural and

engineering work, program management

(if any), and reasonable legal fees.

(j) Community and Supportive

Services (CSS). (i) The CSS Component

of the HOPE VI Program encompasses

all activities that are designed to

promote upward mobility, selfsufficiency, and improved quality of life

for the residents of the public housing

project involved, including literacy

training, job training, day care,

transportation, and economic

development activities. The CSS

Component is further described in

Section IV(C)(3) of this HOPE VI section

of the SuperNOFA.

(ii) Consistent with section 24(j)(3) of

the 1937 Act, you may use an amount

up to 15 percent of the total HOPE VI

Grant to pay the costs of CSS activities.

You may spend additional sums on CSS

activities using donations, HUD funds

made available for that purpose, or other

PHA funds.

(iii) Consistent with section 24(d)(2)

of the Act, you may deposit up to 15

percent of your HOPE VI grant amount

into an endowment trust to provide CSS

activities, in accordance with section

IV(C)(3)(d) of this HOPE VI section of

the SuperNOFA, below.

(k) Leveraging other resources,

including additional housing resources,

supportive services, job creation, and

other economic development uses on or

near the project that will benefit future

residents of the site.

(l) Rental assistance under Section 8.

(2) Eligible Demolition Activities. The

following are the specific activities that

are eligible using HOPE VI Demolition

grant funds and the corresponding

program requirements.

11920 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(a) Relocation, including reasonable

moving expenses and self-sufficiency

programs related to the permanent

relocation of families.

(i) General. You must provide

suitable, decent, safe, and sanitary

housing for each family required to

relocate as a result of demolition

activities.

(ii) Standard Relocation

Requirements. You must carry out

relocation activities in compliance with

the following statutory and regulatory

requirements, as applicable:

(A) Relocation as a result of

demolition approved by a Section 18

demolition application is subject to the

URA and Section 18 of the Act.

(B) Relocation as a result of

demolition approved as part of a Section

202 Mandatory Conversion Plan is

subject to the URA.

(iii) The HOPE VI Demolition

Relocation Plan. You will be required to

provide a HOPE VI Demolition

Relocation Plan in your application, as

described in Section IV(E)(2) of this

HOPE VI section of the SuperNOFA.

(b) Demolition of dwelling units in

buildings, in whole or in part, including

the abatement of environmentally

hazardous materials such as asbestos, in

accordance with section 18 of the 1937

Act as amended.

(c) Demolition of nondwelling

facilities, if such demolition is directly

related to the demolition of severely

distressed dwelling units to be

demolished with funds from the HOPE

VI Demolition Grant.

(d) Restoration of the site to a

‘‘greenfield,’’ clean state by removing all

demolished materials, filling in the site,

and establishing a lawn. No additional

improvements, such as constructing

new curbs and gutters, installing

playground equipment, or planting

gardens may be paid for with HOPE VI

Demolition grant funds.

(e) In the case of partial demolition of

a site, minimal site restoration after

demolition and subsequent site

improvements to benefit the remaining

portion of the project in order to provide

project accessibility or to make the site

more marketable.

(f) Reasonable costs for

administration, planning, technical

assistance, and fees and costs which are

deemed to be incremental costs of

carrying out the demolition as

specifically approved by HUD.

IV. Program Requirements

(A) HOPE VI Application

Requirements. In addition to the Fair

Housing requirements provided in

Section II(B) of the General Section of

this SuperNOFA, all HOPE VI

applications (Revitalization and

Demolition) must comply with the

following program requirements:

(1) Severe Distress. The targeted

public housing project or building in a

project must be severely distressed. In

accordance with section 24(j)(2) of the

1937 Act, the term ‘‘severely distressed

public housing’’ means a public housing

project (or building in a project) that:

(a) Requires major redesign,

reconstruction or redevelopment, or

partial or total demolition, to correct

serious deficiencies in the original

design (including inappropriately high

population density), deferred

maintenance, physical deterioration or

obsolescence of major systems, and

other deficiencies in the physical plant

of the project;

(b) Is a significant contributing factor

to the physical decline of and

disinvestment by public and private

entities in the surrounding

neighborhood;

(c) (i) Is occupied predominantly by

families who are very low-income

families with children, are unemployed,

and dependent on various forms of

public assistance; or

(ii) Has high rates of vandalism and

criminal activity (including drug-related

criminal activity) in comparison to other

housing in the area;

(d) Cannot be revitalized through

assistance under other programs, such

as the Capital and Operating Funds

Programs for public housing under the

Act, or the programs under sections 9

and 14 of the 1937 Act (as in effect

before the effective date under section

503(a) of the Quality Housing and Work

Responsibility Act of 1998 (Pub.L. 105–

276, approved October 21, 1998,

referred to as the Public Housing Reform

Act), because of cost constraints and

inadequacy of available amounts; and

(e) In the case of individual buildings,

is sufficiently separated from the

remainder of the project of which the

building is part to make use of the

building feasible for revitalization; or

(f) That was a project described in

paragraphs (a) through (e) above that has

been legally vacated or demolished, but

for which HUD has not yet provided

replacement housing assistance (other

than tenant-based assistance).

(2) Appropriateness. In accordance

with section 24(e)(1) of the 1937 Act, an

application for any HOPE VI grant must

demonstrate the appropriateness of the

proposal in the context of the local

housing market relative to other

alternatives.

(3) Litigation. You may not have any

litigation pending which would

preclude timely startup of activities.

(4) Desegregation Orders. You must be

in full compliance with any

desegregation or other court order

related to Fair Housing (e.g., Title VI of

the Civil Rights Act of 1964, the Fair

Housing Act, and section 504 of the

Rehabilitation Act of 1973) that affects

your public housing program and that is

in effect on the date of application

submission.

(5) Flood Insurance. In accordance

with the Flood Disaster Protection Act

of 1973 (42 U.S.C. 4001–4128), your

application may not propose to provide

financial assistance for acquisition or

construction (including rehabilitation)

of properties located in an area

identified by the Federal Emergency

Management Agency (FEMA) as having

special flood hazards, unless:

(a) The community in which the area

is situated is participating in the

National Flood Insurance program (see

44 CFR parts 59 through 79), or less

than one year has passed since FEMA

notification regarding such hazards; and

(b) Where the community is

participating in the National Flood

Insurance Program, flood insurance is

obtained as a condition of execution of

a Grant Agreement and approval of any

subsequent demolition or disposition

application.

(6) Coastal Barrier Resources Act. In

accordance with the Coastal Barrier

Resources Act (16 U.S.C. 3501), your

application may not target properties in

the Coastal Barrier Resources System.

(B) HOPE VI Post-Award

Requirements. If you are selected for

funding, in addition to the Fair Housing

requirements provided in Sections II(B),

(C) and (D) of the General Section of this

SuperNOFA, all HOPE VI Grantees

(Revitalization and Demolition) must

comply with the following

requirements:

(1) Internet Access. You must have

access to the Internet and provide HUD

with email addresses of key staff and

contact people.

(2) Labor Standards. (a) Revitalization

Grant Labor Standards. Davis-Bacon or

HUD-determined wage rates apply to

development or operation of revitalized

housing to the extent required under

section 12(a) of the 1937 Act. DavisBacon wage rates apply to demolition

followed by construction on the site.

(b) Demolition Grant Labor Standards.

HUD-determined wage rates apply to

demolition followed only by filling in

the site and establishing a lawn.

(c) Under section 12(b) of the 1937

Act, wage rate requirements do not

apply to individuals who:

(i) Perform services for which they

volunteered;

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11921

(ii) Do not receive compensation for

those services or are paid expenses,

reasonable benefits, or a nominal fee for

the services; and

(iii) Are not otherwise employed in

the work involved (24 CFR part 70).

(d) If other Federal programs are used

in connection with your HOPE VI

activities, labor standards requirements

apply to the extent required by the other

Federal programs on portions of the

project that are not subject to DavisBacon rates under the Act.

(3) Section 3. You must comply with

the requirements of section 3 of the

Housing and Urban Development Act of

1968 (12 U.S.C. 1701u) (Employment

Opportunities for Lower Income Persons

in Connection with Assisted Projects)

and its implementing regulation at 24

CFR part 135 (‘‘Section 3’’). Section 3

requires that, to the greatest extent

feasible, HOPE VI Grantees direct

training, employment, and other

economic opportunities to low- and

very low-income persons—particularly

those who are recipients of government

assistance for housing—and business

concerns which provide economic

opportunities to low- and very lowincome persons. More information

about Section 3 can be found at HUD’s

Section 3 website (www.hud.gov/fhe/

sec3over.html).

(4) MBE/WBE. You must adopt the

goal of awarding a specified percentage

of the dollar value of the total of the

HOPE VI contracts to be awarded during

subsequent fiscal years to minority

business enterprises and take

appropriate affirmative action to assist

resident-controlled and women’s

business enterprises, in accordance with

the requirements of Executive Orders

11246, 11625, 12432, and 12138.

(5) OMB Circulars and Administrative

Requirements. You and your Team, as

defined in Rating Factor 1, Capacity,

must comply with the following

administrative requirements related to

the expenditure of Federal funds. OMB

Circulars can be found at

www.whitehouse.gov/omb/grants/

index.html#circulars, and the Code of

Federal Regulations can be found at

www.access.gpo.gov/nara/cfr/

index.html.

(a) Administrative requirements

applicable to PHAs are:

(i) 24 CFR part 85 (Administrative

Requirements for Grants and

Cooperative Agreements to State, Local

and Federally Recognized Indian Tribal

Governments), as modified by 24 CFR

941 or successor part, subpart F, relating

to the procurement of partners in mixed

finance developments, except when

inconsistent with the provisions of the

FY 2001 HUD Appropriations Act or

other applicable Federal statutes.

Requests for Proposals (RFPs) and

Requests for Qualifications (RFQs) must

reflect pertinent language from the

HOPE VI section of this SuperNOFA;

e.g., seeking diversity, accessibility, fair

housing requirements, etc.

(ii) OMB Circular A–87 (Cost

Principles for State, Local and Indian

Tribal Governments);

(iii) 24 CFR 85.26 (audit

requirements).

(b) Administrative requirements

applicable to non-profit organizations

are:

(i) 24 CFR part 84 (Grants and

Agreements with Institutions of Higher

Education, Hospitals, and other NonProfit Organizations);

(ii) OMB Circular A–122 (Cost

Principles for Non-Profit Organizations);

(iii) 24 CFR 84.26 (audit

requirements).

(c) Administrative requirements

applicable to for profit organizations

are:

(i) 24 CFR part 84 (Grants and

Agreements with Institutions of Higher

Education, Hospitals, and other NonProfit Organizations);

(ii) 48 CFR part 31 (contract cost

principles and procedures);

(iii) 24 CFR 84.26 (audit

requirements).

(6) Environmental Review. (a) If you

are selected for funding and an

environmental review has not been

conducted on the targeted site, the

responsible entity, as defined in 24 CFR

58.2(a)(7), must assume the

environmental review responsibilities

for projects being funded by HOPE VI.

If you object to the responsible entity

conducting the environmental review,

on the basis of performance, timing or

compatibility of objectives, HUD will

review the facts and determine who will

perform the environmental review. At

any time, HUD may reject the use of a

responsible entity to conduct the

environmental review in a particular

case on the basis of performance, timing

or compatibility of objectives, or in

accordance with 24 CFR 58.77(d)(1). If

a responsible entity objects to

performing an environmental review, or

if HUD determines that the responsible

entity should not perform the

environmental review, HUD may

designate another responsible entity to

conduct the review or may itself

conduct the environmental review in

accordance with the provisions of 24

CFR part 50. After selection by HUD for

Joint Review, you must provide any

documentation to the responsible entity

(or HUD, where applicable) that is

needed to perform the environmental

review.

(b) If you are selected for funding, you

must have a Phase I environmental site

assessment completed in accordance

with the American Society for Testing

and Material (ASTM) Standards E 1527–

97, as amended, for each affected site.

A Phase I assessment is required

whether the environmental review is

completed under 24 CFR part 50 or 24

CFR part 58. The results of the Phase I

assessment must be included in the

documents that must be provided to the

responsible entity (or HUD) for the

environmental review. If the Phase I

assessment recognizes environmental

concerns or if the results are

inconclusive, a Phase II environmental

site assessment will be required.

(c) You may not undertake any

actions with respect to the

Development, or with respect to any offsite replacement public housing, that

are choice-limiting or could have

environmentally adverse effects,

including demolishing, acquiring,

rehabilitating, converting, leasing,

repairing, or constructing property

proposed to be assisted under this

NOFA, and you may not commit or

expend HUD or local funds for these

activities, until HUD has approved a

Request for Release of Funds following

a responsible entity’s environmental

review under 24 CFR part 58, or until

HUD has completed an environmental

review and given approval for the action

under 24 CFR part 50.

(d) If the environmental review is

completed before HUD approval of the

HOPE VI Supplemental Submissions

and you have submitted your Request

for Release of Funds (RROF), the

Supplemental Submissions approval

letter shall state any conditions,

modifications, prohibitions, etc. as a

result of the environmental review,

including the need for any further

environmental review. You must carry

out any mitigating/remedial measures

required by HUD, or select an alternate

eligible property, if permitted by HUD.

If the remediation plan is not approved

by HUD and a fully-funded contract

with a qualified contractor licensed to

perform the required type of

remediation is not executed, HUD

reserves the right to determine that the

grant is in default.

(e) If the environmental review is not

completed and/or you have not

submitted the RROF before HUD

approval of the Supplemental

Submissions, the letter approving the

Supplemental Submissions will instruct

you to refrain from undertaking, or

obligating or expending funds on,

physical activities or other choicelimiting actions, until HUD approves

your RROF and the related certification

11922 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

of the responsible entity (or HUD has

completed the environmental review).

The RP approval letter also will advise

you that the approved RP may be

modified on the basis of the results of

the environmental review.

(f) In accordance with the Grant

Agreement, the costs of environmental

reviews and hazard remediation are

eligible costs under the HOPE VI

Program.

(7) Environmental Justice. In

accordance with Executive Order 12898,

(a) public housing may be developed

only in environmentally sound and

desirable locations that will avoid

disproportionately high and adverse

environmental effects on minority and

low-income communities, and

(b) proposed activities may not have

the effect of excluding or denying

persons (including populations) from

participation in or benefits from those

activities, or subjecting persons

(including populations) to

discrimination because of their race,

color, or national origin.

(C) Revitalization Application

Requirements. Your HOPE VI

Revitalization application must comply

with the following requirements:

(1) Resident Training Session. (a) You

must conduct at least one Training

Session for residents of the severely

distressed project(s) on the HOPE VI

development process.

(b) The Resident Training Session

must be held after the publication date

of the FY 2001 HOPE VI NOFA.

(c) You must provide a certification in

your application that you addressed the

following issues during the resident

training session:

(i) relocation policies, procedures,

and options;

(ii) reoccupancy criteria;

(iii) number of units to be built, onsite and off-site;

(iv) partners that will provide

community and supportive services;

(v) the requirements of section 3 and

plans to ensure compliance;

(vi) plans for continued resident and

community involvement; and

(vii) community and supportive

service activities to be provided for

residents during the course of the grant

term.

(d) Notice of the Resident Training

Session must be provided to each

affected resident.

(e) As practical and applicable, the

meetings should be conducted in

English and the language(s) most

appropriate for the community.

(f) The meeting space must be

accessible for persons with disabilities,

i.e., the meeting space must be

accessible for wheelchairs, signing must

be provided for the hearing impaired, if

applicable, etc.

(2) Public Meetings.

(a) You must conduct at least three

public meetings with residents and the

broader community, including young

people between the ages of 16 and 21,

to involve them in a meaningful way in

the process of planning the

revitalization and preparing the

application.

(b) In addition to other means of

notification, at least one notice for each

meeting must be placed in a commercial

newspaper or journal that serves both

the public housing project and the

broader community.

(c) At least two of the public meetings

must be held after the publication date

of this HOPE VI NOFA.

(d) One of the public meetings may

have been held before the publication of

this NOFA, but no more than six

months before such publication.

(e) at least one of the public meetings

must be held after the plan which will

form the basis of the application has

been established, so that residents and

the community are fully informed about

the basics of the proposed Revitalization

Plan.

(f) You must provide a certification in

your application that you addressed the

following issues during the three public

meetings:

(i) The HOPE VI planning and

implementation process;

(ii) The proposed physical plan,

including site and unit design;

(iii) The extent of proposed

demolition;

(iv) Planned community and

supportive service activities;

(v) Other proposed revitalization

activities;

(vi) Relocation issues, including

relocation planning, mobility

counseling, and maintaining the HOPE

VI community planning process during

the demolition and reconstruction

phases where temporary relocation is

involved;

(vii) reoccupancy plans and policies,

including site-based waiting lists; and

(viii) Section 3 and employment

opportunities to be created as a result of

redevelopment activities.

(g) As practical and applicable, the

meetings should be conducted in

English and the language(s) most

appropriate for the community.

(h) Meeting spaces must be accessible

for persons with disabilities, i.e., the

meeting space must be accessible for

wheelchairs, signing must be provided

for the hearing impaired, if applicable,

etc.

(3) Community and Supportive

Services (CSS). (a) General. Each HOPE

VI Revitalization application must

include a CSS Component that includes

activities designed to help residents

achieve self-sufficiency, upward

mobility, economic independence with

sustainable ‘‘living wage’’ jobs,

educational achievement, and improved

quality of life for the maximum number

of public housing residents in the

existing project and in the revitalized

community. This section lists the

requirements for the CSS component,

the kinds of activities that should be

included in your CSS Workplan, and

the types of organizations that you

should consider when developing your

CSS team, creating partnerships, and

developing resources to fund your CSS

activities. You will refer to this section

of the NOFA when describing your CSS

Capacity and Experience (Rating Factor

1(2)), Quality of CSS Plan (Rating Factor

3(6)), and CSS Resources (Rating Factor

4(2)).

(b) Subgrant Agreements. (i) If you

wish to form a formal partnership with

a private nonprofit agency(ies) for the

provision of specific CSS activities, you

may do so by entering into a subgrant

agreement with the selected agency(ies).

(ii) While you are not required to

undertake a competitive procurement

under 24 CFR part 85 to select a

subgrantee, HUD nevertheless requires

your assurance that you have:

(A) evaluated alternative service

providers for the specific activities to be

provided,

(B) selected the entity that you

reasonably believe will most effectively

provide such activities, and

(C) ensured that the amount to be

awarded under the subgrant agreement

is consistent with the cost principles of

OMB Circular A–87.

(iii) HUD encourages you to leverage

your HOPE VI grant funds by selecting

subgrantees that will provide, in

addition to the agreed upon fee-forservice amount, in-kind services on a

gratis basis (e.g., leased space at no cost,

etc.).

(iv) The selected nonprofit subgrantee

must comply with the requirements of

24 CFR part 84.

(v) You may not enter into a subgrant

agreement with a for-profit entity or for

a CSS coordinator. Instead, you must

conduct a competitive procurement for

the services of such entities under 24

CFR part 85. However, if you can

demonstrate that the services to be

provided by the proposed for-profit

entity or by the proposed CSS

coordinator can be obtained only from

that source, you may request HUD

approval to carry out a non-competitive

procurement under 24 CFR 85.36(d)(4).

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11923

(c) Requirements of the Community

and Supportive Services Workplan. (i)

The objectives of your CSS Workplan

must be results-oriented, with

quantifiable goals and outcomes that

can be used to measure progress, make

changes in activities as necessary, and

demonstrate the success of the CSS

component of the HOPE VI Program.

(ii) CSS activities must be developed

in response to a rigorous resident needs

identification process and directly

respond to the identified needs.

(iii) CSS activities must be of an

appropriate scale, type, and variety to

meet the needs of all residents

(including adults, youth ages 16 to 21,

and children) of the severely distressed

project, including residents remaining

on-site, residents who will relocate

permanently to other PHA units or

Section 8 housing, residents who will

relocate temporarily during the

construction phase, and new residents

of the revitalized units.

(iv) Non-public housing residents may

also participate in CSS activities, as long

as the primary participants in the

activities are residents as described in

subparagraph (iii) above.

(v) Your plan must include

procedures to track HOPE VI site

residents who relocate to alternative

housing to assure that everything

possible is done to support them to

become self-sufficient and live

successfully in the alternative housing

of their choice.

(vi) CSS activities such as life skills

training must be designed to begin

promptly after grant award so that

residents who will be relocated have

time to participate and benefit from

such activities before leaving the site.

(vii) Resident training activities must

begin promptly after grant award and

Section 3 firms must be in place quickly

so that residents are trained in time to

take advantage of employment

opportunities such as jobs and other

contractual opportunities in the predevelopment, demolition, and

construction phases of the

revitalization.

(viii) Modern computer technology

must be integrated into the education

component of the CSS Workplan.

(ix) CSS activities must be

coordinated with the efforts of other

service providers in your locality,

including non-profit organizations,

educational institutions, and state and

local programs.

(x) CSS activities must be consistent

with state and local welfare reform

requirements and goals. The social and

learning environment must encourage

and enable low-income residents to

achieve long-term self-sufficiency,

particularly persons enrolled in welfareto-work programs. To that end, it is

crucial that local welfare agencies and

workforce development agencies are

active members of your HOPE VI

partnership. Many HOPE VI residents

are directly affected by Temporary

Assistance to Needy Families (TANF),

making these self-sufficiency efforts

critical to their success.

(xi) CSS activities must be well

integrated with the physical

development process, both in terms of

timing and the provision of facilities to

house on-site service and educational

activities.

(d) CSS Activities may include, but

are not limited to:

(i) Educational activities that promote

learning and serve as the foundation for

young people from infancy through high

school graduation, helping them to

succeed in academia and the

professional world. Such activities,

which include after school programs,

mentoring, and tutoring, must be

created with strong partnerships with

public and private educational

institutions.

(ii) Adult educational activities,

including remedial education, literacy

training, tutoring for completion of

secondary or post-secondary education,

assistance in the attainment of

certificates of high school equivalency,

and English as a Second Language

courses, as needed.

(iii) Job readiness and retention

activities which frequently are key to

securing private sector commitments to

the provision of jobs.

(iv) Employment training activities

that include results-based job training,

preparation, counseling, development,

placement, and follow-up assistance

after job placement.

(v) Life skills training on topics such

as parenting, consumer education, and

family budgeting, aided by the creation

and operation of on-site credit unions.

(vi) Motivational and selfempowerment training.

(vii) Homeownership counseling that

is scheduled to begin promptly after

grant award so that, to the maximum

extent possible, qualified residents will

be ready to purchase new

homeownership units when they are

completed.

(viii) Coordinating with health care

services providers or providing on-site

space for a health clinic, doctors, a

wellness center, dentists, etc. that will

primarily serve the public housing

residents. HOPE VI funds may not be

used to provide direct medical care to

residents.

(ix) Substance/alcohol abuse

treatment and counseling.

(x) Domestic violence prevention.

(xi) Child care services which provide

sufficient hours of operation for parents

to achieve self-sufficiency goals, serve

appropriate ages as needed to facilitate

parental access to education and job

opportunities, and stimulate children to

learn.

(xii) Transportation, as necessary, to

enable all family members to participate

in available CSS activities and/or to

commute to their places of employment.

(xiii) Entrepreneurship training and

mentoring, with the goal of establishing

resident-owned businesses.

(e) CSS Partnerships and Resources.

The following are the kinds of

organizations and agencies that can

provide you with in-kind, financial, and

other types of resources necessary to

carry out and sustain your CSS

activities.

(i) Local Boards of Education, public

libraries, local community colleges,

institutions of higher learning, nonprofit or for-profit educational

institutions and public/private

mentoring programs that will lead to

new or improved educational facilities

and improved educational achievement

of young people in the revitalized

development, from birth through higher

education.

(ii) National corporations, local

businesses, and other large institutions

such as hospitals that can commit to

provide entry-level jobs. Employers may

agree to train residents or commit to

hire residents after they complete jobs

preparedness or training programs that

are provided by you, other partners, or

the employer itself. Such private sector

and non-profit partners must be given

the opportunity to participate in the

development of your CSS programs to

assure that they will result in adequate

training to prospective employees.

(iii) Job development organizations

which link private sector or non-profit

employers with low-income prospective

employees.

(iv) Workforce Development

Agencies.

(v) University Schools of Public

Health.

(vi) Organizations that provide

residents with job readiness and

retention training and support.

(vii) Economic development agencies

such as the Small Business

Administration, which provide

entrepreneurial training and small

business development centers.

(viii) Where applicable,

Empowerment Zone and Enterprise

Community Boards.

(ix) Programs that integrate

employment training, education, and

counseling, and where creative

11924 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

partnerships with local boards of

education, state charter schools, TANF,

foundations, and private funding

sources have been or could be

established, such as:

(A) Youthbuild (www.hud.gov/

progdesc/youthb.cfm).

(B) Step-Up (www.hud.gov/progdesc/

stepup.cfm).

(C) AmeriCorps (www.cns.gov/

americorps). See Section VI(B) of the

General Section of this SuperNOFA for

more information on AmeriCorps.

(x) Sources of capital such as

foundations, banks, and charitable,

fraternal, and business organizations.

(xi) TANF Agencies/welfare

departments.

(xii) Non-profit organizations such as

the Girl Scouts and the Urban League,

both of which have Memoranda of

Agreement (MOA) with HUD. Copies of

these MOAs can be found on the HOPE

VI Home Page (www.hud.gov/hopevi).

(xiii) Civil rights organizations.

(xiv) Local area agencies on aging, if

applicable.

(xv) Local agencies and organizations

serving persons with disabilities.

(xvi) Faith-based organizations.

(xvii) Federal, state, and local crime

prevention programs and policy efforts,

such as:

(A) Local law enforcement agencies;

(B) Your local United States Attorney;

(C) HUD’s ‘‘One Strike and You’re

Out’’ (www.hud.gov:80/progdesc/

1strike.cfm);

(D) HUD’s ‘‘Officer Next Door’’

initiative (www.hud.gov:80/ond/

ond.html);

(E) The local Department of Justice

‘‘Weed and Seed’’ Program task force (if

the targeted project is located in a

designated Weed and Seed area)

(www.ojp.usdoj.gov/eows);

(F) HUD’s ‘‘Operation Safe Home’’

Program (www.hud.gov:80/progdesc/

opsafe.cfm); and

(G) HUD’s Drug Elimination

Programs.

(f) Endowment Trust for Community

and Supportive Services. Consistent

with section 24(d)(2) of the Act, you

may deposit up to 15 percent of your

HOPE VI grant (the maximum amount of

the award allowable for CSS activities)

into an endowment trust to provide CSS

activities. HUD will review the amount

of your proposed HOPE VI allocations to

an endowment trust as part of its review

and approval of your CSS Workplan. In

reviewing your proposed allocations to

the endowment trust, HUD will take

into account your demonstrated ability

to pay for current CSS activities with

HOPE VI or other funds, and the

projected long-term sustainability of the

trust to carry out CSS activities. HUD

intends to issue separate guidance

concerning the establishment, operation

and management of HOPE VI-funded

endowment trusts. These provisions

will be incorporated into the FY 2001

HOPE VI grant agreement that you

execute with HUD. Once HUD approves

your CSS Workplan and determines that

the endowment trust has been

established and will thereafter be

operated and maintained, in accordance

with the HOPE VI grant agreement, HUD

will release HOPE VI funds to you in a

lump sum for deposit into the

endowment trust. You must invest the

endowment funds in a wise and prudent

manner. Although HUD considers the

deposit of endowment trust funds in

certificates of deposit and other types of

securities that are insured, guaranteed,

or issued by the United States of

America to be wise and prudent

investments, other investment options

also are available. These options will be

described in the guidance that HUD will

be issuing. Endowment funds (together

with any income earned on those funds)

may only be used for eligible CSS

activities, as provided in section

IV(C)(3)(d) of this HOPE VI section of

the SuperNOFA, below. You may use

amounts in an endowment trust in

conjunction with other amounts

donated or otherwise made available to

the trust for similar purposes.

(D) Revitalization Grant Post-Award

Requirements. If you are selected for

funding, you must comply with the

following requirements:

(1) Revitalization Plan. After HUD

conducts a post-award review of your

application and makes a visit to the site,

you will be required to submit

components of your Revitalization Plan

to HUD, as provided in the HOPE VI

Revitalization Grant Agreement. These

components include, but are not limited

to:

(a) Supplemental Submissions, that

may include revisions and clarifications

to your application;

(b) a Community and Supportive

Services Workplan, in accordance with

guidance provided by HUD; and

(c) a HOPE VI Revitalization

Relocation Plan, in conformance with

the requirements of HOPE VI relocation

guidance as provided by HUD, that

describes the assistance and the services

to be provided to affected families.

(i) The HOPE VI Revitalization

Relocation Plan is intended to ensure

that residents who have been

temporarily or permanently relocated,

as well as any residents yet to be

relocated, by activities funded by a

HOPE VI Revitalization Grant are

provided with CSS activities such as

mobility counseling and direct

assistance in locating housing.

(ii) The HOPE VI Revitalization

Relocation Plan must include a

Reoccupancy Agreement that

establishes the criteria for relocated

residents to occupy the revitalized

units, executed between the recognized

resident body, the PHA, and, if

applicable, the entity that will own the

public housing units.

(iii) You may not begin relocation

activities until your HOPE VI

Revitalization Relocation Plan has been

approved by HUD.

(d) a standard or mixed-finance

development proposal, as applicable;

(e) a disposition application, as

applicable; and

(f) a homeownership proposal, as

applicable.

(2) Neighborhood Networks. All

Revitalization Grantees will be required

to be approved as Neighborhood

Networks Centers. This Program, which

supports HUD’s Bridging the Digital

Divide policy initiative, as described in

Section VI(H) of the General Section,

provides on-site access to computer and

training resources. These Centers,

originally designed for HUD-insured

and HUD-assisted properties, have

helped hundreds of residents improve

computer technology skills which in

turn has increased job and education

opportunities. HUD will make technical

assistance available to each PHA where

needed. More information on the

requirements of the Neighborhood

Network Center Program is available on

the Neighborhood Networks website

(www.hud.gov/nnw/nnwindex.html).

(3) Match. (a) Overall Match. In

accordance with section 24(c) of the

1937 Act, if you are selected for

funding, you must supplement your

HOPE VI Revitalization grant with funds

from other sources equal to not less than

5 percent of the HOPE VI funds

provided. You will make this

certification by signing the HOPE VI

Revitalization Grant Applicant

Certifications. The Certification Form is

included in the HOPE VI Application

Kit, and the text of the certifications is

included as Appendix A to this HOPE

VI section of the SuperNOFA, below.

(b) Additional Community and

Supportive Services Match. In addition

to supplemental amounts provided in

accordance with subparagraph (a)

above, if you are selected for funding

and propose to use more than 5 percent

of your HOPE VI grant for CSS activities

(you may use up to 15 percent of your

grant for such activities), you must

certify that you will provide

supplemental funds from sources other

than HOPE VI, dollar for dollar, for the

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11925

amount over 5 percent of the grant that

you will use for CSS activities. You will

make this certification by signing the

HOPE VI Revitalization Applicant

Certifications. The Certification Form is

included in the HOPE VI Application

Kit, and the text of the certifications is

included as Appendix A to this HOPE

VI section of the SuperNOFA, below.

(c) Matching Funds. In accordance

with section 24(c)(2) of the 1937 Act, in

calculating the amount of supplemental

funds provided by a Grantee for

purposes of subparagraphs (a) and (b)

above, you may include amounts from

other Federal sources, any State or local

government sources, any private

contributions, the value of any donated

material or building, the value of any

lease on a building, the value of the time

and services contributed by volunteers,

and the value of any other in-kind

services or administrative costs

provided. Other Federal sources may

include funds provided by the MROP,

Comprehensive Grant, CIAP, or Public

Housing Capital Fund Programs or other

HUD-provided public housing funds,

including funds derived from program

income. Matching funds must be

directly applicable to the revitalization

of the site and the transformation of the

lives of residents.

(4) Program Income. If you receive

program income prior to grant closeout

(e.g., from sale of homeownership

replacement units or the disposition of

improved land), the program income:

(a) must be reflected in your approved

sources and uses statement;

(b) must be reinvested in the

Development and used for low-income

housing purposes, as approved by HUD;

and

(c) must be used for eligible activities

before you may draw down additional

cash payments from the (HOPE VI

Grant.)

(5) Replacement Units.

(a) Homeownership units will be

deemed to be replacement units only if,

combined with rental ACC units, they

do not exceed the total number of units

demolished and/or disposed of at the

targeted severely distressed project and

otherwise meet the requirements listed

in Section III(C)(1)(f), above, of this

HOPE VI section of the SuperNOFA.

(b) Rental units will be deemed to be

public housing replacement units and

qualify for operating subsidy only if:

(i) Combined with public housing

homeownership replacement units, the

units do not exceed the lesser of:

(A) The number of units that you had

under ACC on August 21, 1996; or

(B) The number of units for which you

were receiving operating subsidy on

August 21, 1996; and

(ii) The units are to be placed under

an ACC and operated as public housing

units.

(c) HOPE VI funds may not be used

to develop market rate units or

affordable housing units which do not

qualify as public housing or

homeownership replacement units, as

described in subparagraphs (a) and (b)

above.

(6) Timeliness of Construction. (a) If

you are selected for funding, you must

proceed within a reasonable timeframe,

as indicated below. In determining

reasonableness of such timeframe, HUD

will take into consideration those delays

caused by factors beyond your control.

(b) You must start construction within

12 months from the date of HUD’s

approval of the Supplemental

Submissions as requested by HUD after

grant award. This time period may not

exceed 18 months from the date the

Grant Agreement is executed.

(c) You must complete construction

within 48 months from the date of

HUD’s approval of your Supplemental

Submissions. This time period for

completion may not exceed 54 months

from the date the Grant Agreement is

executed.

(d) In accordance with section 24(i) of

the 1937 Act, if you do not proceed

within a reasonable timeframe, as

described in paragraphs (a) through (c)

above, HUD shall withdraw any grant

amounts that you have not obligated.

HUD shall redistribute any withdrawn

amounts to one or more other applicants

eligible for HOPE VI assistance or to one

or more other entities capable of

proceeding expeditiously in the same

locality in carrying out the

Revitalization Plan of the original

Grantee.

(7) Building Standards. (a) All

activities that include construction,

rehabilitation, lead-based paint removal,

and related activities must meet or

exceed local building codes.

(b) Your new construction must

comply with the accessibility standards

of the Fair Housing Act, section 504 of

the Rehabilitation Act of 1973, the

Americans with Disabilities Act of 1990,

and the Architectural Barriers Act of

1968. You are also encouraged to read

the policy statement and Final Report of

the HUD Review of Model Building

Codes that identifies the variances

between the design and construction

requirements of the Fair Housing Act

and several model building codes. That

report can be found on the HUD Home

Page (www.hud.gov/fhe/modelcodes).

(c) New construction must comply

with the latest HUD-adopted Model

Energy Code issued by the Council of

American Building Officials. In

addition, HUD encourages you to set

higher standards for energy and water

efficiency in HOPE VI new construction,

which can achieve utility savings of 30

to 50 percent with minimal extra cost.

Upon request, HUD will provide

technical assistance and training in

design and financing to assist your

authority, architects, and contractors in

improving resource efficiency.

(d) HUD encourages you to design

programs that incorporate sustainable

construction and demolition practices,

such as the dismantling or

‘‘deconstruction’’ of public housing

units, recycling demolition debris, and

reusing salvage materials in new

construction. ‘‘A Guide to

Deconstruction’’ can be found at

(www.hud.gov/deconstr.pdf). Articles

about specific deconstruction projects

can be found on the U.S. Forest Service

website (www.fpl.fs.fed.us/query.asp);

enter deconstruction as the search term.

(e) HUD encourages you to use PATH

technologies in the construction and

delivery of replacement housing. PATH

(Partnership for Advancing Technology

in Housing) is a voluntary initiative that

seeks to accelerate the creation and

widespread use of advanced

technologies to radically improve the

quality, durability, environmental

performance, energy efficiency, and

affordability of our Nation’s housing.

Further information about PATH can be

found in Section VI(G) of the General

Section of this SuperNOFA and on the

PATH website (www.pathnet.org).

(f) In accordance with Section VI(E) of

the General Section of this SuperNOFA,

HUD encourages you to incorporate the

principles of Universal Design when

developing housing and community

facilities. The intent of Universal Design

is to make housing units and

community facilities more usable by as

many people as possible, regardless of

age and ability, at little or no extra cost.

Examples include designing wider

doorways, installing levers instead of

doorknobs, and putting bathtub/shower

grab bars in all units. Computers and

telephones can also be set up in ways

that enable as many residents as

possible to use them.

(g) There must not be any

environmental or public policy factors

such as sewer moratoriums that would

preclude development in the requested

locality.

(8) Lead-Based Paint. You must

comply with lead-based paint testing

and abatement requirements for HUDassociated housing, as provided for

under the Lead-Based Paint Poisoning

Prevention Act (42 U.S.C. 4821, et seq.).

You must also comply with regulations

at 24 CFR part 35, 24 CFR 965.701, and

11926 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

24 CFR 968.110(k), as they may be

amended or revised from time to time.

Unless otherwise provided, you will be

responsible for testing and abatement

activities.

(9) Site and Neighborhood Standards

for Replacement Housing. You must

comply with the Fair Housing Act and

Title VI of the Civil Rights Act of 1964,

and regulations thereunder. In

determining the location of any

replacement housing, you must comply

with either the site and neighborhood

standards regulations at 24 CFR 941.202

(b-d) or with the standards outlined

below.

(a) Goals of the HOPE VI Program.

The HOPE VI Program provides

resources to address the needs of

severely distressed public housing

developments within an administrative

framework of less intrusive Federal

oversight and increased reliance on

informed local decisionmaking. HOPE

VI Grants are made so that Grantees can

develop and implement comprehensive

strategies that address not only the

physical and management needs of the

developments, but also the social and

economic needs of the residents and the

surrounding community. You are

expected to ensure that your

Revitalization Plan will expand assisted

housing opportunities in non-poor and

non-minority neighborhoods and/or will

accomplish substantial revitalization in

the Development and its surrounding

neighborhood. You are also expected to

ensure that eligible households of all

races and ethnic groups will have equal

and meaningful access to the housing.

(b) Objectives in Selecting HUDAssisted Sites. The fundamental goal of

HUD’s fair housing policy is to make

full and free housing choice a reality.

Housing choice requires that

households of all races can freely decide

the type of neighborhood where they

wish to reside, that minority

neighborhoods are no longer deprived of

essential public and private resources,

and that stable, racially-mixed

neighborhoods are available as a

meaningful choice for all. To make full

and free housing choice a reality, sites

for HUD-assisted housing investment

should be selected so as to advance two

complementary goals:

(i) expand assisted housing

opportunities in non-minority

neighborhoods, opening up choices

throughout the metropolitan area for all

assisted households; and

(ii) reinvest in minority

neighborhoods, improving the quality

and affordability of housing there to

represent a real choice for assisted

households.

(c) Compliance with Fair Housing Act

and Title VI of the Civil Rights Act of

1964. You must comply with the Fair

Housing Act and Title VI of the Civil

Rights Act of 1964, and implementing

regulations, in determining the location

of any replacement housing.

(d) Grantee’s Election of

Requirements. You may, at your

election, separately with regard to each

site you propose, comply with the

development regulations regarding Site

and Neighborhood Standards (24 CFR

941.202 (b)-(d)), or with the Site and

Neighborhood Standards contained in

this Section.

(e) Replacement Housing Located On

Site or in the Surrounding

Neighborhood. Replacement housing

under HOPE VI that is located on the

site of the existing project or in its

surrounding neighborhood will not

require independent approval under

Site and Neighborhood Standards, since

HUD will consider the scope and impact

of the proposed revitalization to

alleviate severely distressed conditions

at the public housing project and its

surrounding neighborhood in assessing

the application to be funded under this

NOFA. For the purposes of this review,

the term ‘‘surrounding neighborhood’’

means the neighborhood within a three

mile radius of the site of the existing

project.

(f) Off-Site Replacement Housing

Located Outside of the Surrounding

Neighborhood. Unless you demonstrate

that there are already significant

opportunities in the metropolitan area

for assisted households to choose nonminority neighborhoods (or these

opportunities are under development),

HOPE VI replacement housing not

covered by (9)(e) of this Section may not

be located in an area of minority

concentration (as defined in paragraph

(g) below) without the prior approval of

HUD. Such approval may be granted if

you demonstrate to the satisfaction of

HUD that:

(i) you have made determined and

good faith efforts, and found it

impossible with the resources available,

to acquire an appropriate site(s) in an

area not of minority concentration;

(ii) the replacement housing, taking

into consideration both the CSS

activities or other revitalizing activities

included in the Revitalization Plan, and

any other revitalization activities in

operation or firmly planned, will

contribute to the stabilization or

improvement of the neighborhood in

which it is located, by addressing any

serious deficits in services, safety,

economic opportunity, educational

opportunity, and housing stock; or

(iii) the replacement housing is

located in a neighborhood that is not an

area of high poverty rate (30 percent or

more).

(iv) HUD recognizes that in some

metropolitan areas, factors including the

cost of land, jurisdictional limits, or

political opposition may make it

extremely difficult for you to acquire

and develop non-impacted sites. If you

seek approval under the condition

stated in subparagraph (9)(f)(i) above,

you must detail your efforts with

sufficient specificity for HUD to

determine whether HUD can contribute

other resources, such as legal assistance.

If you experience or anticipate that you

will experience difficulty acquiring and

developing non-impacted sites to

implement your Revitalization Plan, you

are strongly encouraged to consult with

HUD prior to concluding that you have

demonstrated impossibility.

(g) Area of Minority Concentration.

The term ‘‘area of minority

concentration’’ is any neighborhood in

which:

(i) the percentage of households in a

particular racial or ethnic minority

group is at least 20 points higher than

the percentage for the housing market

area; i.e., the Metropolitan Statistical

Area in which the proposed housing is

to be located, or

(ii) the neighborhood’s total

percentage minority is at least 20 points

higher than the percentage for the

housing market area as a whole.

(E) Demolition Grant Application

Requirements. (1) Eligible Units.

Severely distressed public housing units

to be demolished with HOPE VI

Demolition grant funds must meet one

of the criteria in the description of

priority groups in Section VII(A)(1) of

this HOPE VI Section of the

SuperNOFA.

(2) The HOPE VI Demolition

Relocation Plan. 

(a) General. You will be required to

provide a HOPE VI Demolition

Relocation Plan in your application. It is

as important to provide relocating

families in demolition-only situations

with supportive services as it is to

provide such services in connection

with HOPE VI Revitalization grants.

(b) HOPE VI Demolition Relocation

Plan. Your HOPE VI Demolition

Relocation Plan that you include in your

application must describe how you will:

(i) provide a reasonable time between

notification and date to vacate units;

(ii) provide one-on-one move

counseling to ensure that families fully

understand the choices open to them for

alternative housing throughout the

jurisdiction and secure units in

neighborhoods of their choice;

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11927

(iii) provide self-sufficiency programs

that will help residents; acquire the

skills to live in the selected community,

sustain their new living arrangement for

the foreseeable future, and facilitate a

smooth transition from public to private

rental housing, both for relocatees and

for members of their new communities;

and (iv) ensure that Section 8 housing

complies with the Section 8

requirements regarding lead-based paint

and other hazardous materials. If

necessary, HOPE VI funds may be used

to modify Section 8 relocation units to

make them accessible for residents with

disabilities.

(c) Current Residents. In your

application, you must list the names of

each resident in occupancy as of the

date the application is submitted.

(F) Demolition Post-Award

Requirements. If you are selected for

funding, your HOPE VI Demolition

program must comply with the

following requirements:

(1) Timeliness of Demolition. (a) you

must complete the proposed demolition

within a reasonable timeframe, which is

two years from the date of Grant

Agreement execution. HUD will take

into consideration delays caused by

factors beyond your control when

enforcing this requirement or as

otherwise approved by HUD to

accommodate reasonable relocation and

demolition schedules.

(b) In accordance with section 24(i) of

the 1937 Act, if you do not proceed

within a reasonable timeframe, in the

determination of HUD, HUD shall

withdraw any grant amounts that you

have not obligated. HUD shall

redistribute any withdrawn amounts to

one or more other applicants eligible for

HOPE VI assistance or to one or more

other entities capable of proceeding

expeditiously in the same locality in

carrying out the activities of the original

Grantee.

(2) Match Requirement. In accordance

with section 24(c)(3) of the 1937 Act, if

assistance will be used only for

demolition of public housing (without

replacement), you are exempt from the

requirement to match physical

demolition activities using non-HOPE

VI funds. However, throughout the life

of the HOPE VI grant, you must partner

with other agencies to obtain goods,

services, and additional non-HOPE VI

funding to enhance the self-sufficiency

activities funded by HOPE VI, in an

amount that is at least twice the amount

of the HOPE VI grant funds received for

relocation.

V. Threshold Criteria

(A) All HOPE VI Applications. In

addition to the Compliance with Fair

Housing and Civil Rights Laws

threshold requirement listed in Section

II(B)(1) of the General Section of this

SuperNOFA, your HOPE VI application

must meet the following HOPE VI

Threshold Criteria to be considered for

funding.

(1) Eligible Applicant. You must be an

eligible PHA, as defined in Section

III(B), above, of this HOPE VI section of

the SuperNOFA. If HUD has designated

your housing authority as troubled

pursuant to section 6(j)(2) of the 1937

Act, HUD’s Troubled Agency Recovery

Centers will use documents and

information available to it to determine

whether you qualify as an eligible

applicant under Section III(B) of this

HOPE VI section of the SuperNOFA.

(2) Severe Distress. (a) The targeted

public housing project, or buildings in

a project, must be severely distressed.

(b) To meet the severe distress

requirement, you must certify that the

public housing project or building in a

project targeted in your HOPE VI

application meets the definition of

severe distress provided in Section

IV(A)(1) of this HOPE VI section of the

SuperNOFA (in accordance with section

24(j)(2) of the 1937 Act). You will make

this certification by signing the HOPE VI

Grant Applicant Certifications. The

Certifications are included in the HOPE

VI Application Kit, and the text of the

Certifications is included as Appendix

A (Revitalization) and Appendix B

(Demolition) to this HOPE VI section of

the SuperNOFA.

(c) For Revitalization applications, a

severely distressed project that has been

legally vacated or demolished (but for

which HUD has not yet provided

replacement housing assistance, other

than tenant-based assistance) must also

satisfy the requirements of paragraph (b)

above as to the condition of the site

before vacation or demolition.

(d) For Demolition applications, a

severely distressed project that has been

legally vacated (but for which HUD has

not yet provided replacement housing

assistance, other than tenant-based

assistance) must also satisfy the

requirements of paragraph (b) above as

to the condition of the site before

vacation.

(3) Appropriateness of Proposal. In

accordance with section 24(e)(2) of the

1937 Act, your application must

demonstrate the appropriateness of your

proposal in the context of the local

housing market relative to other

alternatives. Examples of inappropriate

proposals would be to rebuild on the

site and/or build off-site replacement

public housing in isolated or nonresidential areas, or propose unit types

or costs which cannot be supported by

a market analysis. Examples of how you

can demonstrate appropriateness of

your Revitalization proposal follow.

However, HUD will carry out the actual

determination on a case-by-case basis.

(a) Your application might

demonstrate appropriateness of your

proposal in terms of marketability if it

proposes the maximum range of

incomes and housing types (rental vs.

homeownership, market rate vs. public

housing, townhouse vs. detached house,

etc.) possible given local conditions.

(b) Your application might

demonstrate that the land is being used

for the highest and best use, given

market conditions and the social goals

of your agency.

(c) Your application might

demonstrate that there is a demand for

the physical development you propose,

including residential public, subsidized

and market rate units, community

facilities, and economic development

and retail structures.

(B) Revitalization Threshold Criteria.

(1) Severe Physical Distress.

(a) Your application must include the

Severe Physical Distress Certification

that the project meets the definition of

severe physical distress in Section

IV(A)(1)(a), above, of this HOPE VI

section of the SuperNOFA. The

Certification must be signed by an

engineer or architect licensed by their

state licensing board. The engineer or

architect must include his or her license

number and state of registration on the

certification. The engineer or architect

may not be an employee of the housing

authority or the city. The certification

must be signed on or before the

application deadline date, in order to

indicate the condition of the project at

the time of application submission. If

you neglect to include this certification

in your application, you will have an

opportunity to submit the certification,

but it must still be signed on or before

the application deadline date. You may

not submit a certification signed after

the deadline date in order to cure this

deficiency.

(b) A severely distressed project that

has been legally demolished (but for

which HUD has not yet provided

replacement housing assistance, other

than tenant-based assistance) must also

satisfy the requirements of paragraph (a)

above as to the condition of the site

before demolition. Your application

must include a Severe Physical Distress

Certification Form, as provided in the

HOPE VI Application Kit, signed by an

engineer or architect, that the project

met the definition of physical distress as

of the day the demolition application

approval letter was dated by HUD.

11928 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(2) Separability. (a) In accordance

with section 24(j)(2)(A)(v) of the 1937

Act, if you propose to target only

individual buildings of a project for

revitalization, you must demonstrate to

HUD’s satisfaction that the severely

distressed public housing is sufficiently

separated from the remainder of the

project of which the building is part to

make use of the building feasible for

revitalization.

(b) You must demonstrate that the site

plan and building designs of the

revitalized portion will provide

defensible space for the occupants of the

revitalized building(s) and that the

properties which remain will not have

a negative influence on the revitalized

buildings(s), either physically or

socially. Separations may include a

road, berm, catch basin, or other

recognized neighborhood distinction.

(3) Resident Training Session. (a) You

must conduct at least one training

session in accordance with the

requirements of Section IV(C)(1), above,

of this HOPE VI section of the

SuperNOFA. To demonstrate that you

have met each requirement, you must

include the following evidence in your

application:

(i) a copy of the notice of the resident

training session and a description of

how it was distributed to each affected

resident;

(ii) the agenda for the resident

training session, indicating that the

training session was held after the

publication of the FY 2001 SuperNOFA;

(iii) a copy of the first page of the

sign-in sheets, with a certification at the

bottom of the page stating the total

number of signatures collected at the

training session; and

(iv) a certification, as provided in the

HOPE VI Application Kit, that the issues

itemized in Section (IV)(C)(1)(c) of this

HOPE VI section of the SuperNOFA

were addressed at the resident training

session.

(b) The training session may take

place on the same day as one of the

public meetings as provided by Section

IV(C)(2), but it must be a separate

meeting, i.e., one session may not be

considered both a training session and

a public meeting.

(4) Public Meetings. You must

conduct at least three public meetings,

in accordance with the requirements of

Section IV(C)(2), above. To demonstrate

that you have met each requirement,

you must include the following

evidence for each meeting in your

application:

(a) The notices announcing the

meetings:

(i) Provide a copy of the notice for

each meeting as it appeared in a

commercial newspaper or journal that

serves both the public housing project

and the broader community.

(ii) HUD will use the dates of the

notices to determine whether the

following requirements were met:

(A) No more than one public meeting

that was held more than six months

before the publication of this

SuperNOFA may be counted as one of

the three required public meetings;

(B) at least two of the public meetings

must be held after the publication of

this SuperNOFA;

(C) at least one of the public meetings

must be held after the plan which will

form the basis of the application was

established.

(b) Provide a copy of the first page of

the meeting sign-in sheets for each

meeting, and a certification at the

bottom of the page stating the total

number of signatures collected.

(c) Provide a copy of the minutes of

each meeting that constitutes a

summary (not a word-for-word

transcription) of the discussion. (A onepage summary of each meeting is

suggested.) Each set of minutes must

include the notarized signature of the

person who took the minutes. Please

note that all pages of the minutes will

be counted toward your total page limit

for attachments, as provided in Section

IX(A)(2) of this HOPE VI section of the

SuperNOFA.

(d) Provide a certification, as provided

in the HOPE VI Application Kit, that,

during the course of the three meetings,

all of the issues listed in section

(IV)(C)(2)(f) of the HOPE VI section of

this SuperNOFA were addressed (i.e.,

all issues need not be addressed at each

meeting).

(5) Submission of the documentation

required for the resident training session

and the public meetings is a curable

item and is not rated. If you fail to

submit all of the required

documentation that you have conducted

the training session and all of the

required meetings, after being provided

with the opportunity to correct any

deficiencies in accordance with Section

VI(B) of this HOPE VI section of the

SuperNOFA, below, your application

will not be eligible for funding. You

may not conduct a required training

session or public meeting after the

application deadline date in order to

cure a deficiency identified by HUD.

(6) Location. In accordance with

Section II(A)(5)(b) and (c) of this HOPE

VI section of the SuperNOFA, above:

(a) if your application requests funds

for more than one project, those projects

must be immediately adjacent to one

another or within a quarter-mile of each

other. If you include more than one

project in a single application, you must

provide a map that clearly indicates that

the projects are within a quarter-mile of

each other.

(b) If your application requests funds

for a scattered site public housing

project, regardless of whether the

scattered sites are under multiple

project numbers, all of the properties

must fall within a one square mile area,

except that you may identify a larger

site if you can show that all of the

targeted scattered site units are located

within the hard edges (e.g., major

highways, railroad tracks, lakeshore,

etc.) of a neighborhood.

(C) Demolition Grant Threshold

Criteria. Each required element of a

HOPE VI Demolition grant application

is a threshold requirement. Your

application will not be eligible for

funding unless each requirement listed

in Section IX(B) of this HOPE VI section

of the SuperNOFA, below, is included

in your application. HUD will give you

the opportunity to submit any missing

information up to the application

deadline date, as provided in Section

VII(B) of this HOPE VI section of the

SuperNOFA, below.

VI. Revitalization Application Selection

Process

(A) Revitalization Grant Application

Evaluation. (1) HUD’s selection process

is designed to ensure that HOPE VI

Revitalization grants are awarded to

eligible PHAs with the most meritorious

applications and serious need.

(2) In accordance with Section

III(E)(4) of the General Section of this

SuperNOFA, in the event that HUD

commits an error that, when corrected,

would result in the selection of an

otherwise eligible applicant, HUD may

select that application for funding when

sufficient funds become available.

(3) Although Section III(B) of the

General Section of this SuperNOFA

states that only applications that meet

all threshold requirements are eligible to

be rated, HUD will rate all HOPE VI

Revitalization applications submitted by

Public Housing Authorities, regardless

of whether the applicants are eventually

deemed to be eligible applicants, in

accordance with Section III(B) of this

HOPE VI section of the SuperNOFA, or

whether the applications meet the

threshold requirements of Sections V(A)

and (B) of this HOPE VI section of the

SuperNOFA. This will be done:

(a) To provide applicants with the

most complete evaluations of their

applications as possible;

(b) To provide applicants with

technical assistance for any future

applications; and (c) Because HUD will

conduct eligibility review, threshold

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11929

review, completeness review, and rating

activities concurrently, and

determinations of threshold eligibility

are often not finalized before rating

begins.

Regardless of score, however, HUD

will not select an application for

funding that is submitted by an

ineligible applicant or that does not

meet all of the threshold requirements

of Sections V(A) and (B) above.

(B) Threshold and Completeness

Review. HUD will screen each

application to determine if it is

complete and meets the threshold

criteria in Sections V(A) and (B), above.

In accordance with Section V of the

General Section of this SuperNOFA,

after the application deadline HUD may

not consider any unsolicited

information that you may want to

provide. However, after your

application has been screened, HUD

may contact you to clarify an item in

your application or to give you an

opportunity to correct a technical

deficiency. HUD may not seek

clarification of items or responses that

improve the substantive quality of your

response to any rating factor. Examples

of curable technical deficiencies include

your failure to include a required

certification or a missing signature. If

HUD identifies a technical deficiency, it

will notify you by fax of the clarification

or deficiency. You must submit

information to cure the deficiency to

HUD within 14 calendar days from the

date of HUD notification. If the

deficiency is not corrected within this

time period, HUD will reject your

application as incomplete, and it will

not be eligible for funding. Note,

however, that in accordance with

Section VI(A)(3), above, of this HOPE VI

section of the SuperNOFA, HUD has

committed to rate each application,

regardless of its eligibility.

(C) Preliminary Rating and Ranking.

(1) Rating. HUD will preliminarily

review and rate each eligible application

on the basis of the rating factors

described in Section VI(G) of this HOPE

VI section of the SuperNOFA, below,

and assign a score to each application.

(2) Ranking. After preliminary review,

applications will be ranked in score

order. Applications will be deemed

‘‘competitive’’ if they have a

preliminary score above a base score

that encompasses all applications that

represent approximately twice the

amount of funds available.

(D) Final Panel Review. A Final

Review Panel will:

(1) Assess each competitive

application;

(2) Assign the final scores; and

(3) Recommend for funding the most

highly-rated eligible applications, up to

the amount of available funding, in

accordance with the allocation of funds

described in section II(A)(1) of this

HOPE VI section of the SuperNOFA.

(4) HUD reserves the right to make

adjustments to funding in accordance

with Section III(E) of the General

Section of this SuperNOFA.

(5) In accordance with the FY 2001

HOPE VI appropriation (Title II of Pub.

Law 106–377), HUD may not use HOPE

VI funds to grant competitive advantage

in awards to settle litigation or pay

judgments.

(E) Tie Scores. If two or more

applications within any of the funding

categories listed in section II(A)(1)

above have the same score and there are

insufficient funds to select all of them,

HUD will select for funding the

application(s) with the highest score for

Rating Factor 3, Soundness of

Approach. If a tie still remains, HUD

will select for funding the application(s)

with the highest score for the Rating

Factor 2, Need. HUD will select further

tied applications on the basis of their

scores in Capacity, Leveraging

Resources, and Comprehensiveness and

Coordination rating factors, in that

order.

(F) Transfer to Demolition Grants. If

funds remain after all eligible HOPE VI

Revitalization grant applications are

funded, or if the amount remaining is

inadequate to feasibly fund the next

eligible Revitalization application, HUD

reserves the right to:

(1) reallocate unused funds to fund or

supplement the next eligible HOPE VI

Demolition grant application(s), in

Priority and Ordinal order, and/or

(2) carry over unused funds to the

next fiscal year.

(G) Revitalization Application Rating

Factors. The following are the factors

HUD will use to rate and rank your

HOPE VI Revitalization application and

the maximum points for each factor.

The maximum number of points for

each Revitalization application is 102,

which includes two Empowerment

Zone/Enterprise Community (EZ/EC)

bonus points, as described in Section

III(C)(1) of the General Section of this

SuperNOFA.

Rating Factor 1: Capacity (20 Points)

This factor measures the capability

and record of you and the members of

your Team to carry out the revitalization

activities proposed in your application.

The term ‘‘your Team’’ includes the

HOPE VI Coordinator and PHA staff,

developers, program managers, property

managers, subcontractors, consultants,

and any other public and private

entities identified and/or proposed to

carry out program activities. You and

your Team will be rated on your

capacity to manage large-scale

redevelopment or modernization

projects, manage effective community

and supportive service programs, and

manage private and/or public housing.

For each major aspect of the

revitalization effort (physical

redevelopment, CSS activities, and

property management), HUD will

evaluate the extent to which you have

(or will have) the capacity to carry out

the work yourself and/or select and

manage appropriate members of your

Team. HUD will award the most points

to applications that demonstrate the

highest degree of capacity to implement

activities in a timely manner upon grant

award, whether the capacity is within

the PHA or by members of your Team

with overall management by the PHA.

HUD does not require you to select a

developer and/or program manager, if

any, prior to submission of your

application, although you may choose to

do so. Rather, HUD will evaluate your

current capacity to implement large

scale revitalization; and/or your ability

to identify needs in your current staffing

and fill such gaps internally or

externally in a timely manner in order

to successfully implement your

proposed program; and/or your

proposed method and criteria for

securing a program manager and/or

development partner to implement your

plan; and your current or planned

capacity to manage such entity(ies). If

you are selected for funding, HUD may

require you to use an outside entity as

directed by HUD to carry out the

revitalization activities.

(1) Physical Redevelopment Capacity

and Experience: 7 Points.

(a) You will receive 5 to 7 points if:

(i) Your development team, including

the developer, program manager (if any),

financial consultant (if any) attorneys,

etc., is in place and you have identified

staff capacity needs which you are

prepared to fill promptly upon award.

You must demonstrate, using specific

data or other documentation, where

applicable, that your Team has

extensive knowledge and recent,

successful experience and capacity in

planning, implementing, and managing

previous large scale revitalization

activities, including physical

development, financing, leveraging, and

partnership activities. You must

document the experience of each

relevant member of your Team. If tax

credits are proposed, you must

document the tax credit experience of

each relevant member of your Team.

11930 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(ii) If you have not yet procured

member(s) of your Team to plan,

implement, and manage the

revitalization activities, including

physical development, financing,

leveraging, and partnership activities,

you have a feasible plan for securing

such an entity in a timely manner and

your description of what you will

include in the Request For Proposal

(RFP) or Request for Qualifications

(RFQ), as appropriate, to secure such

team members is well articulated and

will result in the selection of a highly

capable Team.

(iii) If you were awarded a HOPE VI

grant(s) previously, you have

demonstrated that the progress of

activities is on schedule and you have

the capacity to manage an additional

HOPE VI revitalization project. HUD

will evaluate the current status of

development, and your explanation of

any delays in implementation of your

HOPE VI grant(s), including planning or

construction delays. HUD will use

information on file to verify any

information you provide regarding

current HOPE VI grant status.

(iv) You have demonstrated that

implementation of your plan can begin

immediately after grant award.

(v) You do not have any outstanding

capital program audit findings.

(b) You will receive 1 to 4 points if

you describe and demonstrate that your

Team has some knowledge, experience,

and capacity to plan, implement, and

manage large scale revitalization, or

your method and criteria for selecting

members of your team is good. Your

current HOPE VI activity is mostly on

schedule, and you have the ability to

begin implementing your plan with

minor adjustments and additional

planning after grant award.

(c) You will receive 0 points if:

(i) you cannot describe and

demonstrate that you can procure a

qualified development team;

(ii) your current HOPE VI grant is

behind schedule;

(iii) you do not demonstrate your

ability to implement your plan quickly

upon grant award; or

(iv) there is not enough information in

your application to enable HUD to rate

this factor.

(2) Community and Supportive

Services (CSS) Capacity and Experience:

5 Points.

(a) You will receive 4 to 5 points if

you demonstrate, using specific data or

other documentation, where applicable,

that:

(i) You have recent, successful

experience in planning, implementing,

and managing the types of CSS activities

proposed in your application;

(ii) You have procured a member(s) of

your Team who has the qualifications

and experience to manage and

coordinate the activities in your CSS

Workplan, and/or you have a plan for

promptly hiring staff or procuring a

Team member to do so;

(iii) You have strong relationships and

commitments from members of your

team which will enable you to carry out

the activities in your CSS Workplan.

Your Team members represent a wide

variety of organizations, including

TANF and Workforce Development

Agencies, that have excellent experience

providing the kinds of activities

proposed.

(b) You will receive 2 to 3 points if

you have demonstrated and

documented limited experience and

capacity on the part of your Team in the

above elements (paragraphs (a)(i)

through (a)(iii) above).

(c) You will receive 1 point if you

have demonstrated minimal experience

and capacity on the part of your Team

in the above elements (paragraphs (a)(i)

through (a)(iii) above).

(d) You will receive 0 points if:

(i) you demonstrate no experience or

capacity on the part of your Team in the

above elements, or

(ii) there is not enough information in

your application to enable HUD to rate

this factor.

(3) Property Management Capacity

and Experience: 4 Points. Property

management activities may be the

responsibility of the PHA, or a member

of the Team. You may also procure a

separate entity to carry out property

management activities.

(a) You will receive 3 to 4 points if

you demonstrate that you and/or the

property management member of your

Team currently has excellent knowledge

and recent, successful experience in

property management of market rate,

affordable and/or public housing. If you

will procure outside property

management expertise, you have

demonstrated outstanding capacity to

secure a Team member with excellent

experience by thoroughly describing the

qualifications you will include in the

RFP to procure such services. In

demonstrating your Team’s current

property management experience or

your capacity to procure a team member

with excellent experience, you must

address the following elements:

(i) Property maintenance

(ii) Rent collection

(iii) MTCS reporting

(iv) Site-based management experience

(v) Tenant grievances

(vi) Evictions

(vii) Occupancy rate

(viii) Unit turnaround

(ix) Preventive maintenance

(x) Work order completion

(xi) Project-based budgeting

(b) You will receive 1 to 2 points if

you demonstrate that you or the

management member of your Team

currently have moderate management

capacity with respect to the above

elements. If you will seek outside

property management expertise, the

qualifications you describe in the RFP to

procure such services are likely to result

in the procurement of an entity with

moderate management capacity with

respect to the above elements.

(c) You will receive 0 points if:

(i) you demonstrate that you or the

management member of your Team

currently has little management

capacity with respect to the above

elements, or

(ii) the qualifications you describe to

procure a management team are

unlikely to result in the procurement of

an entity with moderate management

capacity with respect to the above

elements, or

(iii) there is not enough information

in your application to enable HUD to

rate this factor.

(4) Diversity of Team: 1 Point. You

will receive 1 point if you clearly

articulate an achievable plan for

including minority(ies), women, and/or

individuals with disabilities on your

Team who will be involved in planning,

development, and management of the

HOPE VI revitalization effort. HUD

encourages cost-effective joint ventures

to provide opportunities for such

diverse firms, individuals, and/or

employees. HUD has entered into a

Cooperative Agreement with the

National Organization of AfricanAmericans in Housing to reach out and

identify minority professionals

(developers, program managers, lenders,

accountants, attorneys, etc.) who are

interested in participating in the HOPE

VI Program. More information about

NOAAH can be found on their website

(www.noaah.org).

(5) Obligation of Capital Funds: 3

Points. HUD will evaluate the extent to

which you have obligated Capital Fund

amounts (including the Comprehensive

Improvement Assistance Program

(CIAP) or Comprehensive Grant Program

(CGP) in a timely manner.

(a) You will receive 3 points if you

have obligated at least 90 percent of

your FY 1997–1999 Capital Fund

amounts by the quarter ending before

the Revitalization grant application

deadline date. HUD will use the LOCCS

disbursement system as of the quarter

ending before the grant application

deadline date to verify your obligation

rate.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11931

(b) You will receive 2 points if you

have obligated between 70 and 89

percent of your 1997–1999 Capital Fund

amounts.

(c) You will receive 1 point if you

have obligated between 50 and 69

percent of your 1997–1999 Capital Grant

amounts.

(d) You will receive 0 points if:

(i) you have obligated less than 50

percent of your 1997–1999 Capital Grant

amounts, or

(ii) there is not enough information in

your application to enable HUD to rate

this factor.

Rating Factor 2: Need (20 Points)

This factor addresses the extent of the

need for the revitalization program; the

potential impact of the proposed

revitalization on the surrounding

neighborhood, the need for funding

under the HOPE VI program, the

identification of need in the community,

and the need for affordable housing in

the community.

(1) Need for Revitalization: 7 Points.

All applicants must certify that the

public housing targeted for

revitalization is severely distressed, in

accordance with Section V(A)(2) of this

HOPE VI section of the SuperNOFA,

above. For this rating factor, HUD will

evaluate the extent of the severe distress

of the targeted units and the urgency of

addressing the severe distress. HUD will

evaluate your description and

documentation of the severity of the

physical distress in terms of the

deficiencies listed below. If the targeted

units have already been demolished,

HUD will evaluate your description of

the condition of the site before

demolition.

(a) You will receive 6 or 7 points if

you demonstrate the need for

revitalization due to conditions which

present an immediate threat to the

health or safety of the residents, as

indicated by the following criteria:

(i) There are major structural and

system deficiencies in its infrastructure,

roofs, electrical, plumbing, and

mechanical systems, lead based paint,

settlement, and other deficiencies in

Housing Quality Standards;

(ii) There are major site deficiencies,

including poor soil conditions,

inadequate drainage, deteriorated

laterals and sewers, and inappropriate

topography;

(iii) There are major design

deficiencies, including inappropriately

high population density, room, and/or

unit size and configurations; isolation;

indefensible space; inaccessibility for

persons with disabilities with regard to

individual units, entrance ways, and/or

common areas; and

(iv) There are major building and/or

site conditions, such as extreme levels

of lead-based paint and/or asbestos, that

make the site or a portion of the site and

its housing structures unsuitable for

residential use.

(b) You will receive 3 to 5 points if

you demonstrate the need for

revitalization with regard to criteria

listed above in paragraph (a), but

conditions do not present an immediate

threat to the health or safety of the

residents.

(c) You will receive 0 points if there

is not enough information in your

application to enable HUD to rate this

factor.

(2) Impact on Neighborhood: 7 Points.

HUD will evaluate the extent to which

the severely distressed public housing is

a significant contributing factor to the

physical decline of, and disinvestment

by public and private entities in the

surrounding neighborhood. HUD will

also evaluate the extent to which the

proposed revitalization through HOPE

VI, including retail, office, and other

economic development, as appropriate,

will enhance the neighborhood in

which the project is located and

enhance economic opportunities for

residents. In making this determination,

HUD will evaluate your narrative, crime

statistics, photographs or renderings,

socio-economic data, trends in property

values, evidence of property

deterioration and abandonment,

evidence of underutilization of

surrounding properties, and other

indications of neighborhood distress

and/or disinvestment that you provide

in your application to demonstrate your

case.

(a) You will receive 4 to 6 points if

you demonstrate that revitalization of

the severely distressed project with

HOPE VI funds will significantly

improve the overall health of the

neighborhood and spur outside

investment into the surrounding

community.

(b) You will receive 1 to 3 points if

you demonstrate that revitalization of

the severely distressed project with

HOPE VI funds will improve the overall

health of the neighborhood and

community immediately surrounding

the revitalized site, but will have only

limited likelihood of spurring

significant neighborhood revitalization

activities or slowing the rate of decline

in the greater neighborhood and

community.

(c) You will receive 0 points if you:

(i) demonstrate that revitalization of

the severely distressed project will have

only a minor impact on the surrounding

neighborhood and community; or,

(ii) based on the data submitted, HUD

determines that the proposed project

and/or the surrounding neighborhood is

so severely deteriorated that even if the

public housing site is revitalized, it will

neither stop the decline nor have any

impact on the surrounding

neighborhood and community; or

(iii) there is not enough information

in your application to enable HUD to

rate this factor.

(3) Need for Funding: 3 Points. HUD

will evaluate the extent to which you

could undertake the proposed

revitalization activities without a HOPE

VI grant. HUD will use data from the

latest quarterly obligation report

available at the time of the grant

application deadline date to confirm the

amount of unobligated FY 1998–2000

Capital Grant (including CIAP and CGP)

funds currently available that could be

used to carry out the proposed

revitalization activities.

(a) You will receive 3 points if your

unobligated Capital Funds balance is up

to 25 percent of the amount of HOPE VI

funds requested.

(b) You will receive 2 points if your

unobligated balance is 26–50 percent of

the amount of HOPE VI funds requested.

(c) You will receive 1 point if your

unobligated balance is 51–75 percent of

the amount of HOPE VI funds requested.

(d) You will receive 0 points if:

(i) your unobligated balance is 76 to

100 percent or greater than the amount

of HOPE VI funds requested, or

(ii) there is not enough information in

your application to enable HUD to rate

this factor.

(4) Need for Affordable Housing in the

Community: 3 Points. HUD will

evaluate the extent to which you have

demonstrated that there is a need for

affordable housing in the community,

and there is an inadequate supply of

other affordable housing available to

accommodate families receiving tenantbased assistance under Section 8.

(a) You will receive 2 to 3 points if

you have:

(i) Documented the need for

affordable housing in the community

with statistics and analyses contained in

a data source(s) that is sound and

reliable, including information on

market rental costs as compared to

Section 8 fair market rents (FMRs); and

(ii) Provided a thorough analysis that

demonstrates that the supply of other

affordable housing is inadequate to

accommodate families that would be

displaced if the targeted severely

distressed project was demolished and

not replaced. Your analysis must be

documented by a comparison of the

number of Section 8-eligible rental

apartment listings in a newspaper of

11932 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

general circulation in the community

over the most recent complete month

prior to the Revitalization grant

application deadline date compared to

the number of units needed if the site

were to be demolished and residents

relocated within the community.

(b) You will receive 1 point if your

analysis is less than thorough but

nevertheless demonstrates a general

need for affordable housing in the

community.

(c) You will receive 0 points if:

(i) your analysis fails to show a need

for affordable housing in the

community, or

(ii) there is not enough information in

your application to enable HUD to rate

this factor.

Rating Factor 3: Soundness of

Approach (40 Points)

HUD is seeking Revitalization Plans

that are innovative, locally appropriate,

and address the unique needs of

residents, the community, and the city

as a whole. This rating factor evaluates

the quality of the main components of

your Revitalization Plan, including the

proposed design, feasibility of activities,

efforts to lessen concentration,

relocation plan, CSS Workplan, efforts

to reach out to residents and members

of the community, proposed

management principles and policies,

plans to evaluate your HOPE VI

activities, and your efforts to

affirmatively further fair housing.

(1) Overall Quality of Plan: 5 Points.

HUD will evaluate your entire

application to rate this factor.

(a) You will receive up to 5 points if

you demonstrate that all aspects of your

plan, including your physical, social,

and economic approach, are the most

appropriate possible given your local

conditions, constraints, and

opportunities, i.e. your application

demonstrates excellence in each of the

following elements:

(i) Design and planning;

(ii) Cost effectiveness of proposed

revitalization activities;

(iii) Appropriateness in the context of

the immediate neighborhood and the

broader community;

(iv) Integration of physical and social

aspects of your strategy;

(v) Appropriateness in the context of

local housing markets. You must

demonstrate that the income mix is as

great as possible given local conditions.

Typically, HUD has found that a mix of

one-third public housing, one-third tax

credit or other subsidized housing, and

one-third market rate rental or

homeownership housing is a good

balance. However, each situation is

unique and should be treated as such.

For example, in a situation where the

surrounding community is middle or

high income, it might be appropriate to

have a greater number of units of public

and/or subsidized housing to assure

housing opportunities for low-income

people. If so, indicate that the on-site

income mix is more heavily weighted to

low-income residents, and that,

combined with the higher incomes of

off-site residents, the income mix is

appropriate. If you cannot achieve

development of housing that is onethird public housing, one-third tax

credit or other subsidized housing, and

one-third market rate or homeownership

housing, explain why the alternate mix

of units you propose is appropriate in

the context of your local housing

market.

(vi) The likelihood that a HOPE VI

grant will result in a revitalized site that

will enhance the neighborhood in

which the project is located and

enhance economic opportunities for

residents.

(b) You will receive up to 3 points if

your plan has serious flaws in one of the

above elements.

(c) You will receive 0 points if:

(i) your plan has flaws in more than

one of the above elements, or

(ii) there is not enough information in

your application to enable HUD to rate

this factor.

(2) Design: 3 Points. HUD is seeking

excellence in design. We urge you to

carefully select your architects and/or

planners, and to enlist local affiliates of

national architectural and planning

organizations such as the American

Institute of Architects, the American

Society of Landscape Architects, the

American Planning Association, the

Congress for the New Urbanism, and/or

the departments of architecture at a

local college or university to assist you

in assessing qualifications of design

professionals and/or participating on a

selection panel that results in the

procurement of excellent design

services. HUD encourages you to select

a design team(s) that is committed to a

participatory design process through

charettes, whereby residents, including

young people and seniors, the broader

community, and other stakeholders

such as disability advocates, are actively

involved in designing the new

community.

Your proposed site plan, new units,

and other buildings must be designed to

be compatible with and enrich the

surrounding neighborhood and promote

mixed-income, mixed-use communities.

Local architecture and design elements

and amenities should be incorporated

into the new or rehabilitated homes so

that the revitalized sites and structures

will blend into the broader community

and appeal to the market segments for

which they are intended. Housing,

community facilities, and economic

development space must be well

integrated. You must select members of

your Team who have the ability to meet

these requirements, and/or demonstrate

that you have the capacity to secure

such Team members.

HUD encourages you to propose

enhancements to the natural

environment such as tree and shrub

planting to address natural resource

issues such as erosion, stormwater

management, and water quality that will

result in physical improvements to the

site; convert public open space now

devoid of green vegetation to a natural,

inviting, and more livable environment;

encourage bike paths and other

environmental and recreational

enhancements; and plan for the

sustainability of such resources after the

revitalization activities are completed.

Through an MOU between the

Department of Agriculture and HUD,

technical assistance to develop a natural

resource stewardship program is

available to public housing authorities.

See Section VI(C) of the General Section

of the SuperNOFA for more information

on Urban Forestry. Further information

can be found on the Forest Service

website (www.fs.fed/us/research/rvur/

urban/urbanforestry/urbanforest.htm).

(a) You will receive 3 points if your

proposed site plan, new units, and

buildings demonstrate that:

(i) Your proposed plan incorporates

design elements and amenities into the

revitalized homes that will enable them

to blend into and enrich the

neighborhood and appeal to intended

market segments;

(ii) Your proposed housing,

community facilities, and economic

development space are thoroughly

integrated into the community; and

(iii) Your plan proposes extensive and

appropriate enhancements of the natural

environment.

(b) You will receive 2 points if your

proposed site plan, new units, and

buildings demonstrate design that

adequately addresses the elements

above.

(c) You will receive 1 point if your

proposed design addresses the above

elements in only a perfunctory manner.

(d) You will receive 0 points if:

(i) your proposed design does not

address the above elements, or

(ii) there is not enough information in

your application to enable HUD to rate

this factor.

(3) Feasibility of Plan: 4 Points. In

awarding points under this rating factor,

HUD will consider the following:

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11933

(a) Income and Unit Mix. You will

receive 1 point if you demonstrate that

the range of incomes to be served in the

revitalized community and the mix of

unit types is as great as possible given

the location and other local market and

community factors.

(b) Market. You will receive 1 point

if you demonstrate that there is a market

for the revitalized and/or replacement

units of the type, number, and size

proposed in the location you have

chosen.

(i) Your demonstration of the market

for non-public housing units must be

based on a preliminary market

assessment letter prepared by an

independent, third party, credentialed

market resource firm or professional.

(ii) Your demonstration of the need

for public housing units will be based

on the number and percentage of

existing families on site that are

projected to return and the number of

families on your public housing and

Section 8 waiting list(s).

(c) Hard and Soft Development Costs.

You will receive 1 point if:

(i) Your projected hard development

costs are realistic, developed through

the use of technically competent

methodologies, including cost

estimating services, and are comparable

to industry standards for the kind of

construction to be performed in the

proposed geographic area;

(ii) Your cost estimates represent an

economically viable preliminary plan

for designing, planning and carrying out

your proposed activities in accordance

with local costs of labor, materials, and

services; and

(iii) Your projected soft costs

(developer’s fees, PHA administration

costs, legal fees, program manager’s fees,

consultants’ fees, etc.) are justified,

comparable to industry standards, and

you have demonstrated how you will

control such costs. HUD is particularly

concerned that soft costs be minimized

and will review carefully the proposed

soft cost structure.

(d) Coherence and Consistency. You

will receive 1 point if the information

and strategies described in your

application are coherent and internally

consistent, particularly the data

provided for types and numbers of

units, budgets and other financial

estimates, and other numerical

information. It is critical that you

carefully review all numbers for unit

mix, costs, etc. to make sure that all

numbers are consistent throughout the

application. HUD will make this

determination based on your entire

application.

(4) Lessen Concentration: 3 Points.

This factor addresses how the activities

you propose are designed to lessen

concentration of low-income

households, create opportunities for

desegregation and accessibility, and

offer viable housing choices to

displaced residents. In awarding points

under this rating factor, HUD will

consider the following:

(a) On-site housing. You will receive

1 point if your proposed unit mix (i.e.,

rental vs. homeownership, public

housing, market, and subsidized units)

will significantly reduce the isolation

and/or concentration of low-income

residents and/or significantly achieve a

mixed-income, well functioning

community on the revitalized site.

(b) Off-site housing. Although not

required, the development of off-site

housing is desirable to lessen the

concentration of low-income residents

on site, while maximizing the overall

number of replacement units. You will

receive 1 point if you intend to develop

off-site housing that will lessen the

concentration of low-income residents

on-site and create opportunities for

desegregated, mixed-income

communities by locating such off-site

housing in neighborhoods with low

levels of poverty and/or low

concentrations of minorities. You are

encouraged to maximize off-site hard

units as replacement housing and to

locate such units such that they do not

cause an over-concentration of lowincome housing. You do not have to

identify the precise location of off-site

units in your application to receive full

points for this subfactor, but you must

identify the types of neighborhoods

where such housing will be planned

and demonstrate the feasibility of such

off-site development (i.e., land is

available at an economically feasible

price, community acceptance is likely,

etc.).

(c) Access to Services. You will

receive 1 point if, for both on-site and

any off-site units, your overall plan will

result in increased access to municipal

services, jobs, mentoring opportunities,

transportation, and educational

facilities; i.e., the physical plan and selfsufficiency strategy are well integrated

and strong linkages will be established

with the appropriate Federal and state

and local agencies, non-profits, and the

private sector to achieve such access.

(5) Relocation and Section 8: 5 Points.

HUD encourages one-for-one

replacement of demolished units, using

a combination of hard units and Section

8 assistance. In order to receive any

points for this rating factor, you must

propose to use Section 8 assistance as a

means of temporary and/or permanent

relocation of families currently living in

the targeted units so that families will

have the full range of housing options

available to them. To receive points, you

must go beyond the requirements of the

Uniform Relocation Act and propose a

comprehensive, results-based HOPE VI

Relocation Plan in which residents are

actively involved. Your plan must

conform with the requirements of the

HOPE VI relocation guidance as

provided by HUD. In awarding points

under this rating factor, HUD will

consider the following:

(a) Relocation Support. You will

receive up to 2 points if you

demonstrate to HUD’s satisfaction your

team’s plan and capacity to effectively

implement each of the following

elements of relocation support:

(i) Provide counseling to residents

who choose Section 8 assistance that

will help them to fully understand the

full range of housing opportunities

available to them in neighborhoods

throughout the jurisdiction and to find

housing in non-poverty areas;

(ii) Conduct programs designed to

prepare residents for the transition to

private rental housing, including oneon-one move counseling and life skills

training, so that they may sustain their

new living arrangement for the

foreseeable future; and

(iii) If necessary, propose to use HOPE

VI or other funds to modify Section 8

relocation units to make them accessible

for residents with disabilities.

(b) Community Outreach. You will

receive 1 point if you demonstrate that

you have an effective plan to involve

faith-based, non-profit and/or other

organizations and/or individuals in the

community to which relocatees choose

to move, in order to ease the transition

and minimize the impact on the

neighborhood. You must also describe

an effective plan for working with

surrounding jurisdictions to assure a

smooth transition if residents choose to

move from your jurisdiction to the

surrounding area. HUD will view

favorably innovative programs such as

community mentors, support groups,

and the like.

(c) Self-sufficiency. You will receive 1

point if you demonstrate that your Team

has both the capacity and an effective

plan to provide results-based

community and supportive service

program support to Section 8 relocatees

to achieve and maintain their selfsufficiency.

(d) Tracking. You will receive 1 point

if you demonstrate that your Team has

both the capacity and an effective plan

for implementing a tracking system that

will enable you and/or your CSS Team

members to identify and track relocatees

from the site to be revitalized and make

11934 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

regular follow-up services available to

families receiving Section 8 assistance.

(6) Community and Supportive

Services: 4 Points. This factor evaluates

the quality of your proposed CSS

Workplan as described in your

application. It is important that you

review Section IV(C)(3)(c) of this HOPE

VI section of the SuperNOFA for a

detailed description of the requirements

of a CSS Workplan, and Section

IV(C)(3)(d) for a list of possible CSS

activities. You are encouraged to go

beyond these lists and propose CSS

activities that break new ground by

responding to unique needs in your

community and/or which may serve as

a national model for self-sufficiency and

educational achievement.

(a) You will receive 4 points if:

(i) You propose a high-quality,

results-oriented CSS Workplan that

includes strong components of the basic

elements of education, job training, and

services that will enable all affected

residents to transform their lives;

(ii) The CSS Workplan is well

coordinated with strong, experienced

service providers;

(iii) The CSS Workplan was

developed using an effective needs

assessment; and

(iv) Mechanisms are in place to

effectively measure the goals of the CSS

Component and evaluate its success.

(b) You will receive 2 to 3 points if

your CSS Workplan has a flaw in one

of the elements listed in paragraphs (i)

through (iv) above.

(c) You will receive 1 point if your

CSS Workplan has a flaw in more than

one of the elements listed in (a)(i)

through (iv) above.

(d) You will receive 0 points if:

(i) you merely repeat information

from the NOFA, or

(ii) there is not enough information in

your application to enable HUD to rate

this factor.

(7) Apprenticeship Program: 2 Points.

As described Section VI(I) of the

General Section, Bridging the Gap is a

program in which HUD encourages you

to assist public housing residents in

obtaining construction apprenticeships.

This will involve working with the local

unions to provide entry level

apprenticeships in construction,

construction-related, and maintenance

activities.

(a) You will receive 2 points if you

propose to implement a program that

offers apprenticeships to residents or

relocated residents of the targeted

development. You must identify the

union(s) you will work with and the

number and types of jobs for which

apprenticeships can be obtained.

(b) You will receive 0 points if:

(i) your program does not propose to

assist residents in obtaining

construction, construction-related, or

maintenance-related apprenticeships, or

(ii) there is not enough information in

your application to enable HUD to rate

this factor.

(8) Resident and Community

Outreach and Involvement: 4 Points. In

addition to the Threshold requirement

for a resident training session and three

public meetings provided in Section

V(B)(3) and (4) of this HOPE VI section

of the SuperNOFA, above, this rating

subfactor evaluates the extent of

involvement of residents and the

broader community in the planning,

proposed implementation, and

management of your Revitalization Plan.

HUD will evaluate the nature, extent,

and quality of the resident and

community outreach and involvement

you have achieved by the time your

application is submitted, as well as your

plans for continued and/or additional

outreach and involvement. HUD will

evaluate your efforts to include affected

residents and members of the

surrounding community in the

planning, implementation, and

management of your proposed

revitalization activities. In awarding

points under this factor, HUD will

consider the following:

(a) Collaboration and Inclusiveness.

You will receive 1 point if you

demonstrate that you have:

(i) communicated regularly and

significantly with affected residents and

members of the surrounding community

about your application;

(ii) Provided affected residents with

substantive opportunities to participate

in the development of the Revitalization

Plan, including seniors and young

people aged 16 to 21;

(iii) Included other interested parties,

especially members of the surrounding

community, in the development of your

plans and application;

(iv) Developed specific plans for

continued involvement and

participation of residents and the

broader community in the planning and

implementation of revitalization

activities if your application is

successful; and

(v) consulted with any duly elected

resident organization (resident council

or resident management corporation) in

the development of your Revitalization

Plan.

(b) Logistics. You will receive 1 point

if you demonstrate that you have:

(i) Scheduled training session(s) and

public meetings with affected residents

and other interested parties during the

development of your application at

frequent and convenient times, over and

above the requirements of Section

IV(C)(1) and (2) of this HOPE VI section

of the SuperNOFA, above;

(ii) Announced meetings in ways that

are in addition to the requirements of

Section IV(C)(1)(d) and (2)(b), above,

designed to generate the most

participation. Methods of announcing

upcoming meetings include, but are not

limited to:

(A) Hand distributing flyers to

residences and in locations likely to

attract notice; and

(B) Posting meeting information in

adequate time to allow residents and

other interested parties to plan to

attend.

(iii) Provided services needed to

maximize participation, including day

care, translators, sign language

interpreters, and transportation to and

from the meetings. If such services are

not needed, explain why they are not.

(iv) Ensured that all meetings are held

in facilities that are accessible to

persons with disabilities.

(c) Communication. You will receive

1 point if you demonstrate that you have

communicated effectively with affected

residents and members of the

surrounding community by:

(i) Providing reasonable training and

technical assistance on the HOPE VI

development process and general

principles of development to affected

residents, in order to enable them to

participate meaningfully in the

development of your application, and

developing plans to provide further

training and technical assistance if your

application is successful;

(ii) Providing information to and

receiving input from affected residents

and other interested parties about your

planned revitalization;

(iii) Incorporating input and

recommendations of interested parties,

especially affected residents, to the

extent possible, into your application;

(iv) Generating support for your

application among interested parties;

(v) Providing status reports on the

development of your application to

residents; and

(vi) Providing that appropriate HUD

communications are made available to

affected residents and the broader

community (i.e., a copy of the NOFA,

notification of any HUD video

conferences regarding the NOFA,

computer access to the HUD website,

etc.)

(d) Dissention. You will receive 1

point if you have acknowledged and

attempted to address any dissenting

viewpoints among affected residents

and other interested parties, as

expressed by letters of dissent.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11935

(i) If there has been no opposition to

your plan, you will automatically earn

this point.

(ii) Where there is resident or

community opposition to the plan, HUD

will evaluate your analysis of the

reasons for and extent of the opposition,

and your current and proposed plans for

dealing with the opposition.

(iii) In order to give you the

opportunity to respond to any letters of

dissent, HUD will only consider copies

of letters of dissent that are received by

HUD at least ten days before the

Revitalization grant application

deadline date. To ensure that you have

received each letter of dissent that is

sent to HUD, letters of dissent must be

sent to you by return receipt, and must

include a copy of the return receipt

acknowledgement demonstrating that

you have received the letter. The sole

purpose of this provision is to allow

HUD to evaluate your response to the

dissent expressed in such letters, and is

for application rating purposes only;

HUD will not respond directly to

dissent letters. The ten day deadline is

also for application rating purposes

only, and does not preclude residents,

members of the community, or any

other interested party from registering

dissenting opinions with you after the

deadline has passed.

(iv) You will not earn this point if

HUD receives a properly documented

copy of a letter of dissent that has been

sent to you and you have not

acknowledged and attempted to address

the dissenting viewpoints in your

application.

(9) Operation and Management

Principles and Policies: 3 Points. Any

HOPE VI-funded activities at public

housing projects are subject to statutory

requirements applicable to public

housing projects under the 1937 Act,

other statutes, and the Annual

Contributions Contract (ACC). Within

such restrictions, HUD seeks innovative

solutions to the long-standing problems

of severely distressed public housing

projects. You may request, for the

revitalized development, a waiver of

HUD regulations (that are not statutory

requirements) governing rents, income

eligibility, or other areas of public

housing management that will permit

you to undertake measures that enhance

the long-term viability of a development

revitalized under this program. HUD

will assess each request to determine

whether good cause is established to

grant the waiver.

(a) You will receive 3 points if you

demonstrate that your Team has an

effective plan to carry out each of the

following 10 elements of the ‘‘SelfSufficiency and Economic Diversity’’

and ‘‘Safety and Security’’ categories

listed below. You must adequately

address every element in order to earn

full points for this factor.

(b) You will receive 2 points if you

demonstrate that your Team has an

effective plan to carry out at least 7 of

the 10 elements listed below, which

must include elements 1—3 of the ‘‘SelfSufficiency and Economic Diversity’’

category.

(c) You will receive 1 point if you

demonstrate that your Team has an

effective plan to carry out at least 5 of

the 10 elements.

(d) You will receive 0 points if you

demonstrate that:

(i) Your Team has an effective plan to

carry out fewer than 5 elements; or

(ii) The operation and management

principles you propose to implement at

the revitalization site, regardless of the

number of elements you propose to

implement, are not likely to result in

improved management; or

(iii) There is not enough information

in your application to enable HUD to

rate this factor.

Self-Sufficiency and Economic

Diversity. You must propose operation

and management principles and policies

to be applied to on- and/or off-site

public housing that will encourage

residents to move in, move up, and

move on. Such principles and policies

must:

1. Reward work and promote family

stability by promoting positive

incentives such as income disregards

and ceiling rents;

2. Promote economically and

demographically diverse living patterns,

e.g., inclusion of persons of different

races/ethnic groups, families with or

without children, persons with

disabilities and able-bodied persons,

and the elderly, by:

—Instituting a system of local

preferences adopted in response to

local housing needs and priorities,

e.g., preferences for victims of

domestic violence, residency

preferences, disaster victims;

—Aggressively pursuing affirmative

marketing which attracts individuals

with a broad spectrum of incomes and

attracts all segments of the eligible

population to the project on a

nondiscriminatory basis; and

—Reaching out to persons with

disabilities;

3. Encourage self-sufficiency by

including lease requirements that

promote involvement in the resident

association, performance of community

service, participation in self-sufficiency

activities, and transition from public

housing;

4. Complement self-sufficiency

activities by creating a revitalized

development occupied by residents

with a range of incomes;

5. Create strong, stable, well-run

developments by implementing sitebased waiting lists for the redeveloped

public housing and/or following projectbased management principles.

Safety and Security. You must

demonstrate that your proposed

operation and management principles

and policies will provide greater safety

and security for residents and the

community. Such principles and

policies must include the following

activities:

6. Institute strict applicant screening

requirements such as credit checks,

references, home visits, and criminal

records checks;

7. Strictly enforce lease and eviction

provisions;

8. Enhance on-going efforts to

eliminate drugs and crime from

neighborhoods through collaborative

efforts with local law enforcement

agencies, the local United States

Attorney, and Federal, state, and local

crime prevention programs, and

implement program policy efforts such

as ‘‘One Strike and You’re Out,’’ the

‘‘Officer Next Door’’ initiative, the

Department of Justice’s ‘‘Weed and

Seed’’ Program task force (if the targeted

project is located in a designated Weed

and Seed area); HUD’s ‘‘Operation Safe

Home’’ Program; and/or HUD’s Drug

Elimination Programs;

9. Improve the safety and security of

residents through the implementation of

defensible space principles, anti-crime

measures, and the installation of

physical security systems such as

surveillance equipment, control

engineering systems, etc.;

10. Improve the safety of children by

promoting the principles of Healthy

Homes. Healthy Homes activities are

described in Section VI(F) of the

General Section of this SuperNOFA, the

Glossary in the HOPE VI Application

Kit, and on HUD’s Healthy Homes

website (www.hud.gov/consumer/

hhchild.cfm).

(10) Affirmatively Furthering Fair

Housing: 5 Points. You must

affirmatively further fair housing

through the physical design of the

revitalized units, the location of new

units, marketing of housing that will

encourage diversity, and tenant

selection and assignment strategies that

promote fair housing choice. You are

strongly encouraged to work with local

advocacy groups that represent

individuals with disabilities, the

elderly, and other special needs

populations to further these goals.

11936 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Definitions of accessibility and

adaptability can be found in the

Glossary, which is located in the HOPE

VI Application Kit and on the HOPE VI

website (www.hud.gov/hopevi).

In awarding points under this rating

factor, HUD will consider the following:

(a) Accessibility: 2 points. The design

of your proposed site plan, nonresidential structures and facilities, and

new construction and/or rehabilitation

of housing must conform to the civil

rights statutes and regulations required

in Section II(B) of the General Section

of this SuperNOFA. Information on

accessibility can be found on HUD’s

Fair Housing Home Page (www.hud.gov/

groups/fairhousing.cfm). Over and

above these accessibility requirements:

(i) You will receive 2 points if you

clearly describe your plans to

implement all of the following

suggested accessibility priorities:

(A) Make at least 5 percent of the total

dwelling units (or one unit per building

where applicable) accessible to

individuals with mobility impairments

and 2 percent of the dwelling units (or

one unit per building, where applicable)

accessible to individuals who have

visual or hearing impairments;

(B) Provide one-bedroom accessible

rental units for single individuals with

disabilities;

(C) Provide for accessibility

modifications, where necessary, to

Section 8 units of residents who relocate

from the targeted project due to

revitalization activities;

(D) Where playgrounds are planned,

propose ways to make them accessible

to children with disabilities, over and

above statutory and regulatory

requirements;

(E) Where possible, design units with

accessible front entrances.

(ii) You will receive 1 point if you do

not propose to implement all of the

accessibility priorities above but you

provide an adequate explanation as to

why you cannot implement all of the

priorities;

(iii) You will receive 0 points if:

(A) you do not propose to implement

all of the accessibility priorities and you

do not describe in detail why you

cannot implement one or more of the

priorities, or

(B) there is not enough information in

your application to enable HUD to rate

this factor.

(b) Adaptability and Visitability. You

will receive 1 point if your physical

plan meets the:

(i) adaptability standards adopted by

HUD at 24 CFR 8.3 that apply to those

units not otherwise covered by the

accessibility requirements. The

elements of adaptability are included in

the HOPE VI Application Kit Glossary;

and

(ii) the visitability standards adopted

by HUD that apply to units not

otherwise covered by the accessibility

requirements. The elements of

visitability are described in the HOPE VI

Application Kit Glossary.

(c) Affirmative Marketing and

Outreach. You will receive 2 points if

your program activities are targeted to a

broad range of eligible residents,

including the elderly, persons with

disabilities, etc. In addition, HUD will

evaluate your efforts to increase

community awareness of the need for

and benefits from diversity, in a

culturally sensitive manner, through

education and outreach, as applicable.

Your marketing and outreach activities

must be targeted to all segments of the

population on a nondiscriminatory

basis, promote housing choice and

opportunity throughout your

jurisdiction, and contribute to the

deconcentration of minority and lowincome neighborhoods.

HUD will evaluate your description of

the specific steps you will take to:

(i) Examine your own programs or

proposed programs, including an

identification of any impediments to fair

housing (identified in your

jurisdiction’s Analysis of Impediments

to Fair Housing Choice) and develop a

plan to:

(A) address those impediments in a

reasonable fashion in view of the

resources available;

(B) work with local jurisdictions to

implement any of the jurisdictions

initiatives to affirmatively further fair

housing; and

(C) maintain records reflecting this

analysis and actions.

(ii) Remedy discrimination in

housing; and

(iii) Promote fair housing rights and

fair housing choice.

(11) Evaluation: 2 Points. In order to

earn points under this rating factor, you

must propose to work with local

university(ies), other institutions of

learning, foundations, and/or others to

evaluate the performance and impact of

your proposed HOPE VI Revitalization

Plan. Where possible, HUD encourages

you to form partnerships with

Historically Black Colleges and

Universities (HBCUs); Hispanic-Serving

Institutions (HBIs); Community

Outreach Partnership Centers (COPCs);

the Alaskan Native/Native Hawaiian

Institution Assisting Communities

Program (as appropriate); and others in

HUD’s University Partnerships Program.

You will receive up to 2 points if you

provide a letter(s) from an institution(s)

of higher learning that provides a

commitment to work with you to

evaluate your program and describes its

proposed approach to carry out the

evaluation. The award of points will

depend on the level of commitment and

involvement, the degree to which you

and the local institution of higher

learning will cooperate, and the quality

of the proposed approach. If you are

selected for funding, HUD will work

with you and your partners on the basic

methodology to be used, but you may

augment this methodology to study

additional activity. The letter must

address the following areas for

evaluation:

(a) The impact of your HOPE VI effort

on the lives of the residents;

(b) The nature and extent of economic

development generated in the

community;

(c) The effect of the revitalization

effort on surrounding communities,

including spillover revitalization

activities, property values, etc.; and

(d) Your success at integrating the

physical and social aspects of your

strategy and achieving the goals stated

in your application.

Rating Factor 4: Leveraging Resources

(10 Points)

Match vs. Leverage. There is an

important difference between the terms

match and leverage. In accordance with

Section IV(D)(3) of this HOPE VI section

of the SuperNOFA, all HOPE VI

Revitalization grant funds are subject to

a matching requirement. By signing the

HOPE VI Revitalization Grant Applicant

Certifications (Appendix A to this HOPE

VI section of the SuperNOFA), you will

certify that, if selected for funding, you

will provide matching funds which,

combined with HOPE VI funds, will

enable you to carry out revitalization

activities, including CSS activities. If

selected for funding, you will be

required to show evidence of matching

resources through your quarterly reports

as your project proceeds. Evidence of

match is not required up front in your

application.

Leverage, on the other hand, consists

of firm commitments of funds and other

resources that you can demonstrate

now, at the application stage. HUD will

rate your application based on the

amount of funds and other resources

that will be leveraged by the HOPE VI

Grant as a percentage of the amount of

HOPE VI funds requested.

In your application, you will enter

basic information about each source of

leverage on the Leveraged Resources

Summary Forms: name of the

organization providing the resource, the

dollar value of the resource, and its

proposed use. For each source of

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11937

leverage you list, you must provide a

commitment document, such as a letter,

memorandum of understanding,

agreement to participate, city council

resolution, or other evidence of the

resource to be committed. Any

conditions attached to the commitment

of the resource must be stated in the

document. Each commitment document

must include the dollar value of the

commitment, and that dollar value must

be consistent with the amount entered

on the Leveraged Resources Summary

Forms. On the Forms you will also enter

the page number of your application

where the commitment document is

located. Endorsements or general letters

of support from organizations or

vendors alone will not count as leverage

and should not be included in the

application or on the Leveraged

Resources Summary Forms. The

commitment document must be signed

by an official of the organization legally

authorized to make commitments on

behalf of the organization. Commitment

documents will not count in the 100

page limit for Attachments.

HUD recognizes that in some cases,

firm commitments cannot be made at

the application stage. In such a case, if

the entity describes why the firm

commitment cannot be made at the

current time but affirms that your PHA

and your HOPE VI Revitalization Plan

meet the eligibility criteria for receiving

the resource, HUD will consider the

amount adequately documented. This is

particularly important with regard to

Low Income Housing Tax Credits,

where forward commitments are

typically not possible.

For each commitment document,

HUD will evaluate the strength of

commitment and add the amounts that

are acceptably documented. HUD will

then calculate the ratio of the amount of

HUD funds requested to the amount of

leveraged funds that HUD deems

acceptably documented.

(1) Physical Development Resources:

6 Points. HUD seeks to fund mixedfinance developments that use HOPE VI

funds to leverage the maximum amount

of other physical development funds,

particularly from private sources, that

will result in revitalized public housing,

other types of assisted and market rate

housing, and private retail and

economic development.

(a) Types of Physical Development

Resources. Physical development

resources that may be counted as

leverage include, but are not limited to:

(i) Mortgage secured loans and other

debt. Where there is both a construction

loan and a permanent take-out loan,

include only the take-out loan.

(ii) Insured loans.

(iii) Donations and contributions.

(iv) Housing trust funds.

(v) Homeowner loans.

(vi) Funds committed to build private

sector housing in direct connection with

the HOPE VI Revitalization Plan.

(vii) Funds committed for the

physical development costs of schools,

libraries, economic development and/or

commercial facilities that would not

otherwise be planned if not for the

proposed HOPE VI Revitalization Plan.

(viii) Low Income Housing Tax

Credits. If you propose to use tax credits

as a part of your financing, you must

include in your application a letter from

your State or local Housing Finance

Agency that provides information from

the allocation plan regarding the total

amount and type (4 percent vs. 9

percent) of tax credits available, any

setasides available for PHAs, any perproject funding limits, the schedule of

funding rounds, verification that your

project meets eligibility criteria,

phasing, and other pertinent

information that will enhance your

project’s likelihood to receive the

desired tax credits. If your application

includes a letter from a Housing Finance

Agency which addresses these issues,

the tax credits will be considered

documented and you may count their

dollar value in your development

resources leverage ratio. If your

application does not include such a

letter, the amount of tax credit dollars

you propose will not be counted as

leverage.

(b) Sources of Physical Development

Resources. You must actively enlist

other stakeholders who are vested in

and can provide significant financial

assistance to your revitalization effort.

Sources of development resources that

can be used for leveraging may include:

(i) Public, private, and non-profit

entities.

(ii) State and local Housing Finance

Agencies.

(iii) Local governments.

(iv) The city’s housing and/or

redevelopment agency or other

comparable agency. HUD will consider

this to be a separate entity with which

you are partnering if your PHA is also

a redevelopment agency or otherwise

has citywide responsibilities.

(A) You are strongly urged to seek a

pledge of Community Development

Block Grant (CDBG) funds or other local

funds from your city, county or state for

improvements to public infrastructure

such as streets, water mains, etc. related

to the revitalization effort. Information

on CDBG can be found on the HUD

Home Page (www.hud.gov/cpd/cpd/

cpdprog.html);

(B) The city, county or state may

provide HOME funds to be used in

conjunction with HOPE VI funds, but

HOME funds may not be used in

conjunction with Public Housing

Capital Funds under section 9(d) of the

1937 Act. Information about the HOME

Program can be found on HUD’s HOME

website (www.hud.gov/cpd/home/

homeweb.html).

(v) Foundations.

(vi) Financial institutions, banks or

insurers.

(vii) Other private funders.

(d) Other HUD Public Housing Funds.

Although you may commit other

Federal public housing funds such as

Capital Funds under section 9(d) of the

1937 Act to meet your match

requirement if you are selected for

funding, your commitment of these

types of funds will not count towards

your leverage ratio for the purposes of

rating your application.

(e) Anticipatory Resources. In many

cases, PHAs, cities, or other entities may

have carried out revitalization activities

in previous years in anticipation of your

receipt of a HOPE VI Revitalization

grant. Expenditures that were made in

anticipation of your receiving HOPE VI

funding in previous years, even though

you were unsuccessful in receiving a

HOPE VI Revitalization grant, will count

toward leverage in the FY 2001 funding

competition, provided they meet the

criteria described in this rating factor.

(f) Rating.

(i) You will receive 6 points if the

ratio of the amount of HOPE VI funds

requested for physical development

activities to the dollar value of

documented, committed development

resources leveraged from other sources

is 1:4 or higher.

(ii) You will receive 5 points if the

ratio is between 1:3 and 1:4.

(iii) You will receive 4 points if the

ratio is between 1:2.5 and 1:3.

(iv) You will receive 3 points if the

ratio is between 1:2 and 1:2.5.

(v) You will receive 2 points if the

ratio is between 1:1 and 1:2.

(vi) You will receive 1 point if the

ratio is 1:1.

(vii) You will receive 0 points if:

(A) the ratio is less than 1:1, or

(B) there is not enough information in

your application to enable HUD to rate

this factor.

(2) Collateral Investment: 1 Point.

Collateral Investments include physical

redevelopment activities underway or

projected to be completed before

October 2006, such as schools, libraries,

subway or light rail stations, or

improved roads, which will enhance the

new HOPE VI community but will occur

whether or not the site is revitalized.

11938 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Economic or other kinds of

development activities that would have

occurred with or without the

anticipation of HOPE VI-funded

revitalization of the site will count as

leverage for this factor only.

(a) You will receive 1 point if the ratio

of the amount of the total HOPE VI grant

requested to the dollar value of

documented collateral investments is

1:2 or higher.

(b) You will receive 0 points if:

(i) the ratio of the HOPE VI request to

the collateral investment amount is less

than 1:2, or

(ii) there is not enough information in

your application to enable HUD to rate

this factor.

(3) Community and Supportive

Services Resources: 3 Points. In order to

achieve quantifiable self-sufficiency

results, you must form partnerships

with organizations that are skilled in the

delivery of services to residents of

public housing and that can provide

commitments of resources to support

those services. Leveraging scarce HOPE

VI CSS funds with other funds and

services is critical to the sustainability

of CSS activities so that they will

continue after the HOPE VI funds have

been expended.

(a) Types of resources. Resources for

CSS activities may include financial

contributions from Federal, State, or

local governments or from private

entities. Resources may also include the

dollar value of in-kind contributions

such as materials, a building, a lease on

a building, other infrastructure, time

and services contributed by volunteers,

staff salaries and benefits, and supplies

related to the provision of CSS activities

that will contribute to the successful

transformation of the lives of residents.

(b) Sources of resources.

(i) See Section IV(C)(3)(e) of this

HOPE VI section of the SuperNOFA for

a list of the kinds of organizations,

agencies, and other possible resource

providers that can provide you with

resources for your CSS activities.

(ii) In accordance with Section

IV(C)(3)(b) of this HOPE VI section of

the SuperNOFA, you may enter into

subgrantee agreements with nonprofit

organizations to provide CSS activities.

HUD encourages you to select

subgrantees that can bring in-kind

resources to the project.

(c) Rating. The number of points you

receive will depend on the ratio of the

amount of HOPE VI dollars requested

for CSS activities to the dollar value of

the resources committed from other

sources for CSS programs. A letter of

general commitment without a dollar

figure of committed resources included

will not be counted as a resource for this

rating factor. Include only funds that

will be newly-generated for HOPE VI

CSS activities. HUD will not count as

leverage any funds that have been

provided routinely, such as TANF

payments or funds that support ongoing

CSS-type activities.

(i) You will receive 3 points if the

ratio of the amount of HOPE VI funds

requested for CSS activities to the dollar

value of documented, committed CSS

resources leveraged from other sources

is 1:4 or higher. If no HOPE VI funds are

requested for CSS activities because all

CSS funds will come from outside

sources, all adequately-documented

funds from such outside sources will be

counted and you will receive 3 points.

(ii) You will receive 2 points if the

ratio is between 1:3 and 1:4.

(ii) You will receive 1 point if the

ratio is between 1:2 and 1:3.

(iii) You will receive 0 points if:

(A) the ratio is less than or equal to

1:2, or

(B) there is not enough information in

your application to enable HUD to rate

this factor.

Rating Factor 5: Coordination and

Community Planning (10 Points)

This factor evaluates your actions to

address the need for revitalized public

housing in a holistic and comprehensive

manner by coordinating the

revitalization of public housing with the

overall plans for revitalization and

related activities in the broader

community. It also evaluates your

participation in or commitment to

participate in the community’s

Consolidated Planning process.

(1) Coordination of Revitalization

Activities: 5 Points.

(a) This factor evaluates the actions

you have taken to coordinate with other

agencies—not to provide services, but to

ensure that your activities are consistent

with other revitalization, development,

economic development, transportation,

and other similar activities in the

neighborhood, the surrounding

community, and the city or county at

large. Public housing revitalization must

not happen in a vacuum, and it is

critical that all parties work together to

share information and coordinate

ongoing and planned activities in order

that those plans complement and

reinforce each other activities.

(b) HUD will evaluate the specific

steps you have taken to:

(i) coordinate your proposed activities

with related activities of other agencies,

groups, or organizations outside the

scope of those covered by the

Consolidated Plan;

(ii) develop comprehensive solutions

that best complement, support, and

coordinate other revitalization and

related activities, such as plans for

changes in transportation,

infrastructure, land use, and other

issues that may affect the planned

public housing revitalization; and

(iii) share information about solutions

and outcomes with relevant agencies

through meetings, information

networks, planning processes or other

mechanisms.

(c) Rating. (i) You will receive 3 to 5

points if you provide letters,

memoranda of agreement, or other

documentation from organizations and

agencies that describe your

relationships and substantiate the

actions you have taken to coordinate

with a variety of relevant groups.

(ii) You will receive 1 to 2 points if

you provide documentation that you

have taken some actions to coordinate

your proposed activities with relevant

groups, but your overall effort does not

include a variety of different kinds of

groups and/or you do not show strong

evidence of active coordination.

(iii) You will receive 0 points if:

(A) your actions to coordinate with

relevant groups are not comprehensive;

and/or

(B) your relationships are not strong

or well documented; or

(C) there is not enough information in

your application to enable HUD to rate

this factor.

(2) Participation in Consolidated

Plan/AI Process: 5 Points.

This factor evaluates your efforts to

participate in your jurisdiction’s

Consolidated Planning process, whether

the need for the revitalization of

severely distressed public housing is

identified in the Consolidated Plan, and

whether severely distressed public

housing is identified as an impediment

to fair housing choice in your

jurisdiction’s Analysis of Impediments

to Fair Housing Choice (AI). Information

on the Consolidated Plan can be found

on the HUD Home Page (www.hud.gov/

cpd/conplan.html). (A Certification of

Consistency with the Consolidated Plan,

as provided in the HOPE VI Application

Kit, is a required element of each HOPE

VI Revitalization application.)

(a) You will receive 3 to 5 points if:

(i) you have cited language from your

jurisdiction’s Consolidated Plan that

identifies revitalization of severely

distressed public housing as an urgent

need in the community, and indicates

that your HOPE VI Revitalization Plan is

tied to other revitalization planned in

the broader community and in the

jurisdiction as a whole; that they are

consistent with plans or organizing

efforts in the immediate, surrounding

neighborhood; and you have cited

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11939

language from your jurisdiction’s AI that

identifies severely distressed public

housing as an impediment to fair

housing choice; or

(ii) the Consolidated Plan and AI are

applicable to your jurisdiction, but they

do not identify severely distressed

public housing as an urgent need or an

impediment to fair housing choice; you

have explained in detail why severe

distress of public housing is not

identified; described your efforts to alert

the jurisdiction to the need for public

housing revitalization as a priority; have

begun work with the jurisdiction to

amend the Consolidated Plan and AI to

include revitalization of severely

distressed public housing as an urgent

need; and you have coordinated with

other revitalization efforts in the

community; or

(iii) if the Consolidated Plan and AI

are not applicable to your community,

you have demonstrated that you have

participated in other community-wide

planning efforts; used other sound and

reliable data sources to show that the

community has identified the need for

revitalization of severely distressed

public housing and the urgency in

meeting the need; and submitted a letter

from the Mayor or other Chief Executive

Officer of the jurisdiction and a letter

from the City Council or other elected

legislative body confirming the need to

revitalize severely distressed public

housing, the urgency of meeting the

need, and the jurisdiction’s commitment

to addressing this need.

(b) You will receive 1 to 2 points if

you have demonstrated that you have

participated in the Consolidated

Planning process, but the Consolidated

Plan does not address the revitalization

of severely distressed public housing.

(c) You will receive 0 points if:

(i) your community’s Consolidated

Plan and AI do not identify the

revitalization of severely distressed

public housing as a need or as an

impediment to fair housing choice, and

you have not provided an adequate

explanation of why they do not;

(ii) the Consolidated Plan and AI are

not applicable to your community, and

you have not thoroughly documented

your level and urgency of need through

other sound and reliable sources; or

(iii) there is not enough information

in your application to enable HUD to

rate this factor.

Empowerment Zone/Enterprise

Community Bonus (2 Points)

You will receive up to 2 bonus points

if you propose to revitalize severely

distressed public housing that is located

in a Federally-designated Empowerment

Zone (EZ), Enterprise Community (EC),

rural EC, or Urban Enhanced Enterprise

Community (also referred to as EC). To

be eligible for the bonus points,

activities must serve EZ/EC residents

and the application must include a

certification that activities are consistent

with the strategic plan for the EZ or EC.

A listing of eligible EZs and ECs is

attached to the General Section of the

SuperNOFA as Appendix A–2, and also

can be found on HUD’s EZ/EC Website

(www.hud.gov/cpd/ezec/ezbyec.html).

To determine whether your site is

within an EZ or EC, use the EZ/EC

Locator (www.hud.gov/ezec/locator).

Note that if the public housing project

is located in a similar economic

development area designated by your

state or city, but is not located in a

Federally-designated EZ or EC, your

application will not be eligible for these

bonus points.

VII. HOPE VI Demolition Grant

Application Selection Process

(A) HOPE VI Demolition Grant

Funding Categories. HUD will select

HOPE VI Demolition grant applications

on a first-come, first-served basis, by an

application’s Priority Group and

Ordinal. HOPE VI Demolition grant

applications are not rated.

(1) Priority Groups. You must identify

each HOPE VI Demolition grant

application by its appropriate Priority

Group, as described below. Each

application must target units of a single

Priority Group; e.g., do not include

Priority Group 1 units in the same

application as Priority Group 2 units.

(a) Priority Group 1: Priority Group 1

applications target units included in an

approved Section 202 Mandatory

Conversion Plan. The Section 202

Conversion Plan must be approved by

HUD on or before the HOPE VI

Demolition grant application deadline

date under this HOPE VI section of the

SuperNOFA.

(b) Priority Group 2.

(i) Priority Group 2 applications:

(A) target units included in a Section

202 Mandatory Conversion Plan that

you have submitted to HUD on or before

the HOPE VI Demolition grant

application deadline date, or

(B) target units that, in HUD’s sole

determination under section 537(c) of

the Public Housing Reform Act of 1998,

are subject to the removal requirements

of 24 CFR part 971 and can be expected

to be demolished in accordance with the

time schedule required by Section

IV(F)(1) of this HOPE VI section of the

SuperNOFA, above.

(ii) If you submit a HOPE VI

Demolition grant application for units

that are targeted in a Section 202

Mandatory Conversion Plan that was

submitted under 24 CFR part 971 but

not yet approved (Priority Group 2), and

HUD subsequently approves the

Conversion Plan before the HOPE VI

Demolition grant application deadline

date, you may revise your application

and it will be reclassified as Priority

Group 1. HUD will change the original

Ordinal to the Ordinal corresponding to

the date that the revision was received.

(iii) If you submit a Section 202

Mandatory Conversion Plan but HUD

determines that the targeted project does

not qualify for conversion under 24 CFR

part 971, your HOPE VI Demolition

grant application will not be eligible for

funding. If you intend to submit a

Priority 1 or 2 application, discuss the

project with your Field Office to ensure

that it qualifies under the standards of

24 CFR part 971.

(c) Priority Group 3. Priority Group 3

applications target units that were

included in a HUD-approved

application for demolition that was

developed in accordance with section

18 of the 1937 Act, as amended

(‘‘Section 18 demolition application’’).

(i) Your Section 18 demolition

application must be approved by HUD

on or before the HOPE VI Demolition

grant application deadline. You are

advised that in order to allow for

sufficient time for a new Section 18

demolition application to be processed,

you should submit your Section 18

demolition application to HUD’s Special

Application Center (SAC) no later than

March 30, 2001. If your Section 18

demolition application does not meet

the statutory requirements of Section 18,

including the requirement for HUD

Field Office approval of the Interim or

PHA Plan as required by 24 CFR part

903, HUD will not approve the Section

18 demolition application and your

HOPE VI Demolition grant application

will not be eligible for funding.

(ii) If you have submitted a Section 18

demolition application to the SAC but it

has not yet been approved by HUD

when you submit your HOPE VI

Demolition grant application, your

HOPE VI application will not be

considered complete and you will not

receive an Ordinal unless and until your

Section 18 demolition application is

approved on or before the HOPE VI

Demolition Grant Application deadline.

(iii) If your Section 18 demolition

application is approved by HUD on July

9 or 10, 2001 only, you are not required

to submit your approval letter to HUD,

and HUD will deem the approval letter

to have been submitted in the

application. In such a case, if your

application is otherwise complete, your

Ordinal will be the date that HUD

11940 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

approves your Section 18 demolition

application.

(iv) If HUD has previously approved

your Section 18 demolition application

but HUD later rescinded the approval,

your Section 18 demolition application

will not be considered approved by

HUD and your HOPE VI Demolition

grant application will not be eligible for

funding.

(d) Priority Group 4:

(i) Priority Group 4 applications target

units that:

(A) were targeted for demolition in a

previously-approved HOPE VI

Revitalization application and the

demolition that has not yet been carried

out; or

(B) were not originally targeted for

demolition in a previously-approved

HOPE VI Revitalization application but

are located in the same project and at

the same site that will be revitalized

using an existing Revitalization grant,

and have not yet been demolished.

(ii) The requested HOPE VI

Demolition grant funds, in combination

with the existing HOPE VI

Revitalization grant funds, may not

exceed the TDC/Housing Cost Cap

(HCC) limit in effect at the time the

HOPE VI Revitalization Grant was

approved by HUD.

(A) If the Revitalization grant is below

TDC/HCC, any dollars freed up as a

result of the proposed additional

demolition grant funds may be used for

any construction costs, up to the

project’s TDC/HCC limit.

(B) If the Revitalization grant is below

or at TDC/HCC, the dollars freed up

from the proposed additional

demolition grant funds may be used for

the demolition of additional units or for

Community Renewal costs such as

Extraordinary Site Costs that fall outside

of HCC.

(iii) If a Priority Group 4 HOPE VI

Demolition application is selected for

funding, HUD will approve the planned

demolition:

(A) in its approval of your

Supplemental Submissions for the

Revitalization grant;

(B) by amending its approval of your

Supplemental Submissions, if they have

already been approved by HUD; or

(C) by approving a Section 18

demolition application, if you choose to

submit one.

(iv) HUD reserves the right to rescind

a Priority Group 4 Demolition grant if it

determines that the targeted units

cannot be approved under section

(d)(iii) above.

(2) Ordinals. Upon receipt, HUD will

assign each HOPE VI Demolition grant

application an Ordinal (i.e., ranking

number) that reflects the date HUD

Headquarters received the application.

Ordinals correspond to business days,

starting with the date HUD receives the

first Demolition grant application and

ending on the HOPE VI Demolition

grant application deadline date, as

specified in Section I of this HOPE VI

section of the SuperNOFA, above. HUD

will consider all applications received

on the same date as received at the same

time on that date, and those

applications will all be assigned the

same Ordinal.

(B) Demolition Screening. (1) HUD

will screen the application to ensure

that it:

(a) Meets each HOPE VI threshold

criterion listed in Sections V(A) and

V(C) of this HOPE VI section of the

SuperNOFA, above; and

(b) Includes each application

submission requirement listed in

Section IX(B) of this HOPE VI section of

the SuperNOFA, below.

(2) If HUD determines that an

application is not eligible for funding

(e.g., the applicant is not a PHA, the

units have already been demolished,

etc.), HUD will not consider the

application further and will

immediately notify the applicant that

the application has been rejected.

(3) If HUD determines that an

application is eligible but incomplete,

within approximately two days of

receipt of the application, HUD will

contact you in writing by fax (followed

up with a hard copy by mail) to request

the missing information. If HUD finds

your application and other applications

received on the same day to be

incomplete, HUD will notify all such

applicants of their missing items on the

same day. Since HOPE VI Demolition

grant applications are not rated, you

may submit information to complete

your application at any time before the

HOPE VI Demolition grant application

deadline date. However, if your

application is received on the deadline

date and it is missing a required

submission, you will have no

opportunity to submit any missing item

after the deadline date and your HOPE

VI Demolition grant application will be

ineligible for funding.

Please Note: This provision means that the

nearer to the deadline date you submit your

application, the less time you will have to

correct any deficiencies, and if hud receives

your application ON the deadline date and

there is a deficiency, that application will

NOT be eligible for funding. You are advised

to submit your application as soon as

possible, in the event that hud identifies a

deficiency that you need to correct.

(4) If HUD determines that the

information you submit in response to

a notification of deficiency is correct

and completes the application, HUD

will change the application’s Ordinal to

the Ordinal corresponding to the date

that HUD received the information.

(5) If HUD determines that the

information submitted does not make

the application complete, HUD will

notify you of the remaining deficiency.

You will have the opportunity to submit

information in response to notifications

of deficiency up until the HOPE VI

Demolition grant application deadline

date.

(6) If you do not submit the requested

information by the HOPE VI Demolition

grant deadline date, your application

will be ineligible for funding.

(C) Funding. HUD will award HOPE

VI Demolition grants in the following

order, based on fund availability.

(1) HUD will fund Priority Group 1

applications by Ordinal.

(2) If funds remain after HUD has

funded all eligible Priority Group 1

applications, HUD will fund Priority

Group 2 applications by Ordinal.

(3) If funds remain after HUD has

funded all eligible Priority Group 2

applications, HUD will fund Priority

Group 3 applications by Ordinal.

(4) If funds remain after HUD has

funded all eligible Priority Group 3

applications, HUD will fund Priority

Group 4 applications by Ordinal.

(5) At any stage, if there is more than

one application with next Ordinal to be

funded and there are insufficient funds

to fund all of them, HUD will conduct

a lottery among those applications to

determine which application(s) will be

funded.

(6) HUD reserves the right to partially

fund the next eligible application if

insufficient funds remain to fund the

entire amount requested, and HUD

determines that the funds available are

adequate to carry out some significant

demolition activities.

(7) If funds remain after all eligible

HOPE VI Demolition grant applications

have been funded or if the amount

remaining is inadequate to feasibly fund

the next eligible Demolition grant

application, HUD reserves the right to:

(a) reallocate unused funds to fund or

supplement the next eligible HOPE VI

Revitalization application(s), in rank

order, or

(b) carry over unused funds to the

next fiscal year.

VIII. Grant Award Procedures

(A) Revitalization Grants.

(1) Notification of Funding Decisions.

The HUD Reform Act prohibits HUD

from notifying you as to whether or not

you have been selected to receive a

Revitalization grant until it has

announced all HOPE VI Revitalization

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11941

grant recipients. If your Revitalization

application has been found to be

ineligible or if it did not receive enough

points to be funded, you will not be

notified until the successful applicants

have been notified. HUD will provide

written notification to all HOPE VI

applicants, whether or not they have

been selected for funding.

(2) Environmental Review. HUD

notification that you have been selected

to receive a HOPE VI grant constitutes

only preliminary approval. Grant funds

may not be released until the

responsible entity completes an

environmental review and you submit

and obtain HUD approval of a request

for release of funds and the responsible

entity’s environmental certification in

accordance with 24 CFR part 58 and

Section IV(B)(6) of this HOPE VI section

of the SuperNOFA, above (or HUD has

completed an environmental review

under 24 CFR Part 50 where HUD has

determined to do the environmental

review).

(3) Revitalization Grant Agreement.

When you are selected to receive a

Revitalization grant, HUD will send you

a HOPE VI Revitalization Grant

Agreement, which constitutes the

contract between you and HUD to carry

out and fund public housing

revitalization activities. Both you and

HUD will sign the cover sheet of the

Grant Agreement. It is effective on the

date of HUD’s signature. The Grant

Agreement sets forth:

(a) The amount of the grant;

(b) The HOPE VI Requirements;

(c) Revitalization Plan components;

(d) Revitalization activities and

requirements;

(e) Changes to the Revitalization Plan;

(f) Replacement unit and waiver

information;

(g) Budget requirements;

(h) Drawdown procedures;

(i) Matching fund requirements;

(j) Finance and accounting

procedures;

(k) Recordkeeping requirements;

(l) Requirements for subgrantees,

contractors, and subcontractors;

(m) Resident and community

involvement requirements;

(n) Environmental review procedures;

(o) Fair Housing certifications;

(p) Building standards and design

components;

(q) Labor standards;

(r) Conflict of interest provisions;

(s) Reporting requirements;

(t) Technical assistance procedures

(u) Default provisions; and

(v) Grant closeout procedures.

(B) Demolition Grants. (1) Notification

of Funding Decisions. Because the

HOPE VI Demolition grants are awarded

on a first-come, first-served basis, HUD

reserves the right either to award funds

to Priority 1 applications as soon as they

are determined to be eligible for

funding, or announce all awards after

the HOPE VI Demolition grant

application deadline date has passed.

HUD will notify ineligible applicants of

their ineligibility immediately after that

determination has been made. HUD will

provide written notification to all HOPE

VI applicants, whether or not they have

been selected for funding.

(2) Environmental Review. HUD

notification that you have been selected

to receive a HOPE VI Demolition grant

constitutes only preliminary approval.

Grant funds may not be released until

the responsible entity completes an

environmental review and you submit

and obtain HUD approval of a request

for release of funds and the responsible

entity’s environmental certification in

accordance with 24 CFR part 58 and

Section IV(B)(6) of this HOPE VI section

of the SuperNOFA, above.

(3) Demolition Grant Agreement. If

you are selected to receive a Demolition

grant, HUD will send you a HOPE VI

Demolition Grant Agreement. Both you

and HUD will sign the Cover Sheet of

the Grant Agreement, and it is effective

on the date of HUD’s signature. The

Grant Agreement sets forth:

(a) The amount of the grant;

(b) The HOPE VI Demolition

Requirements;

(c) Demolition Plan components;

(d) Relocation requirements;

(e) Program schedule;

(f) Finance and Accounting

procedures;

(g) Drawdown procedures;

(h) Recordkeeping requirements;

(i) Requirements for subgrantees,

contractors, and subcontractors;

(j) Environmental review procedures;

(k) Fair Housing Certifications;

(l) Labor standards;

(m) Conflict of interest provisions;

(n) Reporting requirements;

(o) Technical assistance procedures;

(p) Default provisions; and

(q) Grant closeout procedures.

IX. Application Submission

Requirements

(A) Revitalization Application

Requirements.

(1) Application Kit. The HOPE VI

Application Kit provides explicit,

specific instructions as to the format of

a HOPE VI Revitalization application.

Your application must conform to the

requirements of this HOPE VI section of

the SuperNOFA and follow the format

described in the Kit. If you fail to adhere

to the requirements of this NOFA, as

detailed in the Kit, and omit critical

requirements, your application may lose

points. In addition to the narrative

exhibits that respond to the rating

criteria in this HOPE VI section of this

SuperNOFA, your application will also

include attachments that provide HUD

with detailed information about your

proposed revitalization, including forms

and other documentation. Please note

that resumes and videos are specifically

excluded and will not be considered.

(2) Application Page Limits. (a) Each

Revitalization application must contain

no more than 75 pages of narrative

exhibits. Any pages after the first 75

pages of narrative exhibits will not be

reviewed. Although submitting pages in

excess of the page limitations will not

disqualify an application, HUD will not

consider the information on any excess

pages, which may result in a lower score

or failure of a threshold (this page limit

does not include additional pages

requested by HUD as a result of

technical deficiency corrections). No

more than one page of text may be

placed on one sheet of paper; i.e., you

may not shrink pages to get two or more

on a page.

(b) Revitalization applications are also

limited to 100 pages of attachments. The

documents listed below constitute the

only exceptions and are not counted in

the 100 page limit:

(i) Application Data Sheets;

(ii) Commitments of resources;

(iii) Section 8 application;

(iv) List of current residents, after the

first page; and

(v) Certifications located after the

Attachments.

(3) Narrative Exhibits. The following

is a summary of the narratives required

in a HOPE VI Revitalization application:

(a) An Executive Summary.

(b) Narrative responses to the rating

factors described in Section VI(G) of this

HOPE VI program section of the

SuperNOFA. Be SURE to address each

and every item in the rating factors in

the most clear, concise, and complete

manner possible given the page

limitations.

(c) A narrative demonstrating the

appropriateness of your proposal in the

context of the local housing market

relative to other alternatives.

(d) A description of your planned

predevelopment activities: hazard

reduction, demolition, disposition,

acquisition, and site improvements.

(e) A description of your planned

physical revitalization activities:

rehabilitation, new construction,

homeownership assistance,

development of community and/or

economic development activities, and

extraordinary site work.

11942 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(f) If applicable, a description of your

plans to establish an Endowment Trust

to continue CSS activities beyond the

life of the HOPE VI grant.

(g) If applicable, a listing of all prior

HUD public housing grant assistance

received for the revitalization of the

targeted project that are related to the

proposed activities.

(4) Attachments. The following is a

summary of the attachments that will be

required in a HOPE VI Revitalization

application:

(a) Contextual map that identifies the

location of the current site in the

neighborhood, City, and region;

(b) Organizational Chart;

(c) Revitalization Schedule;

(d) A listing of and commitment

letters from Team members, as

applicable;

(e) Photographs of the housing units

and site;

(f) A Section 8 application, if Section

8 assistance will be needed for FY 2002;

(g) Conceptual revitalized site plan,

interior unit design illustrations, and

building elevations;

(h) Application Data Forms;

(i) Leveraged Resources Summary;

(j) Basic elements of the HOPE VI

Relocation Plan, in conformance with

guidance provided by HUD, including a

list of each resident in occupancy at the

time the application is submitted;

(k) Training Meeting and Public

meeting certifications and

documentation;

(l) Preliminary market assessment

letter;

(m) Letters and other documents that

commit resources to be used for HOPE

VI activities;

(n) Grant Limitations and TDC

Worksheet;

(o) MTCS Certification;

(p) Extraordinary Site Costs

Certification;

(q) Severe Physical Distress

Certification;

(r) Other documentation that responds

to specific rating factors, including

letters of commitment to participate as

partners, perform an evaluation of the

program, etc.

(5) HOPE VI Revitalization

Application Forms. The following HOPE

VI forms are included in the HOPE VI

Application Kit. Electronic versions also

can be obtained from HUDCLIPS

(www.hudclips.org) and the HOPE VI

website (www.hud.gov/hopevi).

(a) HOPE VI Revitalization

Application Data Form (HUD–52860-A);

(b) HOPE VI Budget (HUD–52825-A,

Parts I and II);

(c) Section 8 Application (HUD–

52515);

(d) HOPE VI Revitalization Grant

Applicant Certifications (HUD–52820-

A). See Appendix A of this HOPE VI

section of the SuperNOFA for the text

of these certifications.

(6) General Section Certification

Forms. The following forms are

appended to the General Section of the

SuperNOFA and are also included in

the HOPE VI Application Kit. Electronic

versions of these forms also can be

obtained from HUDCLIPS

(www.hudclips.org).

(a) Application for Federal Assistance

(SF–424)

(b) Assurances—Construction

Programs (SF–424D)

(c) Certification for a Drug-Free

Workplace (HUD–50070)

(d) Certification of Payments to

Influence Federal Transactions (HUD–

50071)

(e) Disclosure of Lobbying Activities

(SF-LLL) (if applicable)

(f) Recipient Disclosure/Update

Report (HUD–2880)

(g) Certification Regarding Debarment

and Suspension (HUD–2992)

(h) Certification of Consistency with

the EZ/EC Strategic Plan (HUD–2990)

(i) Certification of Consistency with

the Consolidated Plan (HUD–2991)

(j) Acknowledgment of Application

Receipt (HUD–2993)

(B) Demolition Application

Requirements.

(1) Application Kit. The HOPE VI

Application Kit provides specific

instructions as to the format of a HOPE

VI Demolition application. Your

application must conform to the

requirements of this HOPE VI section of

the SuperNOFA and follow the format

described in the kit.

(2) Application Information. The

following is a summary of the

information required in a HOPE VI

Demolition application. Items (f) (HOPE

VI Budget form) and (i) (Section 8

application) are available from

HUDCLIPS (www.hudclips.org).

(a) Applicant, site, and unit

information;

(b) Priority Group and Documentation

of eligibility;

(c) Narrative of proposed activities,

including:

(i) the number of original dwelling

units and buildings in the project, the

number of any units previously

demolished or disposed of, and the

number of units proposed for

demolition;

(ii) any non-dwelling facilities to be

demolished and the relationship

between the non-dwelling facilities and

the dwelling units to be demolished, in

terms of proximity and use;

(iii) conditions that require

extraordinary site costs, such as parking

lots, streets, underground utilities,

community buildings, etc.;

(iv) extent of any proposed hazard

abatement activities, including the level

of asbestos or any other contaminant

present, if available;

(v) proposed site restoration and any

subsequent site improvements to benefit

the remaining portion of the

development or to make the site more

saleable;

(vi) if you propose activities other

than filling in the site and establishing

a lawn, a description of the non-HOPE

VI funds to be used to carry out those

activities;

(vii) a HOPE VI Demolition Relocation

Plan, including a list of each resident in

occupancy at the time the application is

submitted;

(viii) a demonstration of the

appropriateness of the proposal in the

context of the local housing market

relative to other alternatives; and

(ix) potential sources of matching

funds for services to relocatees.

(d) Program Schedule;

(e) Grant Limitations Worksheet,

which itemizes all funds requested for:

(i) demolition of severely distressed

public housing units;

(ii) extraordinary site costs, as

applicable;

(iii) demolition of nondwelling

structures, as applicable;

(iv) relocation assistance to residents

of occupied units; and

(v) community and supportive service

activities to displaced residents.

(f) Program budget (HUD–52825-A,

parts I and II);

(g) MTCS Certification;

(h) Extraordinary Site Costs

Certification, as applicable, completed

by an engineer or architect, verifying

and justifying any extraordinary site

costs requested;

(i) Non-Dwelling Structure Costs

Certification, as applicable, completed

by an engineer or architect, verifying

and justifying the costs to demolish

non-dwelling structures;

(j) A Section 8 application (HUD–

52515) for Section 8 relocation

assistance needed during FY 2002.

(3) HOPE VI Demolition Grant

Applicant Certifications (HUD–52820-

B). See Appendix B of this HOPE VI

section of the SuperNOFA for the text

of these certifications.

(4) General Section Certification

Forms. The following forms are

appended to the General Section of the

SuperNOFA and are also included in

the HOPE VI Application Kit. Electronic

versions of these forms also can be

obtained from HUDCLIPS

(www.hudclips.org).

(a) Application for Federal Assistance

(SF–424)

(b) Assurances—Construction

Programs (SF–424D)

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11943

(c) Certification for a Drug-Free

Workplace (HUD–50070)

(d) Certification of Payments to

Influence Federal Transactions (HUD–

50071)

(e) Disclosure of Lobbying Activities

(SF–LLL)

(f) Recipient Disclosure/Update

Report (HUD–2880)

(g) Certification Regarding Debarment

and Suspension (HUD–2992)

X. Authority

(A) The funding authority for HOPE

VI Revitalization and Demolition grants

under this HOPE VI section of the

SuperNOFA is provided by the FY 2001

HUD Appropriations Act under the

heading ‘‘Revitalization of Severely

Distressed Public Housing (HOPE VI).’’

(B) The program authority for the

HOPE VI Program is section 24 of the

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

1437v), as added by section 535 of the

Quality Housing and Work

Responsibility Act of 1998 (Pub. L. 105–

276, 112 Stat. 2461, approved October

21, 1998).

Appendix A—HOPE VI Revitalization

Grant Applicant Certifications

Acting on behalf of the Board of

Commissioners of the Housing Authority

listed below, as its Chairman, I approve the

submission of the HOPE VI Revitalization

application of which this document is a part

and make the following certifications to and

agreements with the Department of Housing

and Urban Development (HUD) in

connection with the application and

implementation thereof:

Applicant Certifications

1. The public housing project or building

in a project targeted in this HOPE VI

Revitalization grant application meets the

definition of severe distress in accordance

with Section 24(j)(2) of the U.S. Housing Act

of 1937 (‘‘the Act’’).

2. The PHA has not received assistance

from the Federal government, State, or unit

of local government, or any agency or

instrumentality, for the specific activities for

which funding is requested in the HOPE VI

Revitalization application.

3. The PHA does not have any litigation

pending which would preclude timely

startup of activities.

4. The PHA is in full compliance with any

desegregation or other court order related to

Fair Housing (e.g., Title VI of the Civil Rights

Act of 1964, the Fair Housing Act, and

Section 504 of the Rehabilitation Act of 1973)

that affects the PHA’s public housing

program and that is in effect on the date of

application submission.

5. PHA has returned any excess advances

received during development or

modernization, or amounts determined by

HUD to constitute excess financing based on

a HUD-approved Actual Development Cost

Certificate (ADCC) or Actual Modernization

Cost Certificate (AMCC), or that HUD has

approved a pay-back plan.

6. There are no environmental factors, such

as sewer moratoriums, precluding

development in the requested locality.

7. The application is consistent with

Environmental Justice Executive Order

12898, in that the proposed public housing

will be developed only in environmentally

sound and desirable locations and will avoid

disproportionately high and adverse

environmental effects on minority and lowincome communities.

8. In accordance with the Flood Disaster

Protection Act of 1973 (42 U.S.C. 4001–

4128), the property targeted for acquisition or

construction (including rehabilitation) is not

located in an area identified by the Federal

Emergency Management Agency (FEMA) as

having special flood hazards, unless:

(a) The community in which the area is

situated is participating in the National Flood

Insurance program (see 44 CFR parts 59

through 79), or less than one year has passed

since FEMA notification regarding such

hazards; and

(b) Where the community is participating

in the National Flood Insurance Program,

flood insurance is obtained as a condition of

execution of a Grant Agreement and approval

of any subsequent demolition or disposition

application.

9. The application does not target

properties in the Coastal Barrier Resources

System, in accordance with the Coastal

Barrier Resources Act (16 U.S.C. 3501).

Grantee Certifications

If selected for HOPE VI Revitalization

funding:

10. The PHA will comply with all policies,

procedures, and requirements prescribed by

HUD for the HOPE VI Program, including the

implementation of HOPE VI revitalization

activities, in a timely, efficient, and

economical manner.

11. The PHA will not receive assistance

from the Federal government, State, or unit

of local government, or any agency or

instrumentality, for the specific activities

funded by the HOPE VI Revitalization grant.

The PHA has established controls to ensure

that any activity funded by the HOPE VI

Revitalization grant is not also funded by any

other HUD program, thereby preventing

duplicate funding of any activity.

12. The PHA will not provide to any

development more assistance under the

HOPE VI Revitalization grant than is

necessary to provide affordable housing after

taking into account other governmental

assistance provided.

13. The PHA will supplement the aggregate

amount of the HOPE VI Revitalization grant

with funds from sources other than HOPE VI

in an amount not less than 5 percent of the

amount of HOPE VI grant.

14. In addition to supplemental amounts

provided in accordance with Certification 13

above, if the PHA uses more than 5 percent

of the HOPE VI grant for the community and

supportive services component, it will

provide supplemental funds from sources

other than HOPE VI, dollar for dollar, for the

amount over 5 percent of the grant used for

the community and supportive services

component.

15. Disposition activity under the grant

will be conducted in accordance with

Section 18 of the Act.

16. The PHA will carry out acquisition of

land, or acquisition of off-site units with or

without rehabilitation to be used as public

housing, in accordance with 24 CFR part 941,

or successor part.

17. The PHA will carry out major

rehabilitation and other physical

improvements of housing and non-dwelling

facilities in accordance with 24 CFR 968.11

2(b), (d), (e), and (g)-(o), 24 CFR 968.130, and

24 CFR 968.135(b) and (d) or successor part.

18. The PHA will carry out construction of

public housing replacement housing, both

on-site and off-site, and community facilities,

in accordance with 24 CFR part 941 or

successor part, including mixed-finance

development in accordance with subpart F.

19. The PHA will carry out replacement

homeownership activities in general

conformance with the requirements of

section 24(d)(1)(J) or section 32 of the 1937

Act and the income limitations of the Act.

20. The PHA will administer and operate

rental units in accordance with all existing

public housing rules and regulations, as

those requirements now exist or as they may

be amended from time to time.

21. The PHA will comply with the

requirements of the Fair Housing Act (42

U.S.C. 3601–19) and regulations pursuant

thereto (24 CFR part 100); Executive Order

11063 (Equal Opportunity in Housing) and

regulations pursuant thereto (24 CFR part

107); the fair housing poster regulations (24

CFR part 110) and advertising guidelines (24

CFR part 109); and Title VI of the Civil Rights

Act of 1964 (42 U.S.C. 2000d) and regulations

pursuant thereto (24 CFR part 1).

22. The PHA will address the elimination

of impediments to fair housing choice

relating to its public housing and particularly

to the revitalization of distressed public

housing that were identified in the

jurisdiction’s Analysis of Impediments to

Fair Housing Choice, remedy discrimination

in housing, and promote fair housing rights

and fair housing choice.

23. The PHA will comply with the

prohibitions against discrimination on the

basis of age pursuant to the Age

Discrimination Act of 1975 (42 U.S.C. 6101–

07) and regulations issued pursuant thereto

(24 CFR part 146); the prohibitions against

discrimination against, and reasonable

modification and accommodation and

accessibility requirements for, handicapped

individuals under Section 504 of the

Rehabilitation Act of 1973 (29 U.S.C. 794)

and regulations issued pursuant thereto (24

CFR part 8); the Americans with Disabilities

Act (42 U.S.C. 12101 et seq.) and regulations

issued pursuant thereto (28 CFR Part 36); and

the Architectural Barriers Act of 1968, as

amended (42 U.S.C. 4151) and regulations

issued pursuant thereto (24 CFR Part 40).

24. The PHA has adopted the goal of

awarding a specified percentage of the dollar

value of the total of the HOPE VI contracts

to be awarded during subsequent fiscal years

to minority business enterprises and will take

appropriate affirmative action to assist

resident-controlled and women’s business

enterprises in accordance with the

11944 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

requirements of Executive Orders 11246,

11625, 12432, and 12138.

25. The PHA will comply with the

requirements of Section 3 of the Housing and

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

1701u) (Employment Opportunities for

Lower Income Persons in Connection with

Assisted Projects) and its implementing

regulation at 24 CFR part 135, including the

reporting requirements of subpart E.

26. The PHA will comply with DavisBacon or HUD-determined prevailing wage

rate requirements to the extent required

under Section 12 of the U.S. Housing Act of

1937.

27. As applicable, the PHA will comply

with the relocation assistance and real

property acquisition requirements of the

Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970

and government-wide implementing

regulations at 49 CFR part 24; relocation

regulations at 24 CFR 968.108 or successor

regulation (rehabilitation, temporary

relocation); 24 CFR 941.207 or successor

regulation (acquisition); and 24 CFR Section

18 of the 1937 Act as amended (disposition).

28. The PHA will comply with the HOPE

VI requirements for reporting and access to

records as required in the HOPE VI

Revitalization Grant Agreement.

29. The PHA will comply with the LeadBased Paint Poisoning Prevention Act (42

U.S.C. 4821, et seq.) and is subject to 24 CFR

part 35 and 24 CFR 965.701, as they may be

amended from time to time, and Section

968.110(k) or successor regulation.

30. The PHA will comply with the policies,

guidelines, and requirements of OMB

Circular A–87 (Cost Principles Applicable to

Grants, Contracts, and Other Agreements

with State and Local Governments).

31. The PHA will comply with 24 CFR part

85 (Administrative Requirements for Grants

and Cooperative Agreements to State, Local

and Federally Recognized Indian Tribal

Governments), as modified by 24 CFR 941 or

successor part, subpart F, relating to the

procurement of partners in mixed finance

developments, except when inconsistent

with the provisions of the 2001

Appropriations Act or other applicable

Federal statutes. Requests for Proposals

(RFPs) and Requests for Qualifications

(RFQs) will reflect pertinent language from

the program section of FY 2001 HOPE VI

NOFA; e.g., seeking diversity, accessibility,

fair housing requirements, etc.

32. The PHA will keep records in

accordance with 24 CFR 85.20 that facilitate

an effective audit to determine compliance

with program requirements, and comply with

the audit requirements of 24 CFR 85.26.

33. The PHA will start construction within

12 months from the date of HUD’s approval

of the Revitalization Plan’s Supplemental

Submissions. In no event may this time

period exceed 18 months from the date the

Grant Agreement is executed.

34. The PHA will complete construction

within 48 months from the date of HUD’s

approval of the Revitalization Plan’s

Supplemental Submissions. In no event may

the time period for completion exceed 54

months from the date the Grant Agreement is

executed.

35. All activities that include construction,

rehabilitation, lead-based paint removal, and

related activities will meet or exceed local

building codes. New construction will

comply with the latest HUD-adopted Model

Energy Code issued by the Council of

American Building Officials.

Appendix B—HOPE VI Demolition

Grant Applicant Certifications

Acting on behalf of the Board of

Commissioners of the Public Housing

Authority (PHA) listed below, as its

Chairman, I approve the submission of the

HOPE VI Demolition funding application of

which this document is a part and make the

following certifications to and agreements

with the Department of Housing and Urban

Development (HUD) in connection with the

application and implementation thereof:

Applicant Certifications

1. The public housing project or building

in a project targeted in this HOPE VI

Demolition grant application meets the

definition of severe distress in accordance

with Section 24(j)(2) of the U.S. Housing Act

of 1937 (‘‘the Act’’).

2. The PHA has not received assistance

from the Federal government, State, or unit

of local government, or any agency or

instrumentality, for the specific demolition

activities for which funding is requested in

the HOPE VI Demolition grant application.

3. The PHA is in full compliance with any

desegregation or other court order related to

Fair Housing (e.g., Title VI of the Civil Rights

Act of 1964, the Fair Housing Act, and

Section 504 of the Rehabilitation Act of 1973)

that affects the PHA’s public housing

program and that is in effect on the date of

application submission.

4. The PHA does not have any litigation

pending which would preclude timely

startup of activities.

5. PHA has returned any excess advances

received during development or

modernization, or amounts determined by

HUD to constitute excess financing based on

a HUD-approved Actual Development Cost

Certificate (ADCC) or Actual Modernization

Cost Certificate (AMCC), or that HUD has

approved a pay-back plan.

Grantee Certifications

If selected for HOPE VI Demolition grant

funding:

6. The PHA will comply with all policies,

procedures, and requirements prescribed by

HUD for the HOPE VI Program, including the

implementation of HOPE VI Demolition grant

activities, in a timely, efficient, and

economical manner.

7. The PHA will start construction within

six months from the date of Grant Agreement

execution, and complete the demolition

within two years from the date of Grant

Agreement execution.

8. The PHA will not receive assistance

from the Federal government, State, or unit

of local government, or any agency or

instrumentality, for the specific activities

funded by the HOPE VI Demolition grant.

The PHA has established controls to ensure

that any activity funded by the HOPE VI

Demolition grant is not also funded by any

other HUD program, thereby preventing

duplicate funding of any activity.

9. The PHA will not provide to any

development more assistance under the

HOPE VI Demolition grant than is necessary

to perform demolition activities after taking

into account other governmental assistance

provided.

10. The PHA will comply with the

requirements of the Fair Housing Act (42

U.S.C. 3601–19) and regulations pursuant

thereto (24 CFR part 100); Executive Order

11063 (Equal Opportunity in Housing) and

regulations pursuant thereto (24 CFR part

107); the fair housing poster regulations (24

CFR part 110) and advertising guidelines (24

CFR part 109); and Title VI of the Civil Rights

Act of 1964 (42 U.S.C. 2000d) and regulations

pursuant thereto (24 CFR part 1).

11. The PHA will comply with the

prohibitions against discrimination on the

basis of age pursuant to the Age

Discrimination Act of 1975 (42 U.S.C. 6101–

07) and regulations issued pursuant thereto

(24 CFR part 146); the prohibitions against

discrimination against, and reasonable

modification and accommodation and

accessibility requirements for, handicapped

individuals under Section 504 of the

Rehabilitation Act of 1973 (29 U.S.C. 794)

and regulations issued pursuant thereto (24

CFR part 8); the Americans with Disabilities

Act (42 U.S.C. 12101 et seq.) and regulations

issued pursuant thereto (28 CFR Part 36); and

the Architectural Barriers Act of 1968, as

amended (42 U.S.C. 4151) and regulations

issued pursuant thereto (24 CFR Part 40).

12. The PHA will address the elimination

of impediments to fair housing choice that

were identified in the jurisdiction’s Analysis

of Impediments to Fair Housing Choice,

remedy discrimination in housing, and

promote fair housing rights and fair housing

choice.

13. The PHA has adopted the goal of

awarding a specified percentage of the dollar

value of the total of the HOPE VI contracts

to be awarded during subsequent fiscal years

to minority business enterprises and will take

appropriate affirmative action to assist

resident-controlled and women’s business

enterprises in accordance with the

requirements of Executive Orders 11246,

11625, 12432, and 12138.

14. The PHA will comply with the

requirements of Section 3 of the Housing and

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

1701u) (Employment Opportunities for

Lower Income Persons in Connection with

Assisted Projects) and its implementing

regulation at 24 CFR part 135, including the

reporting requirements of Subpart E.

15. The PHA will comply with HUDdetermined prevailing wage rate

requirements to the extent required under

Section 12 of the Act.

16. As applicable, the PHA will comply

with the relocation assistance and real

property acquisition requirements of Section

18 of the Act, as amended (demolition

approved by a Section 18 demolition

application); and/or the Uniform Relocation

Assistance and Real Property Acquisition

Policies Act of 1970 and government-wide

implementing regulations at 49 CFR part 24

(demolition pursuant to a Section 18

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11945

demolition application and demolition

approved pursuant to a Section 202

Mandatory Conversion Plan).

17. The PHA will comply with the HOPE

VI requirements for reporting and access to

records as required in the HOPE VI

Demolition Grant Agreement.

18. The PHA will keep records in

accordance with 24 CFR 85.20 that facilitate

an effective audit to determine compliance

with program requirements, and comply with

the audit requirements of 24 CFR 85.26.

19. The PHA will comply with the policies,

guidelines, and requirements of OMB

Circular A–87 (Cost Principles for State,

Local and Indian Tribal Governments) and 24

CFR part 85 (Administrative Requirements

for Grants and Cooperative Agreements to

State, Local and Federally Recognized Indian

Tribal Governments).

BILLING CODE 4210–32–P

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11947

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11949

FUNDING AVAILABILITY FOR

PUBLIC AND INDIAN HOUSING

DRUG ELIMINATION TECHNICAL

ASSISTANCE PROGRAM (DETAP)

Program Overview

Purpose of the Program. The purpose

of the Public and Indian Housing Drug

Elimination Technical Assistance

Program (DETAP) is to provide no more

than thirty (30) billable days of

technical assistance (TA) consultant

services to assist public housing

agencies (PHAs), Indian tribes and

Tribally Designated Housing Entities

(TDHEs), Resident Management

Corporations (RMCs), incorporated

Resident Councils (RCs), and Resident

Organizations (ROs) to improve the

management and effectiveness of the

Public Housing Drug Elimination

Program. The TA services may be

conducted over a period of not more

than 90 days.

Available Funds. Approximately

$900,000.

Eligible Applicants. Public Housing

Authorities (PHAs), Indian tribes and

Tribally Designated Housing Entities

(TDHEs); incorporated Resident

Management Corporations (RMCs),

incorporated Resident Councils (RCs),

and Resident Organizations (ROs).

Application Deadline. July 27, 2001.

Match. None.

Additional Information

If you are interested in applying for

Public Housing Drug Elimination

Technical Assistance funding, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application (an original and

one copy) is due on or before 12:00

midnight, Eastern time, on July 27, 2001

at the address shown below. The only

exception to this deadline is for HUDInitiated Public Housing Drug

Elimination Technical Assistance, for

which there is no application deadline.

See the General Section of this

SuperNOFA for specific procedures

governing the form of application

submission (e.g., mail applications,

express mail, overnight delivery, or

hand-carried).

Address for Submitting Applications.

Your application consists of one original

signed application and two copies.

Submit one original application and one

copy to the Community Safety and

Conservation Division (CSCD), Room

4206 at the HUD Headquarters Building

located at 451 Seventh Street, SW,

Washington, DC, 20410.

Submit the second copy of your

application to the appropriate HUD

Field Office or HUB with delegated

public housing responsibilities for your

organization. See Appendix A for a list

of HUD offices with delegated

responsibilities. You may also call the

SuperNOFA Information Center at 1–

800–HUD–8929 if you have a question

regarding where you should submit

your application (persons with hearing

or speech impairments may call the

Center’s TTY number at 1–800–HUD–

2209).

You must submit with your

application(s) to CSCD, a Confirmation

Form documenting that the appropriate

HUD Field Office or Hub (AONAP)

received your TA application (this form

is a threshold requirement). Tribes/

TDHEs should submit a second copy of

the DETAP application to the

appropriate Area Office of Native

American Programs (AONAP).

HUD will review and accept DETAP

applications on a first come first serve

basis until July 27, 2001 or until funds

available under this program are

expended.

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. When

requesting an application kit, please

refer to the Public Housing Drug

Elimination Technical Assistance

Program, and provide your name,

address (including zip code) and

telephone number (including area code).

An application kit is also available on

the Internet through the HUD web site

at http://www.hud.gov/pih/programs/

ph/de/cscd.html.

For Further Information and

Technical Assistance. You may contact

the local HUD Field Office or Hub

(AONAP) where you will be submitting

your application or you may call the

Drug Information Strategy

Clearinghouse (DISC) at 1–800–955–

2232. For further information on how to

initiate an application for technical

assistance, please contact Bertha Jones

of the Community Safety and

Conservation Division on (202) 708–

1197, extension 4237. If you are a tribe/

TDHE submitting an application and

need technical assistance, please contact

Tracy Outlaw of the Denver National

Program Office at (303) 675–1600 or

your local AONAP.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov.

II. Amount Allocated

For FY 2001 approximately $900,000

(with an amount adjusted for carryover

when actual carryover is known) is

available for Public Housing Drug

Elimination Technical Assistance.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. (1) The

purpose of this program is to provide

not more than thirty (30) billable days

of technical assistance (TA) consultant

services to assist public housing

agencies (PHAs), Indian tribes and

Tribally Designated Housing Entities

(TDHEs), Resident Management

Corporations (RMCs), incorporated

Resident Councils (RCs) and Resident

Organizations (ROs) to improve the

administration and effectiveness of the

Public Housing Drug Elimination

Program (PHDEP) grants. The TA

services may be conducted over a period

not to exceed 90 days. Housing

Authorities, tribes and TDHEs are

encouraged to use this program as a tool

to evaluate, monitor and administer the

Public Housing Drug Elimination

Program grants.

(2) HUD may also initiate TA under

this program to identify areas of high

risk among HAs and to improve

administration of PHDEP grants

nationally. HUD initiated TA requires

an application and accompanying

standard forms found in Appendix B of

this program NOFA with a letter of

support from the HUD Field Office

(AONAP). HUD initiated TA is also

short-term assistance.

(3) The program will fund the use of

consultants having demonstrated

knowledge of or specialized experience

in providing the following services:

(a) Crisis Intervention/Mediation;

(b) Defensible Space/Crime

Prevention through Environmental

Design;

(c) Guidance on the development of

Five-year PHA Plans;

(d) Assistance in the development or

evaluation of PHDEP performance

indicators for each PHDEP activity;

(e) Tools and techniques for gathering

crime statistics; crime mapping

techniques;

(f) Technology Assessments:

Determination of how computer

software and hardware may be used to

improve grant administration (e.g.

establishment of a crime statistics

database);

11950 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(g) Training on Best Practices (e.g.

Peacemakers/Building Tolerance and

Youth Violence Prevention, Wellness

Training, Development and

Implementation of Kobans,

Development of Gun-Buyback

programs);

(h) Establishment of Partnerships with

Law enforcement agencies;

(i) Drafting memoranda of

understanding with partners;

(j) Translation of the strategic plan

components into measurable and

attainable goals for the PHDEP SemiAnnual Performance Reporting System;

(k) Plan versus Performance

Assessments;

(l) Internet-based computer training as

it specifically relates to the

administration of the PHDEP.

(B) Eligible Applicants. PHAs, Indian

tribes and TDHEs, RCs, ROs in the case

of Indian tribes and TDHEs, and RMCs

that meet all of the applicable threshold

requirements found in Section II(B) of

the General Section of the SuperNofa,

are eligible to receive short-term

technical assistance services under

DETAP. Specific eligibility

requirements are:

(1) If you are an RC or RO, you must

be an incorporated nonprofit

organization or association that meets

all seven of the following requirements:

(a) You must be representative of the

residents you purport to represent.

(b) You may represent residents in

more than one development or in all of

the developments of a PHA but only the

Former 1937 Housing Act Units for

Indian tribes or TDHEs, but you must

fairly represent residents from each

development that you represent.

(c) You must adopt written

procedures providing for the election of

specific officers on a regular basis, but

at least once every 3 years.

(d) You must have a democratically

elected governing board. The voting

membership of your board must consist

of residents of the development or

developments that you represent.

(e) You must be supported in your

application by a PHA or an Indian tribe

or TDHE.

(f) You must provide evidence of

incorporation.

(g) You must provide evidence of

adopted written procedures for electing

officers.

(2) If you are an RMC, you must be an

entity that proposes to enter into, or that

enters into, a management contract with

a PHA under 24 CFR part 964, or a

management contract with an Indian

tribe or TDHE. You must have all seven

of the following characteristics:

(a) You must be a nonprofit

organization incorporated under the

laws of the State or Indian tribe where

you are located.

(b) You may be established by more

than one RO or RC, so long as each:

approves the establishment of your

corporation; and has representation on

the Board of Directors of your

corporation.

(c) You must have an elected Board of

Directors.

(d) Your by-laws must require the

Board of Directors to include

representatives of each RO or RC

involved in establishing the corporation.

(e) Your voting members must be

residents of the development or

developments you manage.

(f) You must be approved by the RC.

If there is no organized resident

organization, a majority of the

households of the development must

approve the establishment of your

organization to determine the feasibility

of establishing a corporation to manage

the development.

(g) You may serve as either an RMC

or RC, so long as your corporation meets

the requirements of 24 CFR part 964 for

a RC. (In the case of a RMC for an Indian

tribe or TDHE, you may serve as both

the RMC and the RO, so long as your

corporation meets the requirements of

this program for a RO.)

(3) You can only submit one

application per award period. A PHA

and its eligible resident groups, and an

Indian tribe and its TDHE may apply

during the same award period as long as

there is no conflict or overlap in your

proposed activities. You are eligible to

apply to receive technical assistance

even if you are already receiving

technical assistance under this program,

as long as your request creates no

scheduling conflict with other DETAP

requests. If HUD initiates TA with your

organization, you may not receive more

than one type of technical assistance

concurrently unless HUD, in

consultation with your organization,

determines that the TA will not

negatively affect the quality of the

DETAP.

(4) You are eligible to apply to receive

technical assistance whether or not you

are already receiving drug elimination

funds under the Public and Indian

Housing Drug Elimination Program.

(5) You must comply with the laws,

regulations, and Executive Orders

applicable to the Drug Elimination TA

Program, including applicable civil

rights laws.

(C) Eligible Activities.

(1) Eligible activities under this

funding. Funding is limited to technical

assistance for carrying out activities

authorized under Chapter 2, Subtitle C,

Title V of the Anti-Drug Abuse Act of

1988 (42 U.S.C. 11901 et. seq.), as

amended by section 581 of the National

Affordable Housing Act of 1990 (Pub.L.

101–625, approved November 28, 1990),

and section 161 of the Housing and

Community Development Act of 1992

(Pub.L. 102–550, approved October 28,

1992). The following circumstances are

eligible for HUD-Initiated Technical

Assistance under the Public and Indian

Housing Drug Elimination Technical

Assistance Program. HUD-Initiated

technical assistance may be requested

by HUD staff for one or more of the

following circumstances:

(a) Housing authorities, Indian tribes,

TDHEs, RCs, ROs, and RMCs that are

unable to document their drug and/or

crime problems through crime statistics;

(b) Housing authorities, Indian tribes,

TDHEs, RCs, ROs, and RMCs that do not

have the expertise to develop effective

drug and crime prevention programs;

(c) Housing authorities that need

assistance in using the PHDEP SemiAnnual Performance Reporting System

to evaluate their program.

(d) Housing Authorities that need

assistance in developing performance

indicators; Housing authorities, Indian

tribes, TDHEs, RCs, ROs, and RMCs that

need assistance in developing

evaluation mechanisms for drug

elimination programs and strategies.

(e) Housing authorities, Indian tribes,

TDHEs, RCs, ROs, and RMCs with

special circumstances whose needs fit

under the scope of this program section

of the SuperNOFA.

(2) Ineligible Activities. Funding is not

permitted for:

(a) Any type of monetary

compensation for residents.

(b) Any activity that is funded under

any other HUD program, including TA

and training for the incorporation of RCs

or RMCs, and other management

activities;

(c) Any type of resident or PHA staff

member training and technical

assistance that does not relate to crime,

drug reduction/elimination, risk

management or technical assistance to

improve the overall administration and

management of PHDEP grants and

performance goals;

(d) Salary or fees to your staff, or your

former staff within a year of their

employment;

(e) Underwriting conferences;

(f) Grant Writing Training and

Funding Research/Development;

(g) Graffiti Removal/Prevention;

(h) Resident Patrols;

(i) Peer Support;

(j) Alternative Programs;

(k) Leadership Training for Resident

Organizations;

(l) Conference speakers;

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11951

(m) Program implementation,

proposal writing, financial support for

existing programs, or efforts requiring

more than 30 billable days of technical

assistance over a 90 day period or

assistance that will require more than 90

days to complete; the purchase of

hardware or equipment, or any activities

deemed ineligible in the Drug

Elimination Program, excluding

consultant’s fees.

IV. Program Requirements

Except as stated below in this section,

you must meet the requirements listed

in Section II of the General Section of

this SuperNOFA. You must also meet

these additional requirements:

(A) Individual Award Amounts. You

may not submit an application for more

than $15,000.

(1) Applications for short-term

technical assistance may be funded up

to $15,000, with HUD providing

payment directly to your authorized

consultant for the consultant’s fee,

travel, room and board, and other

approved costs at the government rate

approved by HUD.

(2) Technical assistance initiated by

HUD may be for any amount up to

$25,000 when HUD staff determine that

more than 30 billable days of technical

assistance over a 90-day period is

justified.

(B) Receipt of More than One

Application. If HUD receives more than

one application from a HA, or a group

of RCs, ROs, or RMCs, or an Indian tribe

and a TDHE, in proximity to one

another, HUD and its agent may exercise

discretion to consider any two or more

applications as one, recommending one

or more consultants and executing

contracts for any combination of

applications.

(C) Affirmatively Furthering Fair

Housing. Section II(D) of the General

Section does not apply to this NOFA

because its purpose is to address

specific and targeted problems faced by

Public Housing Authorities, Indian

tribes, Tribally Designated Housing

Entities, Resident Management

Corporations, Resident Councils, or

Resident Organizations in their

management of the Public Housing Drug

Elimination Program and to assist the

applicants in the improvement of the

effectiveness of that program.

(D) Eligible Consultants. HUD is

seeking individuals or entities who have

experience working with public or

Tribal housing or other low-income

populations to provide short-term

technical assistance under this DETAP

section of the SuperNOFA. Consultants

who have previously been deemed

eligible and are part of HUD’s TA

Consultant Database need not reapply,

but must update their file with more

recent experience and rate justification

on an annual basis. HUD reserves the

right to consider a consultant name

inactive in the database if the consultant

has not provided updated information

for the database within the last two

years. The updated skills should list

strengths in priority order.

(1) To qualify as an eligible

consultant, you should have

demonstrated knowledge and

specialized experience in one or more of

the following general areas:

(a) PHA/Indian tribe or TDHE-related

experience with:

(i) Agency organization and

management;

(ii) Facility operations;

(iii) Strategic plan development, and

(iv) Prevention and intervention

programs;

(b) Experience as an independent

consultant, or as a consultant working

with a firm with related experience and

understanding of on-site work

requirements, contractual, reporting and

billing requirements;

(c) Crisis Intervention/Mediation;

(d) Defensible Space/Crime

Prevention through Environmental

Design Guidance on the development of

Five-year PHA Plans;

(e) Assistance in the development or

evaluation of PHDEP performance

indicators for each PHDEP activity;

(f) Tools and techniques for gathering

crime statistics; Crime mapping;

(g) Technology Assessments:

Determination of how computer

software and hardware may be used to

improve grant administration (e.g.

establishment of a crime statistics

database; Training on Best Practices (e.g.

Peacemakers/Building Tolerance and

Youth Violence Prevention, Wellness

Training, Development and

Implementation of Kobans,

Development of Gun-Buyback

programs);

(h) Establishment of Partnerships with

Law enforcement partnerships;

(i) Drafting memoranda of

understanding with partners;

(j) Translation of the strategic plan

components into measurable and

attainable goals for the PHDEP SemiAnnual Performance Reporting System;

(k) Plan versus Performance

Assessments;

(l) Internet-based computer training as

it specifically relates to the

administration of the PHDEP.

(2) Additional requirements for

consultants include the following:

(a) In addition to the conflict of

interest requirements in 24 CFR part 85,

no person who is an employee, agent,

officer, or appointed official of an

eligible applicant may be funded as a

consultant to that organization by this

Drug Elimination Technical Assistance

Program.

(b) If you are a consultant who wishes

to provide drug elimination technical

assistance services through this

program, you must not have had any

involvement in the preparation or

submission of any DETAP proposal.

Your involvement will be considered a

conflict of interest, making you

ineligible for providing consulting

services to the eligible applicant and

will disqualify you from future

consideration. This prohibition shall

also be invoked for preparing and

distributing prepared generic or sample

applications to entities eligible to apply

for funding under this program. If HUD

determines that any application

submitted by a PHA, Indian tribe or

TDHE, RC, RO or RMC duplicates a

sufficient amount of any prepared

sample to raise issues of possible

conflict of interest, and HUD determines

you provided and distributed the

sample, you will be disqualified from

receiving HUD funds.

(c) Consultants accepted into the

DETAP are prohibited from soliciting

their services to eligible applicants.

(d) HUD-registered consultants are

eligible to receive funds to be

reimbursed for up to $15,000 for

conducting short-term technical

assistance. HUD or its agent will

carefully review the approved Statement

of Work to ensure that resources

allocated are appropriate and reasonable

for the work to be performed (e.g.

resources devoted to pre-on site

preparation and on-site work). Longterm results are expected from each job.

After your work is completed,

evaluations from recipients of the

technical assistance services will be

submitted to HUD on your work

performance. The evaluations will be

carefully reviewed to make sure the

recipients of TA are satisfied with your

services. If your performance receives a

satisfactory rating, you will be

reimbursed by HUD. If the housing

authority is not satisfied with the report

that is provided by the consultant, HUD

will require the consultant to correct the

report or address and/or resolve any

issues raised by the housing authority

without additional costs. If these issues

can not be resolved, HUD will not be

under obligation to reimburse the

consultant for any incurred costs except

for transportation and per diem costs. In

extreme cases of technical assistance

needs, staff members of HUD

Headquarters and field offices may

recommend specialized technical

11952 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

assistance for which you can receive up

to $25,000 in funds.

You may not be the lead consultant

on any more than two active contracts

or purchase orders at one time nor be

involved with more than one company

at a time that has active technical

assistance contracts. You may not have

any more than four contracts or

purchase orders and enter into a

purchase order agreement as a lead

consultant within the calendar year. The

lead consultant may enter into a

collaborative agreement with other TA

consultants listed in the database. In the

case of collaborative agreements, only

one purchase order will be issued to the

lead consultant. The Department will

have no obligation to reimburse or issue

a separate purchase order agreement

with collaborating consultants.

Reimbursement to collaborating

consultants will be the responsibility of

the lead consultant. If you are working

as a member of a multi-person firm, the

key individual for the specific contract

must be listed on each contract as the

point of contact. The point of contact

must be on-site more hours than any

other contracted staff billing to the

purchase order, and that individual may

have no more than two purchase orders

active at the same time. Consulting

firms may bill the authorized daily rate

only once per 24-hour period.

Consultants shall not bill more than

once for a single day’s work; for

example, if a firm consists of three

consultants and the certified daily rate

is $470, they may not bill HUD $1,410

per day for their services. Each

individual consultant may not bill at his

or her daily rate. The aggregate number

of hours billed by one or all consultants

on project must not exceed 8 hours per

day.

(E) Ineligible Consultants. Consultants

and/or companies currently debarred or

suspended by HUD are not eligible to

perform services under this program.

Also, consultants that are not in the

official Consultant database are

considered ineligible for this program.

(F) Application Process for

Consultants. (1) If you are an individual

or entity interested in being listed in the

DETAP Consultant Database, you must

prepare your application and send it to

the address specified in the application

kit. Before you can be entered into the

Consultant Database, you must submit

an application that includes the

following information:

(a) The Consultant Resource Inventory

Questionnaire, including at least three

written references, all related to the

general areas listed in this DETAP

section of the SuperNOFA. One or two

of the written references must relate to

work for a PHA, Indian tribe or TDHE,

RC, RO or RMC;

(b) A resume;

(c) Documented evidence (e.g., w-2

Wage Statement, payment statement

etc.) of the standard daily fee previously

paid to you for technical assistance

services similar to eligible activities

under this DETAP. In light of the recent

drastic reduction in Drug Elimination

Technical Assistance funding, the

standard daily fee will not exceed the

Equivalent Rate for Level IV of the

Executive Schedule.

(2) HUD will determine your specific

fee based upon the evidence you

submitted under this DETAP.

(3) If you are an employee of a

housing agency (HA), Indian tribe, or

TDHE, you may not serve as a

consultant to your employer. If you

serve as a consultant to other than your

employer, you must be on annual leave

to receive the consultant fee.

(i) Applicants are prohibited from

selecting consultants by name from

HUD’s consultant database.

(ii) Consultants will be recommended

to an organization seeking TA, based on

factors including capacity to perform

the technical assistance, their strengths

identified in the consultant skill codes

in the database, previous experience in

the specified areas of technical

assistance, previous performance

evaluation for performing technical

assistance, reasonableness of the fee,

and geographic proximity to the site

where TA will be provided. If no

consultants in the database are within

the geographical proximity, consultants

will be selected from the closest region

to the site where TA will be provided.

The technical assistance to be provided

will be based upon an assessment of a

maximum of three priority areas of

concern to the applicant. All of the

skills that the consultants possess are

not eligible for providing technical

assistance under DETAP. If the priority

areas of concern are not identified in the

application, the applicant will be

contacted by HUD or its agent to

identify a maximum of three priority

areas of concern to target the technical

assistance.

V. Application Selection Process

(A) General. HUD will review

applications on a first-come, first-served

basis, until funds under this DETAP

section of the SuperNOFA are no longer

available. Eligible applications will be

funded in the order in which

negotiations for a statement of work are

completed. HUD-Initiated applications

will be received throughout the year

with no deadline or until funds are

expended.

(B) Threshold Submission

Requirements for Funding

Consideration. In addition to required

forms, certifications and assurances,

found in the General Section of the

SuperNOFA, the following requirements

must be included in your application to

be considered and approved for

funding:

If you are requesting TA services, you

must meet the following requirements:

(1) The applicant must answer the

following questions: Note: You cannot

request technical assistance under

DETAP by answering ‘‘to conduct a

needs assessment or survey.’’ You must

be able to discuss what prevents you

from identifying, describing, and/or

measuring the problems for which you

are requesting technical assistance. You

must list your needs for TA in order of

priority:

(a) Describe in detail the problem,

issue or weakness that hinders the

proper administration or effectiveness of

PHDEP.

(b) Identify what technical assistance

you would like to receive.

(c) Explain how the technical

assistance sought will improve the

administration of the grant or the

effectiveness of the PHDEP grant

program.

(d) Describe how the technical

assistance will be used in assisting you

in strategic planning. You may wish to

address any or all of the following:

(i) Establishment of a framework for

annual program evaluation of PHDEP

activities;

(ii) Scheduling data collection for

evaluation;

(iii) Identification of appropriate

performance indicators, interpretation

of results of data collection;

(iv) Improving data collection and

data elements;

(v) Guidance on the development of

your 5-year plan;

(vi) Preparation assistance meeting

your PHDEP semiannual performance

reporting requirements; or

(vii) Crime mapping and

identification of appropriate hardware

and software.

(e) Specify what outcome you expect

to achieve and how it will benefit

PHDEP over the next five years.

(f) How will the proposed assistance

allow you to develop an anti-drug, anticrime strategy; or how will the proposed

assistance fit into your current strategy?

(g) The application must include the

form, ‘‘HUD Field Office/AONAP

Confirmation Form.’’

(h) If your application does not meet

the requirements described above it will

not be considered for funding.

(C) Application Awards. (1) If your

application is deemed eligible for

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11953

funding and sufficient funds are

available, you will be contacted by HUD

or its agent to confirm the work

requirements. Only one application will

be accepted from a HA, Indian tribe or

TDHE; or group of RCs, ROs or RMCs in

proximity to one another. HUD may

exercise its discretion to consider any

two or more applications as one,

assuming that the applications are

received at the same time, or before

approval by the Chief Financial Officer

and the Office of Procurement and

Contracts, executing the contract, and

providing notification to the consultant

to proceed to work. If two or more

applications from HAs or resident

groups are combined, the consultant to

provide the combined technical

assistance should have the capability to

administer both or all types of technical

assistance being requested by each

applicant.

(3) Once your application for TA has

been reviewed and found acceptable by

HUD, the TA Consultant Database will

be searched for consultants who have:

(a) A principal place of business or

residence located within the same

geographic area as the applicant. For

purposes of this program section of the

SuperNOFA, the term ‘‘geographic area’’

refers to, in order of priority: city, state,

region, and country;

(b) The requisite knowledge, skills,

and abilities to respond to the request;

and

(c) The most reasonable (least

expensive) fees.

(4) HUD will then forward to you a

list of suggested consultants from the

consultant database. From this list, you

must select a consultant to provide your

requested TA.

(5)(a) From the list provided by HUD,

you must contact and interview a

minimum of three TA consultants. HUD

may request confirmation from each

contacted consultant that they were

contacted. To obtain the three

consultants, you must continue to call

as many consultants as necessary from

the list to complete the three interviews.

If HUD determines that any consultant

was not contacted, HUD (Headquarters)

may consider your selection by the

applicant void.

(b) After contacting each consultant,

you must send a written justification for

your recommended selection in order

preference. If any are unacceptable, you

must also indicate the consultant and

the reasons you find them unacceptable.

(c) If you find that all referred

consultants lack the requisite expertise,

you must provide written detailed

documentation justifying this decision.

If HUD determines that your

justification is adequate, you will be

provided with a second list of potential

consultants.

(d) If you do not provide HUD the

written justification of consultant choice

within 30 calendar days, HUD reserves

the right to cancel your TA request.

(6)(a) HUD or its agent will work with

your selected consultant and you to

develop a ‘‘statement of work.’’ The

statement of work should include:

(i) A time line and estimated budget;

(ii) A discussion of the kind of

technical assistance and skills needed to

address the problem, and how the

technical assistance requested will

address these needs; and

(iii) A description of the current crime

and drug elimination strategy, and how

the requested technical assistance will

assist in improving the management and

oversight of the PHDEP Grant Program.

(b)(i) When HUD has completed the

authorization to begin work, your

selected consultant will be contacted to

start work. Your consultant must receive

written authorization from HUD or its

authorized agent before beginning to

provide technical assistance. The

requesting organization and the relevant

Field Office or Area Office of Office of

Native American Programs will also be

notified that authorization to begin work

has been given.

(ii) Work begun before the authorized

date will be considered unauthorized

and will not be compensated by HUD.

(iii) Consultants will only be

reimbursed for a maximum of 30 days

of work, which must be completed in

fewer than 90 days from the date of the

approved statement of work. The

exception to this will be for HUDInitiated technical assistance.

VI. Application Submission

Requirements

(A) General. In addition to the

program requirements listed in the

General Section of this SuperNOFA,

each DETAP application must include

both the descriptive letter and

certification statement to be eligible for

funding.

(B) Forms, Certifications and

Assurances. Your application must

contain the items listed in this Section

VI(B). These items include the standard

forms, certifications, and assurances

listed in Section II(G) of the General

Section of the SuperNOFA that are

applicable to this funding (collectively,

referred to as the ‘‘standard forms’’). The

standard forms can be found in

Appendix B to the General Section of

the SuperNOFA. The remaining

application items that are forms (i.e.,

excluding such items as narratives,

letters), referred to as the ‘‘non-standard

forms’’ can be found as Appendix B to

this program section of the SuperNOFA.

The items are as follows:

(1) Applications must be signed and

certified by both the Executive Director

or Tribal Council or authorized TDHE

official and a resident leader.

(2) The certification must indicate

that:

(a) A copy of the application was sent

to the local HUD Field Office, Public

Housing Directors, or Administrator,

Office of Native American Programs;

(b) The application was reviewed by

both the housing authority Executive

Director or Tribal Council or authorized

TDHE official, and a resident leader of

your organization; and

(c) Any technical assistance received

will be used in compliance with all

requirements in the SuperNOFA.

(3) The application must contain a

four page (or fewer) application letter

responding to each of the requirements

listed in Section V(B) of the DETAP

section of the SuperNOFA.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

In accordance with 24 CFR

50.19(b)(9), the assistance provided

under this program relates only to the

provision of 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.

IX. Authority

The FY 2001 HUD Appropriations Act

under the heading, ‘‘Drug Elimination

Grants for Low-Income Housing.’’

Appendix A—Hud’s Public Housing

Area Offices

New England Region

Boston

Donna Ayala, Office of Public Housing,

DHUD—Massachusetts State Office,

Thomas P. O’Neill, Jr. Federal Building, 10

Causeway Street, Room 553, Boston, MA

02222–1092, (617) 565–5197 fax (617) 565–

5257

Hartford

Raymond Jordan, Office of Public Housing,

DHUD—Connecticut State Office, 19th

Floor, One Corporate Center, Hartford, CT

06103–3220, (860) 240–4800 or (860) 240–

4850

11954 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Manchester

Robin Gagnon, Office of Public Housing,

DHUD—New Hampshire State Office,

Norris Cotton Federal Building, 275

Chestnut Street, Manchester, NH 03101–

2487, (603) 666–7674 or fax (603) 666–

7714

Providence

Marlene Piekarsky, Office of Public Housing,

DHUD—Rhode Island State Office, 10

Weybosset Street, 6th Floor, Providence, RI

02903–3234, (401) 528–5366 or (401) 528–

5370

New York/New Jersey Region

New York

Mirza Del Rosario, Office of Public Housing,

DHUD—New York State Office, 26 Federal

Plaza, Suite 32–116, New York, New York

10278–0068, (212) 264–8931 fax (212) 264–

9834

Buffalo

Joan Dpilman, Office of Public Housing,

DHUD—Buffalo State Office, Lafayette

Court, 465 Main Street, Fifth Floor,

Buffalo, New York 14203–5755, (716) 551–

5755 ext. 5050 fax (716) 551–4789

New Jersey

Carmen Valenti, Office of Public Housing,

DHUD—New Jersey State Office, One

Newark Center, 13th Floor, Newark, NJ

07102–5260, (973) 622–7900 ext. 3600 fax

(973) 645–6239

Mid-Atlantic Region

Philadelphia

Malinda Roberts, Office of Public Housing,

DHUD—Pennsylvania State Office, The

Wanamaker Building, 100 Penn Square

East, Philadelphia, PA 19107–3390, (215)

656–0576 or 0579, ext. 3308 fax (215) 656–

3433

Baltimore

Dana Johnson, Office of Public Housing,

DHUD—Maryland State Office, City

Crescent Building, 10 South Howard

Street, 5th Floor, Baltimore, Maryland

21201–2505, (410) 962–2520 ext. 3102 fax

(410) 962–0668

West Virginia

Henry Miller, Office of Public Housing,

DHUD—West Virginia State Office,

Kanawha Valley Building, 405 Capitol

Street, Suite 708, Charleston, WV 25301–

1795, (304) 347–7057 fax (304) 347–7045

Pittsburgh

Office of Public Housing, DHUD—Pittsburgh

Area Office, 339 Sixth Avenue, 6th Floor,

Pittsburgh, PA 15222–2515, (412) 644–

6571 fax (412) 644–6499

Virginia

Pat Anderson, Office of Public Housing,

DHUD—Virginia State Office, The 3600

Centre, 3600 West Broad Street, P.O. Box

90331, Richmond, VA 23230–0331, (804)

278–4500 ext. 3217 fax (804) 278–4603

District of Columbia

Lee Palman, Office of Public Housing,

DHUD—District of Columbia Office, 820

First Street, NE., Suite 450, Washington,

DC 20002–4205, (202) 275–7965 ext 3175

fax (202) 275–0779

Southeast Region

Atlanta

Boyce Norris, Office of Public Housing,

DHUD—Georgia State Office, Richard B.

Russell Federal Building, 40 Marietta

Street, Atlanta, GA 30303, (404) 331–4766

fax (404) 730–2365

Alabama

Debra Pippen, Office of Public Housing,

DHUD—Alabama State Office, Beacon

Ridge Tower, 600 Beacon Parkway West,

#300, Birmingham, AL 35209–4144, (205)

290–7601 ext 1101 fax (205) 290–7593

Columbia

Larry Knightner, Office of Public Housing,

DHUD—South Carolina State Office, Strom

Thurmond Federal Building, 1835

Assembly Street, Columbia, SC 29201–

2480, (803) 765–5831 or (806) 765–5515

Greensboro

Ledford Austin, Office of Public Housing,

DHUD—North Carolina State Office, Koger

Building, 2306 West Meadowview Road,

Greensboro, NC 27407–3707, (336) 547–

4038 fax (336) 547–4015

Mississippi

George Smith, Office of Public Housing,

DHUD—Mississippi State Office, Doctor A.

H. McCoy Federal Building, 100 West

Capitol Street, Room 910, Jackson, MS

39269–1016, (601) 965–4761 fax (601) 965–

4773

Miami

Karen Cato-Turner, Office of Public Housing,

DHUD—Florida State Office, 909 SE First

Avenue, Suite 500, Miami, FL 33131, (305)

536–4443 fax (305) 536–5663

Jacksonville

John Niesz, Office of Public Housing,

DHUD—Jacksonville Area Office, Southern

Bell Tower, 301 West Bay Street, Suite

2200, Jacksonville, FL 32202–5121, (904)

232–1777 ext. 2142 fax (904) 232–3759

Kentucky

Arthur Wasson, Office of Public Housing,

DHUD—Kentucky State Office, 601 West

Broadway, Post Office Box 1044,

Louisville, KY 40201–1044, (502) 582–

6163 ext. 370 fax (502) 582–6558

Knoxville, TN

Shelley Day, Office of Public Housing,

DHUD—Knoxville Area Office, John J.

Duncan Federal Building, 710 Locust

Street, Third Floor, Knoxville, TN 37902–

2526, (423) 545–4402 ext. 4 fax (423) 545–

4569

Nashville, TN

Michael Farley, Office of Public Housing,

DHUD—Tennessee State Office, 235

Cumberland Bend Drive, Suite 200,

Nashville, TN 37228–1803, (615) 736–5063

ext. 6132 fax (615) 736–2886

San Juan, PR

Hildamar Ortiz, Office of Public Housing,

DHUD—Caribbean Office, Administracion

de Terrenos Building, 171 Carlos E.

Chardon Avenue, Suite 301, San Juan, PR

00918–0903, (787) 766–5400 ext. 2031 fax

(787) 766–6504

Mid-West Region

Chicago

Office of Public Housing, DHUD—Illinois

State Office, Ralph H. Metcalfe Federal

Building, 77 West Jackson Boulevard,

Chicago, IL 60604–3507, (312) 353–1915 or

(312) 353–6236 ext. 2302 fax (312) 353–

0121

Cincinnati

Larry Dempsey, Office of Public Housing,

DHUD—Cincinnati Area Office, 525 Vine

Street, Suite 700, Cincinnati, OH 45202–

3188, (513) 684–2654 fax (513) 684–6224

Cleveland

Tom Marshall, Office of Public Housing,

DHUD—Cleveland Area Office,

Renaissance Building, 1350 Euclid

Avenue, Suite 500, Cleveland, OH 44115–

1815, (216) 522–2700 fax (216) 522–2975

Columbus

David Kellner, Office of Public Housing,

DHUD—Ohio State Office, 200 North High

Street, Columbus, OH 43215–2499, (614)

469–5787, ext. 8224 or (614) 469–2949 fax

(614) 469–2432

Detroit

Joann Adams, Office of Public Housing,

DHUD—Michigan State Office, Patrick V.

McNamara Federal Building, 477 Michigan

Avenue, Detroit, MI 48226–2592, (313)

226–6880, ext. 8111 fax (313) 226–5611

Grand Rapids

Joann Adams, Office of Public Housing,

DHUD—Grand Rapids Area Office, 50

Louis Street, NW, 3rd Floor, Grand Rapids,

Michigan 49503, (616) 456–2100 fax (616)

456–2187

Indianapolis

Forrest Jones, Office of Public Housing,

DHUD—Indiana State Office, 151 North

Delaware Street, Suite 1200, Indianapolis,

IN 46204–2556, (317) 226–6557 fax (317)

226–5594

Milwaukee

John Finger, Office of Public Housing,

DHUD—Wisconsin State Office, Henry S.

Reuss Federal Plaza, 310 West Wisconsin

Avenue, Suite 600, Milwaukee, WI 53203–

2289, (414) 297–3214 ext. 8200 fax (414)

297–1180

Minneapolis

Diane Cmiel, Office of Public Housing,

DHUD—Minnesota State Office, 220 South

Second Street, Minneapolis, Minnesota

55401–2195, (612) 370–3135 fax (612) 370–

3003

Southwest Region

Fort Worth

Roman Palamores, Office of Public Housing,

DHUD—Texas State Office, 1600

Throckmorton, Post Office Box 2905, Fort

Worth, TX 76113–2905, (817) 978–5700,

ext. 3332 fax (817) 978–9289

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Albuquerque

Carmella Herrera, Office of Public Housing,

DHUD—New Mexico State Office, 625

Silver Avenue, S.W., Suite 100,

Albuquerque, N.M. 87102–3185, (505)

346–7355 fax (505) 346–6604

Houston

Debbie Alexander, Office of Public Housing,

DHUD—Houston Area Office, Norfolk

Tower, 2211 Norfolk, Suite 200, Houston,

TX 77098–4096, (713) 313–2274 (alt. 2280)

fax (713) 313–2319

Little Rock

Janie Allen, Office of Public Housing,

DHUD—Arkansas State Office, TCBY

Tower, 425 West Capitol Avenue, Suite

900, Little Rock, AR 72201–3488, 324–

5933 fax (501) 324–5900

New Orleans

Jed Drozdowski, Office of Public Housing,

DHUD—Louisiana State Office, 501

Magazine Street, Ninth Floor, New

Orleans, LA 70130, (504) 589–7235 fax

(504) 589–6619

Oklahoma City

Office of Public Housing, DHUD—Oklahoma

State Office, 500 West Main Street,

Oklahoma City, OK 73102, (405) 553–7454

fax (405) 553–7588

San Antonio

Diana Armstrong, Office of Public Housing,

DHUD—San Antonio Area Office,

Washington Square, 800 Dolorasa Street,

San Antonio, TX 78207–4563, (210) 475–

6865 fax (210 472–6816

Great Plains Region

Kansas City

Andrew Boeddeker, Office of Public Housing,

DHUD–Kansas/Missouri State Office,

Gateway Tower II, 400 State Avenue,

Kansas City, KS 66101–2406, (913) 551–

5582 or (913) 551–6916 fax (913) 551–5416

Des Moines

Kathy Winter, Office of Public Housing,

DHUD—Iowa State Office, Federal

Building, 210 Walnut Street, Room 29, Des

Moines, IA 50309–2155, (515) 284–4315

fax (515) 284–4895

Omaha

Charlie Hill, Office of Public Housing,

DHUD—Nebraska State Office, Executive

Tower Centre, 10909 Mill Valley Road,

Omaha, NE 68154–3955, (402) 492–3137

fax (402) 492–3163

St. Louis

Patricia Straussner, Office of Public Housing,

DHUD—St. Louis Area Office, Robert A.

Young Federal Building, 1222 Spruce

Street, St. Louis, MO 63103–2836, (314)

539–6505 fax (314) 539–6508

Rocky Mountain Region

Denver

John DiBella, Office of Public Housing,

DHUD—Colorado State Office, First

Interstate Tower North, 633—17th Street,

12th Floor, Denver, CO 80202–3607, (405)

672–5380 fax (405) 672–5065

Pacific Hawaii Region

San Francisco

Joyce Lee, Office of Public Housing, DHUD—

California State Office, Phillip Burton

Federal Building/Courthouse, 450 Golden

Gate Avenue, 9th Floor, San Francisco, CA

94102–3448, (415) 436–8375 fax (415) 436–

6440

Phoenix

(Denver Office handles resident initiatives),

Office of Public Housing, DHUD—Arizona

State Office, Two Arizona Center, 400

North 5th Street, Suite 1600, Phoenix, AZ

85004–2361, (602) 379–3045 fax (602) 379–

3985

Los Angeles

Bob Cook, Office of Public Housing, DHUD—

Los Angeles Area Office, AT&T Center, 611

West 6th Street, Suite 800, Los Angeles, CA

90017–3127, (213) 894–8000 ext 3500 fax

(213) 894–8096

Sacramento

Bill Armstead, Office of Public Housing,

DHUD—Sacramento Area Office, 925 ‘‘L’’

Street, Sacramento, CA 95814, (916) 498–

5220 ext. 421 fax (916) 498–5247

NW/Alaska Region

Seattle

Lynn Martin, Office of Public Housing,

DHUD—Washington State Office, Seattle

Federal Office Building, 909 1st Avenue,

Suite 360, Seattle, WA 98104–1000, (206)

220–5290 Ext 3694 fax (206) 220–5133

Portland

Elizabeth Santone, Office of Public Housing,

DHUD—Oregon State Office, 400

Southwest Sixth Avenue, Suite 700,

Portland, OR 97204–1596, (503) 326–2619

fax (503) 326–2568

AREA OFFICES OF NATIVE AMERICAN PROGRAMS

If you are applying from this geographic

location * * * Send your application to ‘‘ONAP Administrator’’ of this Area ONAP

All States east of the Mississippi River,

Plus Iowa and Minnesota.

Eastern/Woodlands Office of Native American Programs, Grants Management Division, 77 West

Jackson Blvd., Room 2400, Chicago, IL 60604–3507, Telephone: (312) 886–4532, Ext. 2815.

Louisiana, Kansas, Oklahoma, and

Texas, except West Texas.

Southern Plains Office of Native American Programs, Grants Management Division, 500 W. Main

Street, Suite 400, Oklahoma City, OK 73102–3202, Telephone: (405) 553–7525.

Colorado, Montana, Nebraska, North Dakota, South Dakota, Utah, and Wyoming.Northern Plains Office of Native American Programs, Grants Management Division, First Wells

Fargo Tower North, 633 17th Street, Denver, CO 80202–3607, Telephone: (303) 672–5465.

Arizona, California, and Nevada ............... Southwest Office of Native American Programs, Grants Management Division, Two Arizona Center,

400 N. Fifth Street, Suite 1650, Phoenix, AZ 85004–2361, Telephone: (602) 379–3865.

New Mexico and West Texas ................... Southwest Office of Native American Programs, Grants Management Division, Albuquerque Plaza,

201 3rd Street N.W., Suite 1830, Albuquerque, NM 87102–3368, Telephone: (505) 346–6923

Idaho, Oregon, Washington ...................... Northwest Office of Native American Programs, Grants Management Division, Federal Office Building, 909 First Avenue, Suite 300, Seattle, WA 98104–1000, Telephone: (206) 220–5271.

Alaska ....................................................... Alaska Office of Native American Programs, Grants Management Division, 949 E. 36th Avenue,

Suite 401, Anchorage, AK 99508–4399, (907) 271–4603.

APPENDIX B

The non-standard forms, which follow, are

required for your DETAP application.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR THE

INDIAN HOUSING DRUG

ELIMINATION PROGRAM

Program Overview

Purpose of the Program: The purpose

of the Indian Housing Drug Elimination

Program (IHDEP) is to provide grants to

eliminate drugs and drug-related crime

in American Indian and Alaskan Native

communities.

Available Funds: Approximately

$12,000,000 million is being made

available for Indian Housing Drug

Elimination Program (IHDEP) grants.

Eligible Applicants: Indian tribes who

are eligible to be recipients of assistance

under the Native American Housing

Assistance and Self-Determination Act

of 1996 (NAHASDA recipients) which

means an Indian tribe or the entity for

one or more Indian tribes that is

authorized to receive grant amounts

under NAHASDA on behalf of the tribe

or tribes.

Application Deadline: April 24, 2001.

Match: None.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Submission

Address, Application Kits, Further

Information, and Technical Assistance

Application Due Date: Your

completed application (one original and

two copies) is due on or before April 24,

2001.

See the General Section of this

SuperNOFA for specific procedures that

you must follow for the form of

application submission (e.g., mailed

applications, express mail, overnight

delivery, or hand carried).

Address For Submitting Applications.

Please Note: We are instituting a new

submission policy. Please submit an

original and one identical copy to the

Indian Housing Drug Elimination

Information & Resource Center (IHDE–

IRC), P.O. Box 14970, Silver Spring, MD

20911. You must also send one identical

copy of your IHDEP application by the

application due date to the local Area

Office of Native American Programs

(AONAP) Attention: HUD

Administrator, Area Office of Native

American Programs (AONAP). A list of

local offices is provided below. The

timely submission of your application

will be based on the date and time it is

submitted to the AONAP listed below,

not the date and time it is received at

the Indian Housing Drug Elimination

Information & Resource Center. Again,

please see the General Section of the

SuperNOFA for specific procedures on

the application due date.

If you are applying from this geographic

location then * * * Send your application to this AONAP

All states East of the Mississippi River,

Plus Iowa and Minnesota.

Eastern/Woodlands Office of Native American Programs, Grants Management Division, 77 West

Jackson Blvd., Room 2400, Chicago, IL 60604–3507, Telephone: (312) 886–4532, Ext. 2815.

Louisiana, Kansas, Oklahoma, and

Texas, except West Texas.

Southern Plains Office of Native American Programs, Grants Management Division, 500 W. Main

Street, Suite 400, Oklahoma City, OK 73102–3202, Telephone: (405) 553–7525.

Colorado, Montana, Nebraska, North Dakota, South Dakota, Utah, and Wyoming.Northern Plains Office of Native American Programs, Grants Management Division, Wells Fargo

Tower North, 633 17th Street, Denver, CO 80202–3607, Telephone: (303) 672–5465.

Arizona, California, and Nevada ............... Southwest Office of Native American Programs, Grants Management Division, Two Arizona Center,

400 N. Fifth Street, Suite 1650, Phoenix, AZ 85004–2361, Telephone: (602) 379–3865.

New Mexico and West Texas ................... Southwest Office of Native American Programs, Grants Management Division, Albuquerque Plaza,

201 3rd Street N.W., Suite 1830, Albuquerque, NM 87102–3368, Telephone: (505) 346–6923.

Idaho, Oregon, Washington ...................... Northwest Office of Native American Programs, Grants Management Division, Federal Office Building, 909 First Avenue, Suite 300, Seattle, WA 98104–1000, Telephone: (206) 220–5271.

Alaska ....................................................... Alaska Office of Native American Programs, Grants Management Division, 949 E. 36th Avenue,

Suite 401, Anchorage, AK 99508–4399, (907) 271–4603.

In order to expedite the review of

your application and to ensure that your

application is given a thorough and

complete review of all responses to each

of the components of the selection

criteria, HUD strongly requests that

when you respond to each of the

selection criterion and sub-criterion that

you separate each selection criterion

and sub-criterion with tabs. In order for

your IHDEP application to be rated,

make sure the response for each

criterion is beneath the appropriate tab

(heading). Keep the responses in the

same order as the NOFA. Limit your

narrative explanations to 200 words or

less and provide the necessary data that

supports the response. Include all

relevant material to a response under

the same tab. Do not assume the

reviewer will search for the answer or

information to support the answer

elsewhere in the application. Do not

include documentation that is not

required by the selection criteria

because irrelevant information will be

disregarded during the review of your

application.

For Application Kits. To receive a

copy of the IHDEP application kit,

please call the Indian Housing Drug

Elimination Information & Resource

Center (IHDE–IRC) at 1–800–839–5561.

Persons with hearing or speech

impairments may call the Center’s TTY

number at 1–800–483–2209. When

requesting an application kit, please

refer to the Indian Housing Drug

Elimination Program (IHDEP). Please

provide your name, address, including

zip code, and telephone number

(including area code). The application

kit contains information on all exhibits,

forms, and certifications required for

IHDEP.

For Further Information and

Technical Assistance. Please call the

AONAPs with jurisdiction over your

tribe/tribally designated housing entity

(TDHE) or HUD’s IHDE–IRC at1–800–

839–5561 or Tracy C. Outlaw, Denver

Program Office of Native American

Programs (ONAP), Department of

Housing and Urban Development, 1999

Broadway, Suite 3390, Denver, CO

80202, telephone 1–800–561–5913 or

(303) 675–1600 (this is not a toll-free

number). Hearing or speech-impaired

individuals may access this number via

TTY by calling the toll-free Federal

Information Relay Service at 1–800–

877–8339. Also, please see ONAP’s

website at http://

www.codetalk.fed.us.html where you

will be able to download a copy of the

IHDEP NOFA and application kit from

the Internet. Before the application

deadline, we will be available to

provide you with general guidance. We

cannot, however, provide you with

guidance on the actual contents of your

application.

11964 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

If applicable, after the rating and

ranking process has been completed but

before award, we will be available to

assist you in clarifying or confirming

technical, curable deficiency

information that is required to address

a pre-award requirement. If the preaward conditions as outlined in Section

VIII of the NOFA are not met by the

applicant, we will award those grant

amounts to another eligible applicant in

accordance with the provisions of

Section V of this NOFA.

II. Amount Allocated

Approximately $12 million is being

made available under this NOFA from

the FY 2001 HUD Appropriations Act

(Pub.L. 106–377, approved October 27,

2000).

III. Program Description; Eligible

Applicants; Eligible/Ineligible Activities

(A) Program Description. Funds are

only available for Indian tribes who are

eligible to be recipients under

NAHASDA to develop and finance drug

and drug-related crime elimination

efforts in their affordable housing

developments. You may use funds for

enhancing security within your

developments, making physical

improvements to enhance security; and/

or developing and implementing

prevention, intervention and treatment

programs to stop drug use in Indian

housing communities.

(B) Eligible Applicants. Indian tribes

who are eligible to be recipients under

NAHASDA. ‘‘NAHASDA recipient’’

means an Indian tribe or the tribally

designated housing entity (TDHE) for

one or more Indian tribes that is

authorized to receive grant amounts

under NAHASDA on behalf of the tribe

or tribes. ‘‘Tribe’’ means an Indian tribe,

band, nation or other organized group or

community of Indians, including any

Alaska Native village or regional or

village corporation as defined in or

established pursuant to the Alaska

Native Claims Settlement Act, that is

recognized as eligible for the special

programs and services provided by the

United States to Indians because of their

status as Indians pursuant to the Indian

Self-Determination and Education

Assistance Act of 1975. A tribe can

apply either in its own name or through

its TDHE. A TDHE cannot apply on

behalf of a tribe that is applying on its

own behalf. A tribe’s application

supersedes the application of a TDHE

applying on behalf of that tribe.

Resident Management Corporations

(RMCs) and Resident Organizations

(ROs) are eligible for funding as subgrantees. RMCs, and ROs that were

operating pursuant to 24 CFR part 950

are eligible for funding from tribes or

TDHEs as subgrantees to develop

security and substance abuse prevention

programs. In addition, an applicant

must meet all the applicable threshold

requirements found in Section II(b) of

the General Section of the SuperNOFA.

(C) Eligible/Ineligible Activities.

IHDEP grants may be used for seven

types of activities: (1) The employment

of security personnel; (2) reimbursement

of local law enforcement agencies for

additional security and protective

services; (3) physical improvements

which are specifically designed to

enhance security; (4) the employment of

one or more individuals to (A)

investigate drug-related crime on or

about the real property comprising any

public or other federally assisted

affordable housing project; and (B)

provide evidence relating to such crime

in any administrative or judicial

proceeding; (5) the provision of training,

communications equipment, and other

related equipment for use by voluntary

tenant patrols acting in cooperation

with local law enforcement officials; (6)

programs designed to reduce use of

drugs in and around public or other

federally assisted affordable housing

projects, including drug-abuse

prevention, intervention, referral, and

treatment programs; and (7) where a

tribe or TDHE receives a grant,

providing funding to nonprofit resident

management corporations and resident

organizations to develop security and

drug abuse prevention programs

involving site residents.

Following is a discussion by activity

type of what can and cannot be funded

and specific requirements or items that

need to be discussed in your application

if you are including that activity in your

application.

(1) Physical Improvements to Enhance

Security.

(a) Physical improvements

specifically designed to enhance

security may include: installing barriers,

speed bumps, lighting systems, fences,

surveillance equipment (e.g., Closed

Circuit Television (CCTV), computers

and software, fax machines, cameras,

monitors, and supporting equipment),

bolts, locks, and landscaping or

reconfiguring common areas to

discourage drug-related crime.

(i) All physical improvements must be

accessible to persons with disabilities.

For example, locks or buzzer systems

that are not accessible to persons with

restricted or impaired strength,

mobility, or hearing may not be funded

by IHDEP. Defensible space

improvements must comply with civil

rights requirements and cannot exclude

or segregate people because of their

race, color, or national origin from

benefits, services, or other terms or

conditions of housing. All physical

improvements must meet the

accessibility requirements of 24 CFR

part 8 and the provisions found in

section 504 of the Rehabilitation Act of

1973 and other relevant Federal, state

and local statutes that apply.

(ii) Funding is permitted for the

purchase or lease of house trailers of

any type that are not designated as a

building if they are used for eligible

community policing, educational

programs for youth and adults,

employment training facility, youth

activities, and drug abuse treatment

activities. A justification of purchase

versus lease must be supported by your

cost-benefit analysis.

(2) Programs to Reduce Drug Use

(Prevention, Intervention, Treatment,

Structured Aftercare and Support

Systems).

(a) Eligible activities may include:

(i) Drug abuse prevention,

intervention, and referral programs;

(ii) Programs of local, social, faithbased and/or other organizations that

provide treatment services (contractual

or otherwise) for dependency/remission;

and

(iii) Structured aftercare/support

system programs.

(b) General Requirements and

Strategies. HUD is looking for you to

structure your drug abuse prevention,

intervention, treatment, and aftercare

program using a ‘‘continuum of care’’

approach. A ‘‘continuum of care’’

approach includes not just treating the

addiction or dependency but also

providing aftercare, mentoring, and

support services such as day care,

family counseling, education, training,

employment development

opportunities, and other activities.

You must develop a drug abuse/

sobriety (remission)/treatment

(dependency) strategy to adequately

plan your drug abuse prevention,

intervention, treatment, and structured

aftercare efforts. In many cases, you may

want to include education, training, and

employment opportunities for residents.

When undertaking these activities, you

should be leveraging your IHDEP

resources with other Federal, state, local

and tribal resources. For example, your

application may propose providing

space and other infrastructure for these

efforts with other tribal agencies

providing staff and other resources at

limited or no cost. Your application

should also discuss how your strategy

incorporates existing community

resources and how they will be used in

your program. The strategy should also

document how community resources

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11965

will be provided on-site or how

participants will be referred and

transported to treatment programs that

are not on-site.

A community-based approach also

requires you to develop a culturally

appropriate strategy. Curricula,

activities, and staff should address the

cultural issues of the local community

which requires your application to

indicate your familiarity and facility

with the language and cultural norms of

the community. As applicable, your

strategy should discuss cultural

competencies associated specifically

with your Native American or Alaskan

Native community.

Your activities should focus resources

directly to tribal residents and families.

For all activities involving education,

training and employment, you should

demonstrate efforts to coordinate with

Federal, Tribal, state and local

employment training and development

services, including ‘‘welfare to work’’

efforts.

The current Diagnostic and Statistical

Manual (DSM) of Mental Disorders of

the American Psychiatric Association

dated July 2000, contains information

on drug abuse, dependency and

structured aftercare. For more

information about this reference,

contact: APPI, 1400 K. Street, NW, Suite

1100, Washington, DC 20005 or 1(800)

368–5777 or World Wide Web site at

http://ww.appi.org.

(c) Activities must be in and around

the affordable housing development in

your ‘‘Indian area’’. IHDEP funding is

permitted for programs that reduce/

eliminate drug-related crime in

affordable housing developments in the

‘‘Indian area’’. ‘‘Indian area’’ is defined

in 24 CFR 1000.10 of the NAHASDA

regulations as the area in which an

Indian tribe operates affordable housing

programs or the area in which a TDHE

is authorized by one or more Indian

tribes to operate affordable housing

programs.

(d) Eligible costs. (i) Funding is

permitted for reasonable, necessary, and

justified purchasing or leasing

(whichever is documented as the most

cost effective) of vehicles for

transporting adult and youth residents

for education, job training, and off-site

treatment programs directly related to

reducing drugs and drug-related crime.

The cost reasonableness can be

determined by a comparison of the

number of participants in and

anticipated costs of these programs

compared to the purchase or lease cost

of the vehicles. If these costs are

included in your application, you must

include a description of why the

expenses are necessary. Under no

circumstances are these vehicles to be

used for other than their intended

purpose under your grant.

(ii) Funding is permitted for

reasonable, necessary and justified

program costs, such as meals and

beverages incurred only for training,

education and employment activities,

including provisions for daycare and

youth services directly related to

reducing drugs and drug-related crime.

Refer to Office of Management and

Budget (OMB) Circular A–87, Cost

Principles for State, Local and Indian

Tribal Governments.

(e) Prevention. Prevention programs

must demonstrate that they will provide

directly, or otherwise make available,

services designed to distribute drug

education information, to foster

effective parenting skills, and to provide

referrals for treatment and other

available support services including

daycare in the housing development or

the community for tribal residents and

families.

Prevention programs should provide a

comprehensive prevention approach for

residents that address the individual

resident and his or her relationship to

family, peers, and the community. Your

prevention programs activities should

identify and change the causal factors

present in tribal communities that lead

to drug-related crime thereby lowering

the risk of drug usage. Many

components of a comprehensive

approach, including refusal and

restraint skills training programs or

drug, drug abuse/dependency and

family counseling, and daycare may

already be available in the tribal

community developments and should

be included to the maximum extent

possible in your proposed program of

activities.

The following eligible activities under

a prevention program are discussed

below:

(i) Educational Opportunities. The

causes and effects of illegal drug abuse

must be discussed in a culturally

appropriate and structured setting. As a

grantee, you may use contractors or

subgrantees (in accordance with 24 CFR

85.36) to provide such knowledge and

skills through training programs. The

professionals contracted to provide

these services are required to base their

services on your needs assessment and

program plan. These educational

opportunities may be a part of resident

meetings, youth activities, or other

gatherings of tribal housing residents.

(ii) Family and Other Support

Services. ‘‘Supportive services’’ are

services that allow families to have

access to prevention, educational and

employment opportunities. Supportive

services may include: child care,

employment training, computer skills

training, remedial education, drug abuse

counseling, help in getting a high school

equivalency certificate, and other

services to reduce drug-related crime.

(iii) Youth Services. Proposed youth

prevention programs must demonstrate

that they have included groups

composed of young people ages 8

through 18. Your youth prevention

activities should be coordinated by

adults but have tribal youth actively

involved in organizing youth

leadership, sports, recreational, cultural

and other activities. Eligible youth

services may include: youth sports,

youth leadership skills training, cultural

and recreational activities/camps, youth

entrepreneurship, negotiation and

mediation/peacemaking, and crosscultural communication. These youth

services provide an alternative to drugs

and drug-related criminal activity for

Native American youth. Youth

leadership skills training may include

training in leadership, peer pressure

reversal, resistance or refusal skills, life

skills, goal planning, parenting skills,

youth entrepreneurship, negotiation and

mediation/peacemaking, and crosscultural communication and other

relevant topics. Youth leadership

training should be designed to place

youth in leadership roles including:

mentors to younger program

participants, assistant coaches,

managers, and team captains. Cultural

and recreational activities may include

ethnic heritage classes, art, dance,

drama and music appreciation.

The following are eligible youth

services expenses:

(1) Salaries and expenses for staff for

youth sports programs and cultural

activities and leadership training;

(2) Sports and recreation equipment

to be used by participants;

(3) Funding for non-profit subgrantees

that provide scheduled organized sports

competitions, cultural, educational,

recreational or other activities,

including but not limited to: United

National Indian Tribal Youth, Inc.

(UNITY), Wings of America, Native

America Sports Council, Boys and Girls

Clubs of America, Girl Scouts of

America, First Tee Program, YMCAs,

YWCAs, the Inner City Games,

Association of Midnight Basketball

Leagues, and Big Brothers and Big

Sisters of America.

(4) Liability insurance costs for youth

sports activities.

(iv) Economic and Educational

Opportunities for Resident Adult and

Youth. Your proposed economic and

educational activities must provide

residents opportunities for interaction

11966 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

with, or referral to, established higher

education, vocational institutions and/

or private sector businesses in the

immediate surrounding communities

with the goal of developing or building

on the residents’ skills to pursue

educational, vocational and economic

goals and become self-sufficient.

You should discuss your economic

and educational opportunities for

residents and youth activities in the

context of ‘‘welfare to work’’ and related

Federal, tribal, state and local

government efforts for employment

training, education and employment

opportunities related to the goals of

‘‘welfare to work.’’ Establishing or

referring adults and youths to computer

learning centers, employment service

centers (coordinated with Federal,

tribal, state and local employment

offices), and micro-business centers are

eligible activities. Funding is permitted

for the purchase or lease of house

trailers if they are used for the activities

listed above and as specified in Section

III.C(1)(a)(ii) of this NOFA.

Limited educational scholarships are

permitted under this section. For the

purpose of this IHDEP NOFA,

educational scholarships will be defined

as merit-based financial assistance for

high-school and college students who

have demonstrated a need for financial

assistance and academic excellence. No

one individual award may exceed $500,

and there is a total maximum

scholarship program cap of $10,000.

Educational scholarship IHDEP funds

must be obligated and expended during

the term of your IHDEP grant which is

(24) twenty-four months. You must

demonstrate in your plan a timetable,

the strategy or method for awarding

scholarships to students, and, the

financial/management controls that will

be used and projected outcomes.

In addition, section 3 of the Housing

and Urban Development Act of 1968, 12

U.S.C. 1701u is applicable to many of

the activities eligible under this NOFA.

Therefore, to the greatest extent feasible,

training, employment and other

economic opportunities that you

develop must be directed to (1) low- and

very low-income persons and (2)

business concerns which provide

economic opportunities to low- and

very low- income persons. For more

information about section 3, see Section

II(E) of the General Section of the

SuperNOFA or HUD’s section 3

implementing regulations at 24 CFR Part

135.

(f) Intervention. The aim of

intervention is to identify or detect

residents with substance abuse issues,

assist them in modifying their behavior,

getting early treatment, and obtaining

structured aftercare.

(g) Drug Abuse/Dependency

Treatment.

(1) Treatment funded under this

program should be ‘‘in and around’’ the

premises of the affordable housing

development(s) you proposed for

funding. In undertaking drug abuse/

dependency treatment programs, you

must establish a confidentiality policy

regarding medical and disability related

information.

(i) Funds awarded for drug abuse/

dependency treatment must be targeted

towards developing and implementing,

or expanding and improving sobriety

maintenance, drug-free maintenance

support groups, drug abuse counseling,

referral treatment services, and short- or

long-range structured aftercare for

residents.

(ii) Your proposed drug program must

address the following goals for

residents:

(1) Increasing accessibility of

treatment services;

(2) Decreasing drug-related crime ‘‘in

and around’’ your affordable housing

development(s) by reducing and/or

eliminating drug use; and

(3) Providing services designed for

youth and/or adult drug abusers and

recovering addicts (e.g., prenatal and

postpartum care, specialized family and

parental counseling, parenting classes,

domestic or youth violence counseling).

(iii) You must discuss in your overall

strategy the following factors:

(1) Formal referral arrangements to

other treatment programs in cases where

the resident is able to obtain treatment

costs from sources other than this

program.

(2) Family/youth counseling.

(3) Linkages to educational and

vocational training and employment

counseling.

(4) Coordination of services from and

to appropriate local drug abuse/

treatment agencies, HIV-related service

agencies, and mental and public health

programs.

(iv) As applicable, you must

demonstrate a working partnership with

the Single State Agency or local, tribal

or state license provider or authority

with substance abuse program(s)

coordination responsibilities to

coordinate, develop and implement

your drug dependency treatment

proposal.

(v) You must demonstrate that

counselors (contractual or otherwise)

meet Federal, state, tribal, and local

government licensing, bonding, training,

certification and continuing training recertification requirements.

(vi) You must get certification from

the Single state Agency or tribal agency

with drug abuse and dependency

programs coordination responsibilities

so that your proposed program is

consistent with the tribal plan; and that

the service(s) meets all Federal, state,

tribal and local government medical

licensing, training, bonding, and

certification requirements.

(vii) Funding is permitted for drug

treatment of tribal residents at local inpatient medical treatment programs and

facilities. IHDEP funding for structured

in-patient drug treatment using IHDEP

funds is limited to 60 days, and

structured drug out-patient treatment,

which includes individual/family

aftercare, is limited to 6 months. If you

are undertaking drug treatment

programs, your proposal must

demonstrate how individuals who

complete drug treatment will be

provided employment training,

education and employment

opportunities.

(viii) Funding is permitted for

detoxification procedures designed to

reduce or eliminate the short-term

presence of toxic substances in the body

tissues of a patient.

(ix) Funding is not permitted for

maintenance drug programs.

Maintenance drugs are medications that

are prescribed regularly for a short/long

period of supportive therapy (e.g.

methadone maintenance), rather than

for immediate control of a disorder.

(3) Resident Management

Corporations (RMCs) and Resident

Organizations (ROs) Programs. RMCs,

and incorporated ROs, may be a

subcontractor to their tribe/TDHE, to

develop security and drug abuse

prevention programs for residents. Such

programs may include voluntary tenant

patrol activities, drug abuse education,

intervention, and referral programs,

youth programs, and outreach efforts.

The elimination of drug-related crime

within the tribal community must have

the active involvement and commitment

of tribal residents and their

organizations.

To enhance the ability of tribes/

TDHEs, to combat drug-related crime

within their developments, RMCs, and

ROs may undertake program

management functions as

subcontractors. Sub-contracts with the

RMC/RO must comply with the

requirements of 24 CFR 85.36 and 37

and include the amount of funding,

applicable terms, conditions, financial

controls, payment mechanism schedule,

performance and financial report

requirements, special conditions,

including sanctions for violating the

agreement, and monitoring

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11967

requirements. Costs must not be

incurred by the RMC or RO until a

written contract is executed.

(4) Employment of Security Personnel.

You may employ security personnel to

provide services in and around your

affordable housing developments.

Contracts for security personnel must be

awarded on a competitive basis.

Security personnel must perform

services that are over and above those

usually performed by local municipal

law enforcement agencies on a routine

basis. Eligible services may include

patrolling inside buildings, providing

personnel services at building entrances

to check for proper identification or

patrolling and checking car parking lots

for appropriate parking decals. You are

encouraged to involve police officials

residing in tribal housing to partake in

IHDEP security-related programs. The

following specific requirements apply to

all employment of security personnel

activities funded under IHDEP:

(a) Compliance. Security guard

personnel must demonstrate compliance

with all relevant Federal, state, tribal or

local government insurance, licensing,

certification, training, bonding, or other

law enforcement requirements.

(b) Law Enforcement Service

Agreement. You (the applicant), the

local law enforcement agency, and if

relevant, the contract provider of

security personnel services, must enter

into a law enforcement service

agreement with the local law

enforcement agency. Your service

agreement must be submitted with your

IHDEP application and include:

(i) The activities security guard

personnel will perform; the scope of

authority; written policies, procedures,

and practices that will govern security

personnel performance (i.e., a policy

manual and how security guard

personnel will coordinate activities with

your local law enforcement agency);

(ii) The types of activities that your

approved security guard personnel are

expressly prohibited from undertaking.

(c) Policy Manual. Security guard

personnel services must be guided by a

policy manual that directs the activities

of its personnel and contains the

policies, procedures, and general orders

that regulate conduct and describes in

detail how jobs are to be performed. The

policy manual must exist before you

undertake this activity.

(d) Data Management. A daily activity

and incident complaint form approved

by the tribe/TDHE must be used by

security personnel and officers for the

collection and analysis of criminal

incidents and responses to service calls.

Security guard personnel and tribal

police departments must establish and

maintain a system of records

management for the daily activity and

incident complaint forms that

appropriately ensures the confidentially

of personal criminal information.

Management Information Systems (MIS)

(computers, software, and associated

equipment) are eligible costs that the

tribe/TDHE may include in support of

collection and analysis activities.

(e) Employment of Residents. HUD

encourages you to employ qualified

resident(s) as security guard personnel,

and/or to contract with security guard

personnel firms that demonstrate a

program to employ qualified residents

as security guard personnel.

(5) Reimbursement of Local Law

Enforcement Agencies for Additional

Security and Protective Services

(Supplemental—Over and Above Local

Law Enforcement Baseline Services).

Additional security and protective

services are permitted if services are

over and above the local police

department’s current level of baseline

services. Tribes/TDHEs are required to

identify the level of local law

enforcement services they are required

to received and the increased level of

services to be received in their local

Cooperation Agreement. Local police

department baseline services are

defined as ordinary and routine

services, including patrols, police

officer responses to 911

communications and other calls for

service, and investigative follow-up of

criminal activity, provided to residents

as a part of the overall deployment of

police resources by the local jurisdiction

in which the tribe/TDHE is located.

(a) If you are an applicant seeking

funding for this activity, you must

describe the current level of local law

enforcement agency baseline services

being provided to the affordable housing

development(s) proposed for assistance.

Local law enforcement baseline services

are defined as ordinary and routine

services provided to the residents as

part of the overall city and/or county

wide deployment of police resources to

respond to crime and other public safety

incidents including: 911

communications, processing calls for

service, routine patrol officer responses

to calls for service and investigative

follow-up of criminal activity.

(b) Tribal police departments funded

under this program that are not

employing a community policing

concept but would like to establish such

a program for affordable housing

developments must submit a plan and

timetable for the implementation of

community policing. Community

policing has a variety of definitions;

however, for the purposes of this

program, it is defined as a method of

providing law enforcement services that

stresses a partnership among residents,

police, schools, churches, government

services, the private sector and other

local, state, tribal and Federal law

enforcement agencies to prevent crime

and improve the quality of life by

addressing the conditions and problems

that lead to crime and fear of crime.

Community policing uses proactive

measures including foot patrols, bicycle

patrols and motor scooter patrols. It also

includes activities where police officers

operate out of police mini-stations and

other community based facilities in

tribal communities providing human

resource activities with youth and

citizen contacts. This concept empowers

police officers at the beat and zone level

and residents in neighborhoods to:

reduce crime and fear of crime; ensure

the maintenance of order; provide

referrals of residents, victims and

homeless persons to social services and

government agencies; ensure feedback

of police actions to victims of crime;

and promote a law enforcement value

system based on the needs and rights of

residents.

(6) Employment of Investigators.

Employment of, and equipment for, one

or more individuals to investigate drugrelated crime ‘‘in and around’’ the real

property comprising your affordable

housing development(s) for which the

application is submitted and providing

evidence relating to such crime in any

administrative or judicial proceedings is

permitted. Under this section,

reimbursable costs associated with the

investigation of drug-related crimes

(e.g., travel directly related to the

investigator’s activities, or costs

associated with the investigator’s

testimony at judicial or administrative

proceedings) may only be those directly

incurred by the investigator.

(a) If you are a tribe/TDHE that

employs investigators funded by this

program, you must demonstrate

compliance with all relevant Federal,

tribal, state or local government

insurance, licensing, certification,

training, bonding, or other similar law

enforcement requirements.

(b) Both you and the provider of the

investigative services are required to

execute a written agreement that

describes the following:

(i) The activities that your

investigators will perform, their scope of

authority, reports to be completed,

established investigative policies,

procedures, and practices that will

govern their performance (i.e., a Policy

Manual) and how your investigators

will coordinate their activities with

local, state, tribal, and Federal law

11968 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

enforcement agencies; and prohibited

activities.

(ii) The activities the tribal

investigators are expressly prohibited

from undertaking.

(c) Your investigator(s) may use

IHDEP funds to purchase or lease any

law enforcement clothing or equipment,

such as uniforms, ammunition,

firearms/weapons, or vehicles;

including cars, vans, buses, protective

vests, and any other supportive

equipment.

(d) Your investigator(s) shall report on

drug-related crime in your

developments. You must establish,

implement and maintain a system of

records management that ensures

confidentiality of criminal records and

information. Tribal-approved activity

forms must be used for collection,

analysis and reporting of activities by

your investigators. You are encouraged

to develop and use Management

Information Systems (MIS) (computers,

software, hardware, and associated

equipment) and hire management

personnel for crime and workload

reporting in support of your crime

prevention and security activities.

(7) Voluntary Tenant Patrols.

Members of tenant patrols must be

volunteers and must be residents of the

affordable housing development(s).

Volunteers must have extensive

background investigations to ensure

there are no outstanding warrants or

arrest records for past crimes, especially

crimes against children. Voluntary

tenant patrols are expected to patrol in

and around your affordable housing

development(s) proposed for assistance,

and to report illegal activities to

appropriate local, state, tribal, and

Federal law enforcement agencies, as

appropriate.

(a) Training equipment, including

uniforms for use by voluntary tenant

patrols acting in cooperation with

officials of local law enforcement

agencies is permitted. All costs must be

reasonable, necessary and justified.

Bicycles, motor scooters, all-season

uniforms, communications equipment

and associated equipment to be used,

exclusively, by the members of your

voluntary tenant patrol are eligible

items. Voluntary tenant patrol uniforms

and equipment must be identified with

your specific tribal development(s)

identification and markings.

(b) Tribes/TDHEs are required to

obtain liability insurance to protect

themselves and the members of the

voluntary tenant patrol against potential

liability for the activities of the patrol

under this program. The cost of this

insurance is eligible.

(c) Before expending grant funds for

voluntary tenant patrol activities, you,

your local law enforcement agency, and

the tenant patrol are required to execute

a written agreement that includes:

(i) The nature of the activities to be

performed by your voluntary tenant

patrol, the patrol’s scope of authority,

assignment, policies, procedures, and

practices that will govern the voluntary

tenant patrol’s performance and how the

patrol will coordinate its activities with

the law enforcement agency;

(ii) The activities the voluntary tenant

patrol is expressly prohibited from

undertaking including the carrying or

use of firearms, weapons, nightsticks,

clubs, handcuffs, or mace;

(iii) Required initial and on-going

voluntary tenant patrol training

members will receive from the local law

enforcement agency; (please note that

training by HUD-approved trainers and/

or the local law enforcement agency is

required before putting a voluntary

tenant patrol into effect); and

(iv) That voluntary tenant patrol

members will be subject to individual or

collective liability for any actions

undertaken outside the scope of their

authority (described in paragraph (ii)

above) and that such acts are not

covered under your housing authority

liability insurance.

(d) IHDEP grant funds must not be

used for any type of financial

compensation, such as full-time wages

or salaries for voluntary tenant and/or

patrol participants. Funding for tribe/

TDHE personnel or resident(s) to be

hired to coordinate this activity is

permitted. Excessive staffing is not

permitted.

(D) Ineligible Activities. IHDEP

funding is not permitted for any of the

activities listed below.

(1) Costs incurred before the effective

date of your grant agreement (Form

HUD–1044), including, but not limited

to, consultant fees related to the

development of your application or the

actual writing of your application.

(2) The purchase of controlled

substances for any purpose. Controlled

substance shall have the meaning

provided in section 102 of the

Controlled Substance Act (21 U.S.C.

802).

(3) Compensation of informants,

including confidential informants.

These should be part of the baseline

services provided and budgeted by local

law enforcement agencies.

(4) Direct purchase or lease of

clothing or equipment, vehicles

(including cars, vans, and buses),

uniforms, ammunition, firearms/

weapons, protective vests, and any other

supportive equipment for use in law

enforcement or military enforcement

except for eligible tribal police

department, voluntary tenant patrols

and investigator activities listed in this

NOFA.

(5) Construction of facility space in a

building or unit, and the costs of

retrofitting/modifying existing buildings

owned by the tribe/TDHE for purposes

other than: community policing ministation operations, adult/youth

education, employment training

facilities, and drug abuse treatment

activities.

(6) Organized fund raising,

advertising, financial campaigns,

endowment drives, solicitation of gifts

and bequests, rallies, marches,

community celebrations, stipends and

similar expenses.

(7) Court costs and attorneys fees

related to screening or evicting residents

for drug-related crime.

(8) Transfer of IHDEP grant funds to

any Federal agency.

(9) Costs to establish resident

associations, resident organizations, and

resident corporations.

(10) Indirect costs.

(11) The supplanting of existing

positions/activities. For purposes of the

IHDEP, supplanting is defined as

‘‘taking the place of or to supersede’’.

(12) Alcohol-exclusive activities and

programs are not eligible for funding

under this NOFA, although activities

and programs may address situations of

multiple abuse involving controlled

substances and alcohol.

(13) Physical improvements that

involve demolishing any units in a

development or that would displace

persons.

(14) Acquiring real property.

IV. Program Requirements

The following requirements apply to

IHDEP funding:

(A) Grant Award Amounts. HUD is

distributing grant funds for the IHDEP

under this NOFA on a national

competition basis. The maximum grant

award amounts are computed for IHDEP

on a sliding scale, using an overall

maximum cap, depending upon the

number of tribe/TDHE units eligible for

funding. This figure (number of eligible

units for funding) will determine the

grant amount that the tribe/TDHE is

eligible to receive if they meet the

IHDEP criteria and score a minimum of

70 out of 100 points.

(1) Amount per unit. (a) For tribes/

TDHEs with 1–1,250 units: The

maximum grant award cap is $300

multiplied by the number of eligible

units. (b) For tribes/TDHEs with 1,251

or more units: The maximum grant

award cap is $260 multiplied by the

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11969

number of eligible units; up to, but not

to exceed, a maximum grant award of

$1.5 million dollars.

(2) Units counted. (a) The unit count

includes rental, Turnkey III and Mutual

Help Homeownership units which have

not been conveyed to a homebuyer, and

Section 23 lease housing bond-financed

projects. Such units must be counted as

Formula Current Assisted Stock under

the Indian Housing Block Grant Program

for FY 2001.

(b) Eligible units are those units

which are under management and fully

developed.

(c) Use the number of units counted

as Formula Current Assisted Stock for

Fiscal Year 2001 as defined in 24 CFR

1000.316 and which is included in the

FY 2001 IHDEP application kit. Please

verify your Formula Current Assisted

Stock figures with your local AONAP

for accuracy.

(d) Affordable housing units that are

developed or assisted under NAHASDA

are not included in the unit count

outlined above, however, they are

eligible to receive assistance under the

IHDEP.

(e) If it is determined that the unit

count listed in your application is

incorrect compared to the unit count

listed in the application kit and your

application is eligible for funding, you

will be awarded the funding amount for

which you are eligible based on the

FCAS list or the amount requested in

your application, whichever is less.

(B) Complying with Civil Rights

Requirements. To protect and insure the

civil rights of occupants of HUDsponsored housing and residents around

that housing, your proposed strategies

should ensure that you do not undertake

crime-fighting and drug prevention

activities that violate civil rights and fair

housing statutes. You may not use race,

color, sex, religion, national origin,

disability or familial status to profile

persons as suspects or otherwise target

them in conducting these activities. You

are encouraged to involve as many

segments of your intended population

as possible in developing and

implementing your strategies.

(C) Confidentiality of Records

Requirements. You must establish a

confidentiality policy regarding medical

and disability-related information for

programs involving prevention,

intervention, or drug abuse/dependency

treatment and aftercare.

(D) Term of Grant. Your grant funds

must be expended within 24 months

after HUD executes a Grant Agreement.

The AONAP may grant a one-time

extension of 6 months at the end of the

grant term in accordance with the

requirements of HUD Handbook 7490.1.

However, if no extension is requested

and granted and the grants funds are not

expended within 24 months after

execution of the Grant Agreement, the

funds will be recaptured by the

Department.

(E) Reports and Close-out. (1) In

accordance with 24 CFR 761.35, if

funded, you are required to submit

semi-annually an IHDEP Semi-Annual

Performance Report and the SemiAnnual Financial Status Report (SF–

269A) to the appropriate HUD AONAP.

These IHDEP Semi-Annual Performance

Reports shall cover the periods ending

June 30 and December 31, and must be

submitted to HUD by July 30 and

January 31 of each year. The grantee

must also comply with additional

reporting requirements to be outlined in

the near future which will include an

annual survey of residents and

additional supporting documentation

for the semi-annual report including the

close-out report.

(2) At grant completion, you must

comply with the close-out requirements

described in Public Housing Notice PIH

98–60(HA), entitled ‘‘Grant Close-out

Procedures,’’ and by the end of the grant

term, return unexpended grant funds to

the Department, according to applicable

requirements.

(F) Federal Labor Standards. When

grant funds are used to undertake

physical improvements to increase

security, Federal Labor standards set out

in 24 CFR 761.40 apply.

V. Application Selection Process

(A) Rating and Ranking.

General. HUD will rate and rank

applications based on the 5 rating

factors listed in Section V.(B) of this

NOFA, below. HUD will select and fund

the highest ranking applications based

on total score, and will continue the

process until all funds allocated to it

have been awarded or to the point

where there are insufficient acceptable

applications to award funds. The

maximum number of points for this

program is 100.

Tiebreakers. In the event of a tie, HUD

will select the highest ranking

application that can be fully funded. In

the event that two eligible applications

receive the same score, and both cannot

be funded because of insufficient funds,

the applicant with the highest score in

rating factor two will be funded. If

rating factor two is scored identically,

the scores in rating factors one and four

will be compared in that order, until

one of the applications receives a higher

score. If both applications still score the

same then the application which

requests the least funding will be

selected in order to promote the more

efficient use of resources.

Pre-award requirements. If there are

technical deficiencies in successful

applications, you must satisfactorily

address these deficiencies before we can

make a grant award. Please see Section

VIII. Correction of Technical

Deficiencies of this NOFA for a

definition of such a deficiency and a

description of the process to address

and correct the deficiency. You must

correct all technical deficiencies within

the time frame established by HUD. If

they are not corrected, we will not make

the grant award and will reject your

application.

(B) Factors For Award to Evaluate and

Rank Applications. Your application

must address the five (5) factors, and

sub-factors listed below. If your

application does not address each of the

five factors and sub-factors, it will not

be scored and will be considered

ineligible for funding. The maximum

number of points for this program is

100. Your application must receive a

score of at least 70 points to be eligible

for funding.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (30 Points)

This factor addresses the extent to

which you have the capacity, the proper

organizational experience and resources

to implement the proposed activities in

a timely and effective manner. The

rating of the ‘‘applicant’’ or the

‘‘applicant’s organization and staff’’ for

technical merit, unless otherwise

specified, includes any subcontractors,

consultants, sub-recipients, and

members of consortia which are firmly

committed to your project. Your

application must include descriptive

evidence demonstrating that you

possess managerial, technical and/or

administrative capability necessary to

carry out the proposed project. Your

application must address who will

administer the project and how you

plan to handle all aspects of executing

the project. Your application must

describe the experience and expertise of

existing staff in the implementation of

the specific activity for which you are

applying and what responsibilities they

will have in project implementation, as

well as those aspects of project

implementation that will be contracted

to outside entities. If any subcontractors,

consultants, sub-recipients and/or

members of consortia are used, your

application must demonstrate that the

entity is firmly committed to the project.

If applicable, past performance in

administering previous IHDEP grants

will be taken into consideration. In

11970 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

rating this factor, HUD will consider the

following:

(15 points) The knowledge and

experience of your staff and your

administrative capability to manage

grants of this size and type. This

includes your administrative support

and procurement entities, defined

organizational lines of authority, and

demonstrated fiscal management

capacity.

(15 points) Past performance in

administering Drug Elimination grants

during the last three (3) years. If you do

not have any open IHDEP grants, then

you will receive 15 points under this

sub-factor unless there are unresolved

findings and/or outstanding

recommendations from prior HUD

reviews or audits undertaken by HUD,

the Office of Inspector General, the

General Accounting Office or

independent public accountants. The

extent of any findings or

recommendations will then be

considered. If you have an open IHDEP

grant from FY 1998 or a prior year, you

will receive 0 points for this sub-factor.

For tribes/TDHEs that had previously

applied as IHAs under the Drug

Elimination Program, HUD will

consider any open grants for which the

tribe/TDHE has the responsibility to

administer.

Rating Factor 2: Need/Extent of the

Problem (25 Points)

This factor examines the extent to

which there is a need for funding the

proposed program activities to address a

documented problem in your proposed

target area (i.e., the degree of the

severity of the drug-related crime

problem in the project proposed for

funding). In responding to this factor,

you will be evaluated on: (1) The extent

to which a critical level of need for your

proposed activities is explained; and (2)

the urgency of meeting the need in the

target area. You must include in your

response a description of the extent and

nature of drug-related crime ‘‘in or

around’’ the housing units or

developments proposed for funding.

Applicants will be evaluated on the

following:

(1) (15 Points) Data Supporting the

extent of Drug and Drug-related Crime.

You must identify and include

supporting data indicating the extent of

drugs and drug-related crime problems

in the developments proposed for

assistance under your program. HUD

will consider the extent and quality of

the data provided. Examples of the data

that should be included in your

application include:

(a) Surveys of residents and staff in

your targeted developments about drugs

and drug-related crime or on-site

reviews to determine drug/crime

activity;

(b) Government or scholarly studies or

other research in the past year that

analyze drug-related crime activity in

your targeted developments.

(c) Annual vandalism cost at your

targeted developments, to include

elevator vandalism (where appropriate)

and other vandalism attributable to

drug-related crime as a ratio to total

annual approved budget for the targeted

developments.

(d) Information from schools, health

service providers, residents and Federal,

state, local, and tribal officials, and the

verifiable opinions and observations of

individuals having direct knowledge of

drug-related crime and the nature and

frequency of these problems in

developments proposed for assistance.

(These individuals may include Federal,

state, tribal, and local government law

enforcement officials, resident or

community leaders, school officials,

community medical officials, drug

abuse, treatment (dependency/

remission) or counseling professionals,

or other social service providers).

(e) The school dropout rate and level

of absenteeism for youth that you can

relate to drug-related crime as a

percentage or ratio of the rate outside

the area.

(f) The number of lease terminations

or evictions for drug-related crime at the

targeted developments; and

(g) The number of emergency room

admissions for drug use or that result

from drug-related crime. Such

information may be obtained from

police departments and/or fire

departments, emergency medical service

agencies and hospitals.

(h) The number of police calls for

service from tribe/TDHE developments

that include resident initiated calls,

officer-initiated calls, domestic violence

calls, drug distribution complaints,

found drug paraphernalia, gang activity,

graffiti that reflects drugs or gang-related

activity, vandalism, drug arrests, and

abandoned vehicles.

(2) (10 points) Objective Crime Data

relevant to your target area. To the

extent that you can provide objective

drug-related crime data specific to the

community or targeted development

proposed for funding, you will be

awarded up to 10 points or up to a total

of 5 points if substantial information is

provided as to why Objective Crime

Data could not be obtained. Objective

Crime Data must include the most

current and specific local law

enforcement crime statistics or Part I

Crime data and relevant Part II Crime

data available from the FBI’s Uniform

Crime Reporting Program (UCR) system.

Part I Crimes include: homicide; rape;

robbery; aggravated assault; burglary;

larceny; auto theft; and arson. Part II

drug-related crimes include: drug abuse

violations; simple assault; vandalism;

and weapons violations. You may also

detail other crimes which you are

proposing to be targeted as part of your

grant. In assessing this sub-factor, HUD

will consider the extent to which you

provide specific statistical data (records,

not anecdotes) and the data’s specificity

to the targeted sites (e.g., data specific

to those targeted developments

proposed for funding by crime type

versus tribal/TDHE-community or

county-wide data by aggregated crimes).

The objective crime data provided in

your application will become a

‘‘baseline’’ tracking future changes in

your crime rate.

If you did not provide objective crime

data, please provide information as to

why objective crime data could not be

obtained; the efforts being made to

obtain it; what efforts will be made

during the grant period to begin

obtaining the data; and an explanation

of how you plan to measure how grant

activities will result in reducing drugrelated crime in the targeted

developments and what will be used as

a baseline.

Rating Factor 3: Soundness of

Approach—(Quality of the Plan) (25

Points)

This factor examines the quality and

effectiveness of your proposed work

plan. In rating this factor, HUD will

consider the impact of your activities on

the drug and drug-related crime

problems identified in Factor 2, as

appropriate, and the extent to which

you identify attainable goals, objectives,

and performance measures to ensure

that tangible benefits can be attained by

the community and by your target

population.

Your application must include a

detailed narrative describing: each

proposed activity for your developments

proposed for assistance; the amount and

extent of resources committed to each

activity or service proposed; measurable

goals and objectives for all major

program activities that focus on

outcome and results; and the process

used to collect the data needed to report

progress made against these goals.

In evaluating this factor, HUD will

consider the following:

(1) (5 points) The strength of your

plan to address the drug-related crime

problem, and the problems associated

with drug-related crime in your

developments proposed for funding, the

resources allocated, and how well the

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proposed activities fit with the plan:

The rationale for your proposed

activities and methods used including

written, descriptive evidence that

proposed activities have been effective

in similar circumstances in controlling

drug-related crime in your community.

(2) The extent to which you have:

(a) (5 points) Stated performance goals

that will measure program outcomes

and designed your major activities to

meet stated, measurable goals and

objectives for drug and drug-related

crime reduction. Outcomes include

accomplishments, results, impact and

the ultimate effects of your program on

the drug or crime problem in your

target/project area. The goals must be

objective, quantifiable, and/or

qualitative and they must be stated in

such a way that at the end of the 24

month grant, one can determine if the

activities were effective. Specific crime

reduction goals must be measurable. For

example, ‘‘eliminating or reducing

crime and drug-related crime’’ is not a

specific nor measurable goal, whereas a

goal of ‘‘reducing inhalant sniffing etc.

by 5% in development X by the end of

the 24 month grant period based on

measurements against the baseline year

crime selection rate in the targeted

development X as stated in the

application’’ is specific and measurable.

(b) (5 points) Provided the actual

baseline data which will establish a

starting point against which program

outcomes will be measured and stated

expected results for all major grant

activities proposed in your application.

For example: ‘‘The total population in

community X is 1,400, we have 400

family units, 80% of the residents are

under 18 years of age, total drug arrests

is 23, there is still a lot of violence in

our community and we want more

programs to give youth positive

influences. We conducted a resident

survey in 1999 and 100 residents

responded. Approximately 75% of the

residents had the following concerns

***’’

(c) (5 points) Discussed what

performance measurement system exists

for providing information to HUD semiannually on progress made in achieving

the established outcome goals. For

example: ‘‘Unit of measure: Number of

youth participants with a 2.0 through a

2.9 grade-point average (GPA).

Community X met with residents to

establish a mentoring/tutoring program

to assist youth. The following

performance indicators/outcomes

measures was developed: 90% of

participants maintain a C average. The

following types of records were

maintained during the course of the

year: compilation of all GPAs for all

participants, semi-annual summary of

GPAs for each participant based on

school report cards, monthly reports

which included number of mentor/tutor

hours, number of participants for each

session, and pre-post test results for

each participant.’’

(3) (5 points) Provide evidence of

existing youth programs and activities

in your community that reduce drug

abuse among youth, aftercare services

for youth involved in the juvenile

justice system, social services for

children with emotional and behavioral

problems, programs to reduce

delinquency and gang participation,

programs that improve academic

performance and reduce the dropout

rate through the use of mentors, drug

and alcohol education activities,

conflict resolution and counseling

sessions/programs that have been

implemented.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses your ability to

secure community and government

resources that can be combined with

HUD’s program resources to achieve

program purposes.

In assessing this factor, HUD will

consider the following:

(1) (5 points) Written evidence of firm

commitment of funding, staff, or in-kind

resources, partnership agreements, and

on-going or planned cooperative efforts

with law enforcement agencies, local,

state, tribal or national entities who

have committed services through a

memoranda of understanding (MOU), or

memorandum of agreements (MOA) to

participate. Such commitments must be

signed by an official of the organization

legally able to make commitments for

the organization. This evidence of

commitment must include organization

name, resources, and responsibilities of

each participant to increase the

effectiveness of the proposed program

activities. The signed, written agreement

may be contingent upon an applicant

receiving a grant award. Commitments

can include interagency activities

already undertaken, participation in

local, state, tribal or Federal anti-drug

related crime efforts such as: education,

training and employment provision

components of Welfare Reform efforts

which may include descriptions of

tribal TANF plans and participation in

Native Employment Works (NEW)

program, or any of the following

programs administered by the

Department of Justice such as Operation

Weed and Seed, Community Oriented

Policing Services Tribal Resources Grant

Program (COPS), Indian Tribal Courts,

Drug-Free Communities Support

Program, Tribal Youth Program, Safe

Start Initiative, STOP Violence Against

Indian Women Discretionary Grants and

Mental Health and Juvenile Justice

Program.

(2) (5 points) Successful coordination

of your law enforcement, or other

activities with local, state, Tribal or

Federal law enforcement agencies to

foster meaningful collaborations and

strengthen community anti-drug

coalition efforts to reduce drug abuse

among youth and adults and actions

implemented to eradicate violent crime.

Letters from various agencies

supporting the submission of your

IHDEP application do not constitute a

letter for firm commitment. Firm

commitment must be demonstrated by

these agencies with exact details of the

partnership between the applicant and

the agency and/or provides a

commitment that specifically states the

amount of funding, number of staff

committed and their roles and

responsibilities and a description of inkind resources available for this project.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

This factor addresses the extent to

which you have coordinated your

activities with other known

organizations and are working towards

addressing a need in a holistic and

comprehensive manner through

linkages with other activities in your

community. In evaluating this factor,

HUD will consider the extent to which

you can demonstrate you have:

(1) (5 points) Coordinated your

proposed activities with those of other

groups or organizations prior to

submission in order to best

complement, support and address the

needs of your community as identified

in Rating Factor 2: Need/Extent of the

Problem. Any firm written agreements,

MOUs/MOAs in place, or that will be in

place after award should be described

and/or included.

(2) (2 points) Taken specific steps to

become active in your community’s

Indian Housing Block Grant process by

providing written evidence that you

have addressed crime prevention and

safety issues, and that your proposed

activities reflect the priorities, needs,

goals or objectives of crime prevention

and safety in the Indian Housing Plan

(IHP). Written evidence could include a

copy of your tribe’s Crime Prevention

and Safety Plan that is included in your

Indian Housing Plan (IHP) or a written

statement or letter from the tribal

official stating that the FY 2001 crime

prevention and safety activities will be

implemented in coordination with

activities outlined in the IHP.

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(3) (1 point) Taken 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 IHP; and other Federal,

state, tribal, or locally funded activities,

including those proposed, or on-going

that will sustain a comprehensive

system to address the needs of your

community.

(4) (1 point) Your application must

describe what role residents in your

targeted developments, applicable

community leaders and organizations

and law enforcement agencies have had

in planning the activities described in

your application, what role they will

have in implementing such activities for

the duration of your grant and how

services may be sustained beyond the

grant term.

(5) (1 point) Your application must

include a discussion and written

evidence (i.e. comments from residents,

minutes from community meetings) of

the extent to which community

representatives and tribal, local, state

and Federal Government officials,

including law enforcement agency

officials were actively involved in the

design and implementation of your plan

and will continue to be involved in

implementing such activities during and

after the period of your IHDEP funding.

VI. Application Submission

Requirements

(A) You must submit the required

IHDEP FY 2001 Application Kit that

contains all of the requisite forms in

order to be considered for IHDEP

funding. Your application submitted to

HUD must also include items required

under Section V. Application Selection

Process, of this NOFA, including the

plan to address the problem of drugrelated crime in the developments

proposed for funding. Please note that

the address for submitting applications

has changed. Please see the Program

Overview, Section I., regarding the

address for submitting applications.

(B) You must submit no more than

one application per tribe or TDHE on

behalf of the tribe for the IHDEP. An

application from a tribe will supersede

an application from a TDHE on behalf

of that tribe. In addition, joint

applications that include more than one

TDHE representing the tribe are

permitted only in those cases where

they have a single administration (such

as a TDHE managing several tribes

under contract or TDHEs sharing a

common executive director). In those

cases, a separate budget, plan and

timetable, and unit count shall be

supplied in the application. In addition,

you must respond to the factors for

award for each tribe/TDHE for which

you are acting as administrator and

requesting funds, if your responses

would be different (e.g., the tribes are in

different jurisdictions and, therefore, the

Indian Housing Plans, crime data, etc.

would all be different). The application

kit includes the forms, certifications and

assurances required under this NOFA.

(C) To be considered eligible for

review and scoring, each IHDEP

application must include the following

items:

(1) An application cover letter.

(2) A summary of the proposed

program activities in five (5) sentences

or less on the Congressional Notification

Form.

(3) A list of the sub-grantees, if

applicable. The list must include the

names of the sub-grantees, as well as the

relative roles and contributions of each

sub-grantee in implementing the IHDEP

grant activities (Factor 1).

(4) An overall budget and timetable

that includes separate budgets, goals,

and timetables for each activity, and

addresses milestones towards achieving

each described goal. You must also

describe the contributions and

implementation responsibilities of each

partner for each activity, goal, and

milestone.

(5) A description of the number of

staff, the titles, professional

qualifications, and respective roles of

the staff assigned full or part-time to

grant implementation. (Factor 1)

(6) Lines of accountability (including

an organization chart) for implementing

the grant activity, coordinating the

partnership, and assuring that the

commitment made by you and your subgrantees, if any, will be met. (Rating

Factor 1)

(7) A list of open IHDEP grants, the

grant amount and amount expended as

of the date of this application.

(8) A narrative of the plan that will

address the problem of drug-related

crime in the developments proposed for

funding. (Rating Factor 3)

(9) Narrative responses to each of the

five Rating Factors and their sub-factors

in this NOFA: (1) Capacity of the

Applicant and relevant organizational

Experience, (2) Need/Extent of the

Problem, (3) Soundness of Approach, (4)

Leveraging Resources and (5)

Comprehensiveness and Coordination.

(10) You must also include the

following forms which are included in

the FY 2001 IHDEP Application Kit:

FY 2001 IHDEP Applicant Data Input

Form,

Application Cover Letter,

Project Summary—Congressional

Notification Information Sheet,

Implementation Schedule,

Standard Form—424, Application for

Federal Assistance,

Form HUD 424—M, Federal Assistance

Funding Matrix,

Standard Form—424A, Budget

Information (non-construction

programs),

Standard Form—424B, Assurances

(non-construction programs),

FY 2001 IHDEP Summary Budget

Information,

Form HUD–2880, Applicant/Recipient

Disclosure/Update Report,

Form HUD–50070, Drug-Free Workplace

Certification,

Form HUD–50071, Lobbying

Certification,

SF–LLL Disclosure of Lobbying

Activities Certification,

Form HUD–2992, Certification of

Debarment and Suspension,

Certification of Consistency with the

Indian Housing Plan, and

Certification of Resident Management

Corporations, Resident Organizations

and Residents Acknowledgment of

Application Receipt.

VII. Clarifying Information

After the application due date, HUD

may not, consistent with its regulations

in 24 CFR part 4, subpart B, consider

any unsolicited information you, the

applicant, may want to provide. HUD

may contact you, however, to clarify an

item in your application. You should

note, however, that HUD may not seek

clarification of items or responses that

improve the substantive quality of your

response to any selection factors. HUD

will make any requests for clarifying

information in writing and will specify

the item, or items, that need

clarification and a time frame for

response. Failure on your part to

provide such requested information will

result in the rejection of the application.

VIII. Correction of Technical

Deficiencies

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

Additionally, please note that as

indicated under Section V.(A)(3), only

successful applicants will be required to

address technical deficiencies and this

must be done before we make a grant

award. If you do not provide the

information necessary to address the

deficiency within the time allowed, we

will not award you the grant and will

reject your application. The AONAP

will notify you in writing and will

describe the technical deficiency, what

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11973

must be done to correct it, and the date

by which you must submit this

information. The AONAP will notify

you by facsimile or by return receipt

requested. Your response must be

submitted (postmarked) within 14

calendar days from the date of receipt of

the HUD notification.

IX. Error and Appeals

Judgments made within the

provisions of this NOFA and the

program regulations (24 CFR 761) are

not subject to claims of error. You may

bring arithmetic errors in the rating and

ranking of applications to the attention

of the AONAP Administrator within 30

days of being informed of your score. If

an arithmetic error was made in the

application review and rating process

that, when corrected, would result in

the award of sufficient points to warrant

the funding of an otherwise approvable

project, the AONAP may fund that

project in the next funding round

without further competition.

X. Environmental Requirements

Certain eligible activities under this

IHDEP NOFA are categorically excluded

from review under the National

Environmental Policy Act of 1969 (42

U.S.C. 4321) and are not subject to

review under related laws, in

accordance with 24 CFR 50.19(b)(4),

(b)(12), or (b)(13). If the IHDEP

application proposes the use of grant

funds to assist any non-exempt

activities, HUD will perform an

environmental review to the extent

required by 24 CFR part 50, prior to

grant award.

XI. Authority

Chapter 2, Subtitle C, Title V of the

Anti-Drug Abuse Act of 1988 (42 U.S.C.

11901 et seq.), as amended.

Appendix A—Required Forms and

Certifications

The non-standard forms, which follow this

checklist, are required for your application

(the standards form follow the General

Section).

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR THE

NEW APPROACH ANTI-DRUG

PROGRAM PROGRAM OVERVIEW

Purpose of the Program. The purpose

of the New Approach to Anti-Drug

Program is to provide funding to owners

of certain housing developments to: (1)

augment security; (2) assist in the

investigation and prosecution of drugrelated criminal activity in and around

the housing developments; and (3)

provide for the development of capital

improvements directly relating to

enhancing the security of the

developments. Through these grants,

HUD is taking a comprehensive

neighborhood/community-based

approach to crime prevention.

Available Funds. Approximately $20

million.

Eligible Applicants. Eligible

applicants include: units of general

local government, public housing

agencies (PHAs), Indian tribes or

Tribally Designated Housing Entities

(TDHEs), and owners of assisted

housing developments. To be an eligible

applicant, you must be (1) an owner of

an assisted housing development, as

defined in this program section of the

SuperNOFA; (2) a unit of general local

government that operates an assisted

housing development; or (3) PHA,

TDHE, or an Indian tribe that owns a

development with project-based Section

8 assistance, as defined in the U.S.

Housing Act of 1937, whose

development is included in the

proposed plan and is located in the

‘‘project area’’ targeted to receive grant

funds.

Application Deadline. June 19, 2001.

Match. None.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application (an original and

two copies) is due on or before 6:00 pm,

local time on June 19, 2001, at your

local HUD Field Office.

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.

Submit your completed application on

or before the application deadline at the

local HUD Field Office. Please address

your application to the Director,

Multifamily Housing Hub, Program

Center in your local HUD Field Office

or, in the case of the Native American

population, to the local HUD

Administrator, Area Offices of Native

American Programs (AONAPs), as

appropriate. See Appendix A to the

Drug Elimination Grants for Multifamily

Low Income Housing program section of

the SuperNOFA and Appendix A to the

General Section of the SuperNOFA for

lists of local HUD Field Offices.

For Application Kits. For an

application kit and any supplemental

information, please call the SuperNOFA

Information Center at 1–800–HUD–

8929. When requesting an application

kit, please refer to the New Approach

Anti-Drug Program, and provide your

name, address (including zip code) and

telephone number (including area code).

Persons with hearing or speech

impairments may call the Center’s TTY

number at 1–800–HUD–2209. An

application kit also will be available on

the Internet through the HUD web site

at http://www.HUD.gov.

For Further Information and

Technical Assistance. Your local HUD

Field Office staff will be able to answer

your question(s) regarding this program

section of the SuperNOFA and/or your

application kit. If however, the Field

staff is unable to answer your

question(s), please contact Alicia

Anderson, Program Analysts, Office of

Housing Assistance and Grant

Administration, U.S. Department of

Housing and Urban Development, 451

Seventh Street, SW, Room 6146,

Washington, DC 20410; (202) 708–2866,

extension 5787 or email

Alicia_Anderson@hud.gov. If you are

hearing or speech impaired, you may

access this number via TTY by calling

the Federal information Relay Services

at 1–800–877–8339.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov.

II. Amount Allocated

(A) Available Funding.

Approximately $20 million is available

for funding under the New Approach

Anti-Drug Program, as provided in the

FY 2001 HUD Appropriations Act.

The fair share allocation formula used

for this program is based on the number

of project-based assisted housing units

within each HUD Multifamily Hub

Office as a percentage of the total

number of project-based assisted

housing units for the United States as a

whole (including Puerto Rico, the Virgin

Island, and the Pacific Islands).

Based on the aforementioned formula,

the following chart details the New

Approach to Anti-Drug Program grant

funds fair share allocation to each of the

18 Multifamily Hubs:

FISCAL YEAR 2001 FAIR SHARE ALLOCATIONS FOR THE NEW APPROACH

TO ANTI-DRUG PROGRAM

HUB Grant authority

Boston ................................... $1,426,069

Buffalo ................................... 378,535

New York * ............................ 1,793,623

Philadelphia .......................... 1,886,327

Baltimore ............................... 1,047,633

Greensboro ........................... 754,938

Atlanta ................................... 2,127,040

Jacksonville .......................... 1,343,238

Chicago ................................. 1,463,479

Columbus .............................. 978,706

Detroit ................................... 731,901

Minneapolis ........................... 750,821

Fort Worth ** ......................... 1,648,418

Kansas City .......................... 1,076,022

Denver .................................. 526,228

San Francisco ....................... 936,294

Los Angeles .......................... 629,490

Seattle ................................... 501,238

Total ............................... 20,000,000

* This amount includes Grant Authority of

$27,000 to fund the New York Society for the

Deaf.

** This amount includes Grant Authority of

$51,032 to fund the Garden City Apartments.

Since funding for both applicants were reduced in FY2000 due to HUD error, the applications will be funded from the FY2001 allocation to the applicable Hub.

(B) Maximum Grant Award. The

maximum grant award amount is

limited to $250,000 per application. The

amount of funding requested must be

within this maximum grant award.

(C) Reduction of Requested Grant

Amounts. You may be awarded an

amount less than requested if:

(1) HUD determines that some

elements of the proposed action plan are

ineligible for funding;

(2) HUD determines the amount

requested for an eligible activity and/or

any budget line item is not cost

effective;

(3) Insufficient amounts remain under

the allocation to fund the full amount

you requested, and HUD determines

that partial funding is a viable option;

or

(4) HUD determines that a reduced

grant would prevent duplicative Federal

funding.

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III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description

(1) Purpose. The purpose of these

competitive grants is to assist entities

managing or operating Federally

assisted multifamily housing

developments, Public and Indian

housing developments (including those

Indian housing units formerly defined

as public housing under section 3 of the

U.S. Housing Act of 1937 and now

counted as current assisted stock under

the Indian Housing Block Grant

Program), or other multifamily-housing

developments for low-income families

supported by non-Federal governmental

housing entities or similar housing

developments supported by nonprofit

private sources, to augment security

(including personnel costs), in an effort

to solve security problems in the longterm; assist in the investigation and/or

prosecution of drug-related criminal

activity in and around such

developments; and provide for capital

improvements that comprehensively

enhance security at these developments.

Drug- and crime-fighting activities, if

only directed to a single assisted

housing development, may have the

unfortunate effect of simply moving the

problem to nearby housing and

businesses. The long term solution to

the crime problems of assisted housing

developments and their surrounding

neighborhoods rest in a comprehensive

approach that changes the conditions—

and the culture that exists. HUD

believes that crime fighting efforts are

most effective when partnering takes

place with law-enforcement agencies at

various levels and with a full range of

community stakeholders (such as PHAs

and TDHEs). Therefore, to address crime

in a comprehensive manner to receive

funding, you must take the following

actions:

(a) Have a subgrantee or subrecipient

relationship with the local police

department and the local district

attorney or prosecutor’s office. If the

local police department, local district

attorney, or prosecutor’s office does not

have the legal authority to accept

program funds or enter into a binding

agreement with you, then you must

provide funds through the unit of

general local government—city or

county.

(b) Enter into partnerships with the

owners of, and resident organizations

in, assisted housing developments that

receive grant funds from you.

Multifamily housing developments that

may lack the ability to oversee grant

functions may delegate this task to a

public housing authority or TDHE by

making them a ‘‘fiduciary agent’’, by

signed agreement, which must be part of

the application.

(c) Encourage other neighborhood

based entities to participate in your

program of activities through

partnership arrangements. Such entities

are community residents; neighborhood

businesses; and non-profit providers of

support services, including faith-based

organizations and their affiliates.

(2) Implementation Principles. HUD

has established the following principles

in implementing the New Approach

Anti-Drug Program Grants:

(a) Comprehensive Approach. With

these grants, HUD is taking a

comprehensive neighborhood/

community-based approach to crime.

The long term solution to the crime

problems of assisted housing

developments and their surrounding

neighborhoods rests in changing the

conditions—and the culture that exists.

(b) Required Partnerships. You will be

required to demonstrate that

partnerships have been formed with

units of general local government, the

local police department, and the local

district attorney or prosecutor’s office.

You must also form partnerships with

the following entities, if they are to

receive funding from you:

(i) Owners of assisted housing

developments in the targeted

neighborhood, and

(ii) Resident organizations of these

assisted housing developments.

(c) Encouraging Partnerships. HUD

encourages the use of effective working

partnerships in new locations to

leverage the many Federal resources

that are available to eliminate crime in

and around public and assisted housing

developments through the Drug

Elimination Grant, Operation Safe

Home, and Weed and Seed programs;

and partnering with the U.S. Attorney’s

Office, the Federal Bureau of

Investigation, and the Drug Enforcement

Agency. HUD now wishes to encourage

these successful partnerships to address

similar problems in and around

privately-owned, Federally assisted

housing. In addition to providing points

for applications which have established

these partnerships, HUD requires that at

least one project in each targeted

neighborhood be multifamily housing

with either:

(i) A HUD-insured, held, or direct

mortgage and Rental Assistance

Payments (RAP), Rent Supplement, or

interest reduction payments, or

(ii) Section 8 project-based assistance

with or without HUD interest in the

project mortgage.

This emphasis on HUD assisted

privately-owned housing does not

negate the eligibility of other lowincome housing developments assisted

by Federal, State, and local government,

and not-for-profit sources to apply for

the New Approach Anti-Drug Program.

By awarding points for neighborhoods

with high concentrations of assisted

housing, HUD is encouraging you to

address the needs of multiple assisted

housing developments which may

consist of a mix of ownership types and

subsidy sources.

(d) Complying with Civil Rights

Requirements. With the very real need

to protect occupants of HUD-sponsored

housing and the areas around the

housing, the civil rights of all citizens

must be protected. Your proposed

strategies should be developed to ensure

that crime-fighting and drug prevention

activities are not undertaken in such a

manner that civil rights or fair housing

statutes are violated. Profiling on any

prohibited basis is not allowed. In

addition, all segments of the population

should be represented in developing

and implementing crime-fighting

strategies.

(e) Coordination with Other Law

Enforcement Efforts. In addition to

working closely with residents and local

governing bodies, it is critically

important that owners establish ongoing

working relationships with Federal,

State, and local law enforcement

agencies in their efforts to address crime

and violence in and around their

housing developments. HUD firmly

believes that the war on crime and

violence in assisted housing can only be

won through the concerted and

cooperative efforts of owners and law

enforcement agencies working together

in cooperation with residents and local

governing bodies. HUD encourages

owners to participate in Departmental

and other Federal law enforcement

agencies’ programs such as: Operation

Safe Home, Operation Weed and Seed

through the Department of Justice and

the Safe Neighborhood Action Program

(SNAP). The use of New Approach AntiDrug funds, however, must be part of a

comprehensive approach. These funds

may indirectly support other Federal

law enforcement activities provided that

use is consistent with the

comprehensive approach.

(f) Safe Neighborhood Action Program

(SNAP) Grants. (i) The New Approach

Anti-Drug Program was formerly known

as the Safe Neighborhood Action

Program, announced June 12, 1994 by

HUD, the National Assisted Housing

Management Association (NAHMA),

and the U.S. Conference of Mayors

(USCM). The New Approach Anti-Drug

Program was expanded from the SNAP

Program to include funds to augment

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11989

security; assist in the investigation and

prosecution of drug related criminal

activity in and around the housing

developments; and provide for the

development of capital improvements

directly related to the security of the

developments. SNAP is an anti-crime

and empowerment strategies initiative

in HUD assisted housing neighborhoods

in 14 SNAP cities. The major thrust of

SNAP is the formation of local

partnerships in 14 targeted cities where

ideas and resources from government,

owners and managers of assisted

housing, residents, service providers,

law enforcement officials, and other

community groups are used to meet to

work on innovative, neighborhood anticrime strategies.

(ii) There is no funding associated

with SNAP, which relies on existing

ideas and resources of the participants.

Some common initiatives from these

SNAP teams have included the

following: community policing, crime

watch programs, tenant selection

policies, leadership training, individual

development or job skills training,

expansion of youth activities, police tip

line or form, community centers, antigang initiatives, police training for

security officers, environmental

improvements, and a needs assessment

survey to determine community needs.

(iii) In addition, a HUD-sponsored

initiative to increase the presence of

AmeriCorps’ Volunteers in Service to

America (VISTAs) in assisted housing

units has led to the placement of 25

VISTAs on 12 SNAP teams. The

AmeriCorps VISTA program, which

incorporates a theme of working within

the community to find solutions to

community needs, has provided

additional technical assistance to the

SNAP teams.

(iv) The cities participating in the

SNAP initiative include: Atlanta, GA;

Boston, Mass; Denver, CO; Houston, TX;

Newark, NJ; Philadelphia, PA;

Baltimore, MD; Columbus, OH; Detroit,

MI; Los Angeles, CA; New Orleans, LA;

Little Rock and North Little Rock, AR;

Richmond, VA; and Washington, DC.

(3) Definitions. Assisted Housing

Development. For purposes of this

program, the term ‘‘assisted housing

development’’ means five or more

dwelling units in a building or five or

more adjoining, adjacent, or scattered

site (within a single neighborhood)

dwelling units, having common

ownership and project identity. Some or

all of the units must be receiving a

project-based subsidy from a unit of

government at the Federal, State, or

local level, or from a private nonprofit

entity. This subsidy must be associated

with a requirement and/or contractual

agreement that all or a portion of the

units be occupied by households with

incomes at or below those of families at

the low-income limit as defined by the

United States Housing Act of 1937.

Assisted Housing Unit. For purposes

of this program, the term ‘‘assisted

housing unit’’ means a unit within an

assisted housing development for which

occupancy is restricted to households

with incomes at or below that of ‘‘lowincome families’’ as defined by the U.S.

Housing Act of 1937, and rents are

restricted to amounts that the owner/

operator entity determines to be

affordable.

Augmented Services. For purposes of

this program, augmented services are

activities which exceed current levels of

services or ‘‘baseline’’ services provided

by any other parties signing the

memorandum of understanding

required for this program.

Drug-related crime. For purposes of

this New Approach Anti-Drug Program,

the term ‘‘drug-related crime’’ means

drug-related crime as defined in 42

U.S.C. 11905(2) and Part I Crime and

Part II Crime as defined by the Uniform

Crime Reporting System.

Eligible project area. For purposes of

the New Approach Anti-Drug Program,

the term ‘‘neighborhood’’ means a

geographic area within a jurisdiction of

a unit of general local government

designated in comprehensive plans,

ordinances, or other local documents as

a neighborhood, village, or similar

geographical designation. If, however,

the unit of general local government has

a population of less than 25,000

persons, then ‘‘neighborhood’’ means

the entire jurisdiction of the unit of

general local government. A project area

must include at least one assisted

housing development under:

(i) Section 221(d)(3), section

221(d)(4), or section 236 of the National

Housing Act (12 U.S.C. 1715l, 1715z–1),

provided that such development has

been provided a Below Market Interest

Rate mortgage, interest reduction

payments, or project-based assistance

under Rent Supplement, Rental

Assistance Payments (RAP) or Section 8

programs. An FHA-insured project that

has no project-based subsidy does not

qualify as an assisted housing unit for

eligibility even if it houses tenants

receiving tenant-based assistance, such

as Section 8 rental vouchers or

certificates.

(ii) Section 101 of the Housing and

Urban Development Act of 1965 (12

U.S.C. 1701s); or

(iii) Section 8 of the United States

Housing Act of 1937 (42 U.S.C. 1437f).

This includes housing with projectbased Section 8 assistance, whether or

not the mortgage was insured by HUD–

FHA. This does not include projects

which receive only Section 8 tenantbased assistance (i.e., certificates or

vouchers).

Project-based Subsidies. For purposes

of this program, the term ‘‘project-based

subsidies’’ means financial assistance

that is initially designated and assigned

by the funding source specifically for

the project rather than to eligible

assisted resident households who might

also benefit from these subsidies, and

provided on a one time up-front or on

a periodic basis to the project or its

owner to write down, subsidize, or

waive project development costs, costs

of financing, project operating costs

(which include but are not limited to

the following types of expenses:

utilities, taxes, fees, maintenance and

debt service payments), owner taxes,

unit rent levels, or tenant rent

payments.

(B) Eligible Applicants

(1) General. (a) Eligible applicants are

as follows:

(i) The owner of an assisted housing

development. See definition in Section

III (A)(3) of this program section of the

SuperNOFA. If you are a unit of general

local government you do not need to be

the owner, but must be the operator of

such housing (A TDHE is not a unit of

general local government.);

(ii) The owner of an assisted housing

development that is assisted by a nonFederal governmental entity or similar

housing development supported by

nonprofit sources. If you are a unit of

general local government, you do not

need to be the owner, but must be the

operator of such housing;

(iii) PHAs, TDHEs, and Indian tribes

are eligible applicants if they own a

development with project-based Section

8 assistance, as defined in the U.S.

Housing Act of 1937, and that

development is included in the

proposed plan and is located in the

‘‘project area’’ targeted to receive grant

funds. If you do not own such an

assisted housing development, you may

still participate in the New Approach

Anti-Drug Program as a subgrantee or

subrecipient of an eligible applicant; or

(b) The development that makes you

eligible must be in the neighborhood to

be assisted; and You may not have any

outstanding findings of civil rights

violations. (See Section II(B) of the

General Section of this SuperNOFA.)

If your eligibility status changes

during the course of the grant term, thus

making you ineligible to receive this

grant, HUD reserves the right to

terminate your grant.

11990 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(2) Lead Applicant. Two or more

eligible applicants may file a joint

application. If filing jointly, you must

designate one entity to be the lead

applicant. The lead applicant will be the

grantee if HUD funds your application.

(3) Memorandum of Understanding.

You must include with your application

a Memorandum of Understanding

(MOU) that you have entered into with

each required party. (See Section III(B)

of this program section of the

SuperNOFA). A draft MOU may be

acceptable provided a detailed

explanation of why a fully ratified MOU

is not being presented in your

application. You must indicate that the

draft MOU is contingent upon HUD

funding the grant. In addition, written

commitment from the proposed MOU

partners must be included in your grant

application. If a draft MOU is submitted

in the grant application, the finalized

MOU must be submitted to the local

HUD Field Office within 15 calendar

days after HUD’s announcement of the

award. The finalized MOU must be

exactly the same as the draft MOU

included in your application.

(4) Required Parties to the MOU. In

order to receive full points in the

applicable Rating Factor for a New

Approach Anti-Drug grant:

(a) You MUST sign a MOU that

provides funds through a subgrantee or

subrecipient relationship with the

following two entities:

(i) The local police department; and

(ii) The local prosecutor’s office

(district attorney).

(b) The two parties signing the MOU

must have the legal authority to enter

into a binding agreement with you.

These two entities must have

jurisdiction in your project area.

(5) Content of MOU. This MOU must

commit these entities to actively

support the grant project in partnership

with you. The MOU must also describe:

(a) The level of current services

(baseline) being provided by these

entities;

(b) The level of services above this

baseline which the entities are

committed to providing in support of

your grant;

(c) The amount of time to be devoted

to the activities by each party;

(d) The skills each party brings to

assist in implementation of your

specific action plan activities.

Your MOU will be taken into account

in reviewing and rating your

application, so you should strive to be

as specific as possible in your MOU

document.

(6) Partnerships are encouraged. We

encourage you to partner with other

appropriate neighborhood and

community stakeholders, including:

neighborhood businesses and business

associations; nonprofit service

providers; neighborhood resident

associations; and faith communities or

religious institutions. You are

encouraged to enter into MOUs with

these entities; however, an MOU is not

required.

(C) Eligible Project Areas

(1) HUD will award one grant per

project neighborhood. The project area

must be a ‘‘neighborhood.’’

(2) The project area must include at

least one assisted housing development.

See definition in Section III(A)(1) of this

program section of the SuperNOFA.

(3) You must provide documentation

of the population used to define

eligibility as a neighborhood. The

documentation may include census data

or documentation provided by local

government officials or by HUD’s

Community 2020 program, available by

calling 1–800–998–9999 (there may be a

charge to you for this information).

(D) Eligible Activities

The following is a listing of eligible

activities under this program and

guidance as to their parameters:

(1) Augmenting Security (Including

Personnel).

(a) General. You must document in

your MOU(s) all security services above

baseline established in your MOU.

Anyone providing augmented security

services must have liability insurance,

be licensed, and trained in Fair Housing

and other Civil Rights requirements

arising out of their role in providing

security services.

(b) Baseline Services. Additional

security services are permitted but must

be over and above the local police

department’s current level of baseline

services. If you are seeking funding for

augmenting security, you must describe

the local police department’s current

level of baseline services to the

neighborhood (including ordinary and

routine services, patrols, police officer

responses to 911 communications and

other calls for services, and investigative

follow-up of criminal activity). Your

description of baseline services must

include the number of officers on a per

unit per hour basis, or the actual

percentage of their time assigned to the

development(s) proposed for funding.

For a proposed activity to be considered

eligible as an augmented security

activity, you must demonstrate to what

extent the proposed funded activity will

represent an increase over and above the

baseline. Funding is permitted for

reasonable, necessary, and justified

leasing of vehicles or any other

equipment associated with the

augmentation of security services.

(c) Police Presence. You may

reimburse local law enforcement

entities for the costs of additional police

presence (police salaries and other

expenses directly related to additional

police presence or security that is over

and above baseline services) in and

around assisted housing developments

in the neighborhood. Of the funds

devoted to additional police presence, at

least 70 percent of such reimbursed

costs must be for police presence in

assisted housing developments served

and the remaining 30 percent must be

for police presence around the assisted

housing neighborhood area.

HUD is strongly encouraging that

additional law enforcement in the

assisted housing developments and

surrounding neighborhoods be targeted

to implementing an overall proactive

crime fighting strategy, rather than

merely responding to crime

emergencies. Two potentially effective

anti-crime strategies that can benefit

from additional police presence are:

(i) Combined multi-agency task force

initiatives, in which local and Federal

law enforcement agencies pool

resources, first, to infiltrate

organizations that promote violent and/

or drug-related crime in the

neighborhood and, second, to initiate

strategic and coordinated mass arrests to

break up these organizations; and

(ii) Community policing (i.e.,

sustained proactive police presence in

the development or neighborhood, often

conducted from an on site substation or

mini-station, that involves crime

prevention, citizen involvement, and

other community service activities, as

well as traditional law enforcement).

If reimbursement is provided for

community policing activities that are

committed to occur over a period of at

least 3 years and/or are conducted from

a police substation or administration

within the neighborhood, the costs

during the grant period of constructing

such a station or of equipping the

substation with communications and

security equipment to improve the

collection, analysis and use of

information about criminal activities in

the properties and the neighborhood

may be reimbursed.

(d) Security Services Provided by

Other Entities (such as the Owner of an

Assisted Housing Development).

(i) The activities of any contract

security personnel funded under this

Program must be coordinated with other

law enforcement and crime prevention

efforts under your proposed action plan.

You must describe in your action plan

your efforts to achieve this coordination.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11991

The coordination efforts must include

frequent periodic scheduled meetings of

security personnel with housing project

management and residents, local police

and, as appropriate, with other public

law enforcement personnel, neighboring

residents, landlords, and other

neighborhood stakeholders. Any

contract security personnel funded

under this Program must meet State and

local licensing requirements.

(ii) You may only contract with a

security service provider that has a

policy manual that directs the activities

of its personnel and contains the

policies, procedures, and general orders

that regulate conduct and describe in

detail how jobs are to be performed.

(2) Enhancing the Investigation and

Prosecution of Drug-Related Crime.

(a) Reimbursement of State and Local

Law Enforcement Agencies. As the

grantee, you may reimburse local or

State prosecuting offices and related

public agencies for activities, other than

salaries or ineligible activities in Section

III(G) of this program section of the

SuperNOFA, related to the prosecution

or investigation of crime committed in

the neighborhood identified in your

application. These costs are subject to a

cost reimbursement agreement.

Reimbursement must be for costs over

and above what the office or agency

incurred for such purposes for crimes

committed in the same neighborhood

during the period equal in length and

immediately before the period of

reimbursement. For any grant, at least

70 percent of reimbursed costs must be

in connection with crimes committed in

and around the assisted housing

developments and the remainder of

reimbursed costs directly related to

crime committed within the

neighborhood.

(b) Hiring of Private Investigator

Services. You may use grant funds to

hire private investigator services to

investigate crime in and around an

assisted housing development and the

surrounding neighborhood. You must

explain why local law enforcement

services are inadequate and justify the

need for hiring private investigator

services.

(3) Capital Improvements to Enhance

Security. You may use grant funds for

capital improvements to enhance

security. You should, however, consider

using other sources of funding for this

purpose. These improvements must be

accessible to persons with disabilities

and must meet the accessibility

requirements of 24 CFR part 8,

Nondiscrimination Based on Handicap

in Federally Assisted Programs and

Activities of the Department of Housing

and Urban Development. For example,

locks or buzzer systems that are not

accessible to people with restricted or

impaired strength, mobility, or hearing

may not be funded by your grant.

Capital improvements to implement

defensible space concepts in the design

and implementation of your enhanced

security measures are eligible provided

such design elements permit

accessibility and visibility by persons

with disabilities. Capital improvements

to enhance security or crime prevention

through environmental design must

comply with civil rights requirements

and cannot exclude or segregate persons

based upon their race, color, or national

origin from benefits, services, and other

terms and conditions of housing. Under

Rating Factor 3, ‘‘Quality of Plan’’, HUD

will reward capital improvements to

enhance the security of an entire

neighborhood as opposed to specific

projects at the expense of other

dwellings in the neighborhood. The

capital improvements may include, but

are not limited to:

(a) New construction or rehabilitation

of structures housing police substations

or mini-stations;

(b) Installation of barriers (including

speed bumps and fences) and

appropriate use of close circuit

television (CCTV), provided that the

barriers make reasonable

accommodations for persons with

disabilities;

(c) Improved door or window security

such as locks, bolts, or bars;

(d) Landscaping or other

reconfiguration of common areas to

discourage drug-related criminal

activities; and

(e) Establishment of a Neighborhood

Networks center and augmenting

existing centers. Up to $35,000 of the

grant funds awarded by HUD may be

used towards developing and

establishing a new Neighborhood

Network center.

If there is an established

Neighborhood Networks center you may

include up to $25,000 for the center for

further crime prevention activities, such

as additional mentoring and/or tutorial

education programs, improving job skill

programs, and home buyer education.

Other crime prevention activities may

include, but are not limited to, resident

participation in law enforcement

community outreach activities such as

Drug Abuse Resistance Education

(DARE) days and the local office of the

FBI’s Race Against Drugs activities, etc.

The aforementioned monetary

limitations only apply to funds from the

New Approach Anti-Drug Program.

Additional funds may be obtained from

other sources. No grant funds will be

approved for expenditure until the local

HUD Field Office approves the

Neighborhood Network business plan

for the Neighborhood Networks center.

A sample of the Neighborhood Network

business plan may be found on the

Neighborhood Networks web page at

www.neighborhoodnetworks.org.

(E) Ineligible Activities. In addition to

the ineligible activities mentioned

elsewhere in this program section of the

SuperNOFA, New Approach Anti-Drug

Program Grant funding is not permitted

for any of the activities listed below,

unless otherwise specified in this

program section of the SuperNOFA:

(1) Drug abuse treatment or

intervention activities;

(2) Costs incurred before the effective

date of the grant agreement, including

but not limited to consultant fees related

to the development of your application

or the actual writing of your application;

(3) Funding of any form of controlled

substances for any purpose. Controlled

substance has the meaning provided in

section 102 of the Controlled Substance

Act (21 U.S.C. 802);

(4) Purchase of motorized vehicles for

any purpose;

(5) Funding of any form of weaponry

for any purpose;

(6) Funding of any form of tenant

patrols;

(7) Compensating informants,

including confidential informants.

These should be part of the baseline

services provided and budgeted by local

law enforcement agencies;

(8) Although participation in

activities with Federal drug interdiction

or drug enforcement agencies is

encouraged, these grant funds may not

be transferred to any Federal agency.

IV. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, grantees

must meet the following program

requirements. These requirements apply

to all activities, programs, or functions

used to plan, budget, implement, and

evaluate the work funded under this

program.

(A) Grant Agreement. After

applications have been ranked and

selected, HUD and a successful

applicant will enter into a grant

agreement setting forth the amount of

the grant, the physical improvements or

other eligible activities to be

undertaken, financial controls, and

special conditions, including sanctions

for violation of the agreement. The

Grant Agreement will incorporate your

HUD approved application as may be

amended by any special condition in

the Grant Agreement. HUD will monitor

your grant using your Grant Agreement

11992 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

to ensure that you have achieved

commitments set out in your approved

grant agreement. Failure to honor such

commitments would be the basis for

HUD determining your default of the

Grant Agreement, and exercising

available sanctions, including grant

suspension, termination, and/or the

recapture of your grant funds.

(B) Requirements Governing Grant

Administration, Audits and Cost

Principles. The policies, guidelines, and

requirements of this program section of

the SuperNOFA, 48 CFR part 31, 24 CFR

parts 44, 45, 84, 85, and/or 761.40, OMB

Circulars A–87 and/or A–122, other

applicable administrative, audit, and

cost principles and requirements, and

the terms of grant/special conditions

and subgrant agreements apply to your

acceptance and use of funds. The

requirements cited above, as applicable,

must be followed in determining

procedures and practices related to the

separate accounting of grant funds from

other grant sources, personnel

compensation, travel, procurement, the

timing of drawdowns, the

reasonableness and allocation of costs,

audits, reporting and closet, budgeting,

and preventing conflict of interests or

duplicative charging of identical costs to

two different funding sources. Federal

labor standard provisions are applicable

when grant funds are used to undertake

physical improvements to increase

security. All costs must be reasonable

and necessary.

(C) Term of Grant. Your grant funds

must be expended within 24 months

after HUD executes a Grant Agreement

with you. There will be no extensions

or waivers of this grant term. Any

remaining grant funds will be

recaptured.

(D) Subgrants and Subcontracting. (1)

In accordance with your approved grant

agreement, you may directly undertake

any of the eligible activities under this

program section of the SuperNOFA, you

may contract with a qualified third

party, or you may make a subgrant to

any entity approved by HUD as a

member of the partnership, provided

such entity is a unit of government, a

prosecutor’s office, a police department

or a TDHE; is incorporated as a not-forprofit organization; or is an incorporated

for-profit entity that owns and/or

manages an assisted housing project

benefiting from the grant. Multifamily

housing agents/owners are authorized to

make a PHA or THDE their Fiduciary

Agent, if the PHA and/or the THDE has

the capacity to implement, oversee and

close out the grant activities. Resident

groups that are not incorporated may

participate in the implementation of the

program, but may not receive funds as

subgrantees. For-profit organizations

other than owners or managers of an

assisted housing development

benefiting from the grant that have been

approved by HUD as part of the

partnership may only receive grant

funds subject to the applicable Federal

procurement procedures (See 24 CFR

parts 84 or 85).

(2) Subgrants may be made only

under a written agreement executed

between you, the grantee, and your

subgrantee. The agreement must include

a program budget that is acceptable to

you, and that is consistent with the

eligible activities and requirements. The

agreement must require the subgrantee

to permit you to inspect your

subgrantee’s work and to follow

applicable OMB and HUD

administrative requirements, audit

requirements, and cost principles,

including those related to procurement,

drawdown of funds for immediate use

only, and accounting for the use of grant

funds and implementation of program

activities. In addition, your subgrant

must describe the nature of the activities

to be undertaken by the subgrantee, the

scope of the subgrantee’s authority, and

the amount of any insurance to be

carried by you and the subgrantee to

protect your respective interests.

(3) You are responsible for

monitoring, and for providing technical

assistance to, any subgrantee to ensure

compliance with applicable HUD and

OMB requirements. You must also

ensure that subgrantees have

appropriate insurance liability coverage.

(E) Ineligible Contractors. The

provisions of 24 CFR part 24 relating to

the employment, engagement of

services, awarding of contracts or

funding of any contractors or

subcontractors during any period of

debarment, suspension, or placement in

ineligibility status apply to this grant.

(F) Section 3 Economic Opportunity.

See Section II(E) of the General Section

of the SuperNOFA. The requirements of

section 3 of the Housing and Urban

Development Act of 1968 may apply to

some of the activities that may be

funded under this program section of

the SuperNOFA.

(G) Drawdown of Grant Funds. You

will be required to access your grant

funds through HUD’s Line of Credit

Control System—Voice Response

System (LOCS/VRS) in accordance with

procedures for minimizing the time

lapsing between drawdowns and use of

funds for eligible purposes as described

in 24 CFR parts 84 and/or 85, as

applicable. If HUD changes the

procedures for the draw of grant funds,

HUD will notify you through the

issuance of a grant amendment.

(H) Reports and Closeout. If you

receive a grant, you will be required to

submit to HUD a semi-annual progress

report (Form 269). The narrative of the

Form 269 must be sent in a format

prescribed by HUD that indicates

program expenditures and measures

performance in achieving goals. At grant

completion, you will be required to

participate in a closeout process which

shall include a final report in a format

prescribed by HUD that reports final

program expenditures and measures

performance in achieving program

goals. Closeout will culminate in a

closeout agreement between you and

HUD and, when appropriate, in the

return of grant funds which have not

been expended in accordance with

applicable requirements, or which may

be remaining after all activities have

been completed and paid for.

(I) Suspension or Termination of

Funding. HUD may suspend or

terminate funding if you fail to

undertake the approved program

activities on a timely basis in

accordance with your grant agreement,

adhere to grant agreement requirements

or special conditions, or submit timely

and accurate reports.

(J) Affirmatively Furthering Fair

Housing. You must address Section II(D)

of the General Section of the

SuperNOFA. You must also reference

the certifications listed in Section II (G)

the General section of the SuperNOFA.

V. Application Selection Process

(A) Ranking and Selection

Procedures. Your application can only

be rated if you are an eligible applicant

and you are in compliance with the

requirements of the General Section of

the SuperNOFA.

(1) All applications will be evaluated

competitvely and ranked against

applications in the same Field Office.

Only those applications that have a base

score of at least 70 points (excluding the

EZ/EC and Dallas bonus points) will be

eligible for selection and will be placed

in ranked order.

(2) This year HUD will distribute

funds to each Multifamily Housing Hub

Office based on the fair share allocation

formula. (See Section II–A for a

thoroughly detailed discussion of the

fair share allocation formula). Each

Multifamily Hub Office may

recommend a total number of awards up

to the dollar amount allocated for the

area covered by the Hub Office. Hub

Offices will receive the scores from each

HUD Field Office which has received,

rated, and ranked its applications.

The Hub Office will conduct the

selection process as follows: Where a

Multifamily Hub covers more than one

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11993

Field Office jurisdiction, the Hub Office

will first select the highest ranked

application in each Field Office for

funding. After this selection, the Hub

will use remaining funds to fully fund

as many applications as possible in rank

order, regardless of Field Office. Hub

Offices representing only one Field

Office shall use their distribution of

funds to fully fund in rank order as

many applications as possible. Hub

Offices must not skip over any

applications in order to select one based

on the remaining funds.

Any funds still remaining after Hub

Office distribution by rank must be

forwarded to Headquarters.

Headquarters will use these funds for

selecting applications based on field

offices’ ranking, beginning with the

highest rated application nationwide.

Only one application will be selected

per Hub Office from the national

residual amount. However, if there are

no approvable applications in other Hub

Office, the process will begin with the

selection of the next highest rated

application nationwide. This process

will continue until all approvable

applications are selected using the

available remaining funds.

(3) In the event of a tie, HUD will

select the applicant with the highest

score in Rating Factor 1. If Rating Factor

1 is scored identically, the scores in

Rating Factors 2, 3 and 4 will be

compared in that order, until one of the

applications receives a higher score. If

both applications still score the same

then the application which requests the

least funding will be selected to

promote the more efficient use of

resources.

(4) HUD will evaluate all eligible

applications based on the factors for

award identified in this Section V.

(B) Factors For Award Used To

Evaluate and Rate Applications. The

maximum number of points for this

program 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 (6), below. This includes two

EZ/EC bonus points, as described in the

General Section of the SuperNOFA.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (20 Points)

This factor addresses the extent to

which you have proper organizational

resources necessary to successfully

implement the proposed New Approach

Anti-Drug Program activities in an

effective, efficient, and timely manner.

In rating this factor, HUD will consider

the extent to which the application

demonstrates the capabilities described

below:

(1) (5 Points) The applicants’

administrative capacity to implement

the grant. HUD will award points based

on the quality and amount of staff

allocated to the grant activity by you;

the anticipated effectiveness of your

systems for budgeting, procurement,

drawdown, allocation, and accounting

for grant funds and matching resources

in accordance with OMB administrative

requirements; and the lines of

accountability for implementing your

grant activity, coordinating your

partnerships, measuring the effect of the

expenditure of grant funds and ensuring

that you and your MOU partners’

commitments will be met. You must

include in your narrative a discussion of

financial capacity, staff resources, and

prior experience that will enable you to

effectively administer the grant and

meet reporting requirements. This

narrative must not exceed five pages.

For an owner of an assisted housing

development that is HUD-insured, HUD

will consider the most recent

Management Review (including Rural

Housing Management Review), HUD’s

Uniform Physical Condition Standards

review (as codified in 24 CFR part 5

subpart G), State Agency review and

such other relevant information

available to HUD on the capacity of the

owner and manager to undertake the

grant. You must include a copy of the

most recent management review (not a

physical inspection report) for the

development(s) to be served by your

grant. These documents will not be

counted against your 5 page narrative

limitation.

(2) (15 Points) The applicant’s

performance in administering Drug

Elimination grants and/or other Federal,

State, or local grants of similar size and

complexity during the last 3 years. In

assessing this factor, HUD will verify

you and your partners’ successful

experience and performance based on

information on file with HUD and will

consider the following factors with the

indicated total available points:

(a) (5 Points) Your successful

experience combined with your MOU

partners’ successful experience in

utilizing similar strategies to alleviate

crime. You must identify your

participation in HUD grant programs

within the last three years and discuss

the degree of your success in

implementing planned activities

measuring progress towards achieving

program goals and objectives; timely

drawdown of funds; timely submission

of required reports and ability to

complete activities on time and within

budget; what if any audit findings were

noted; whether there was audit

compliance; whether there are and the

extent of any unresolved findings and/

or outstanding recommendations from

prior HUD reviews or audits undertaken

by HUD, HUD-Office of Inspector

General, the General Accounting Office

(GAO) or independent public

accountants (IPAs). To receive

maximum points under this section, you

must have worked in partnership with

one or more of your MOU partners (or

two or more of your MOU partners may

have worked together in partnership)

using similar strategies to reduce crime

in and around assisted housing

developments. To demonstrate success

in implementing past projects, you must

identify the reduction in the occurrence

of the types of crime as indicated in

Rating Factor 2 of this program section

of the SuperNOFA. In the absence of

previous partnerships, your capacity

will weigh more heavily than the

experience of any of your partners, in

HUD’s assignment of points under this

subfactor.

(b) (4 Points) Your performance in

administering other Federal, State or

local grant programs. You must identify

your participation in HUD grant

programs within the preceding three

years, and discuss the degree of your

success in implementing and managing

these grant programs. This includes

implementation, timely drawdown of

funds, timely submission of required

drawdown of funds, timely submission

of required reports with satisfactory

outcomes related to the plan and

timetable, audit compliance and other

HUD reviews.

(3) (6 Points) The strength of the

applicants’ partnership as it relates to

eliminating the crime problem identified

in Rating Factor 2. HUD will award

points in this area based on the strength

of resource commitments identified in

your MOUs in terms of the amount of

staff, time, money, or other assets

committed by each MOU party toward

implementing your program. Your

description should include the

following:

(a) Identification of the skills each

party will bring to help successfully

implement your program and the

firmness of the commitments;

(b) evidence of your MOU partners’

(and project tenants’) pre-application

role in developing the plan and

prospective role in program

implementation;

(c) Indications of the capacity of the

assisted housing developments’

ownership and management (based on

available management reviews by

governing public entities) to undertake

their share of responsibilities in the

11994 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

partnership (including evidence of

whether management carefully screens

applicants for units and takes

appropriate steps to deal with tenants

known to exhibit or suspected of

exhibiting criminal behavior) and to

cooperate with law enforcement actions

on their project premises;

(d) The willingness of the unit of

general local government to use its

prosecutor’s office as its lead agency in

implementing the grant;

(e) Participation of additional partners

other than those required to sign MOUs

(for example, neighborhood business

organizations); and

(f) The effectiveness of the

partnership structure.

Rating Factor 2: Need/Extent of the

Problem (25 Points)

This factor addresses the extent to

which there is a need for funding your

proposed program activities to address

the documented degree of the severity of

the drug-related crime problem in the

project area proposed for funding. Any

collection of data should include

summaries at the beginning of the data.

In responding to this factor, HUD will

evaluate the extent to which you have

explained a critical level of need for

your proposed activities and have

indicated the urgency of meeting the

need in the target area. You must

include a description of the extent and

nature of drug-related crime ‘‘in and

around’’ the housing units or

developments proposed for funding.

To the extent that you can provide

objective crime data specific to the

community or targeted development

proposed for funding, your application

is eligible to be awarded up to the full

25 points. If you do not provide

documented objective crime data

specific to the community or targeted

development proposed for funding, your

application is only eligible to receive up

to 15 points for this factor.

You will be evaluated on the

following:

(1) (25 Points) ‘‘Objective Crime Data’’

relevant to the target area. Your

application must include the most

current and specific Part I Crime data

and relevant Part II Crime data available

from the FBI’s Uniform Crime Reporting

Program (UCR) system or the local law

enforcement’s crime statistics. Part I

Crimes include: homicide; rape;

robbery; aggravated assault; burglary;

larceny; auto theft; and arson. Part II

drug-related crimes include: drug abuse

violations; simple assault; vandalism;

weapons violations; and other crimes

which you are proposing to be targeted

as part of your grant. In assessing this

subfactor, HUD will consider the extent

of specificity that the statistical data is

provided (e.g., data specific to the

neighborhood covered by your

application). These data must consist of

verifiable records and not anecdotal

reports. Where appropriate, the statistics

should be reported both in real numbers

and as an annual percentage of the

residents in each development (e.g., 20

arrests in a two-year period for

distribution of heroin in a development

with 100 residents reflects a 20%

occurrence rate). These data may

include:

(a) Police records or other verifiable

information from records on the types or

sources of drug related crime in your

targeted developments and surrounding

area;

(b) The number of lease termination’s

or evictions for drug-related crime at

your targeted developments; and

(c) The number of emergency room

admissions for drug use or that result

from drug-related crime. Such

information may be obtained from

police departments and/or fire

departments, emergency medical service

agencies and hospitals. The number of

police calls for service from the targeted

developments that include resident

initiated calls, officer-initiated calls,

domestic violence calls, drug

distribution complaints, found drug

paraphernalia, gang activity, graffiti that

reflects drugs or gang-related activity,

vandalism, drug arrests, and abandoned

vehicles.

For PHAs, such data should include

housing authority police records on the

types and sources of drug related crime

‘‘in and around’’ developments as

reflected in crime statistics or other

supporting data from Federal, State,

Tribal or local law enforcement

agencies.

If you submit objective data you do

not need to submit other crime data.

You should include summaries with the

objective data that establish the drug

related crime problem.

(2) (15 Points) Other Crime Data—

Other supporting data on the extent of

drug-related crime. To the extent that

objective data as described above may

not be available, you must use data from

other verifiable sources that have a

direct bearing on drug related crime in

the developments proposed for

assistance under this program. However,

to qualify for points your application

must indicate the reasons why you

could not obtain objective data and

what efforts you made to obtain it and

what efforts you will make during the

grant period to begin obtaining the data.

Examples of the data should include

(but are not necessarily limited to):

(a) Surveys of residents and staff in

your targeted developments surveyed on

drug-related crime or on-site reviews to

determine drug/crime activity; and

government or scholarly studies or other

research in the past year that analyze

drug-related crime activity in the

targeted developments.

(b) Vandalism cost at your targeted

developments, including elevator

vandalism (where appropriate) and

other vandalism attributable to drugrelated crime.

(c) Information from schools, health

service providers, residents and Federal,

State, local, and Tribal officials, and the

verifiable opinions and observations of

individuals having direct knowledge of

drug-related crime and the nature and

frequency of these problems in

developments proposed for assistance.

(These individuals may include Federal,

State, Tribal, and local government law

enforcement officials, resident or

community leaders, school officials,

community medical officials, substance

abuse, treatment (dependency/

remission) or counseling professionals,

or other social service providers.)

(d) The school dropout rate and level

of absenteeism for youth that you can

relate to drug-related crime. If crime or

other statistics are not available at the

development or precinct level, you must

use other verifiable, reliable and

objective data; and

(e) To the extent that your

community’s Consolidated Plan

identifies the level of the problem and

the urgency in meeting the need,

references to the Consolidated Plan

should be included in your response.

HUD will review more favorably those

applicants who used the Consolidated

Plan to identify need, when applicable.

Rating Factor 3: Soundness of

Approach (Quality of the Plan) (35

Points)

This factor addresses the quality and

anticipated effectiveness of your

proposed action plan using grant funds

and other resources in taking a

comprehensive community-based

approach toward the problem of drugs

and drug-related crime in the

neighborhood identified in your

application.

Your application must include an

action plan for crime reduction and

elimination efforts, describing in detail:

the specific activities to be undertaken;

the parties responsible for or involved

in the activities for each development

proposed for assistance; and the dollar

amount and extent of resources

committed to each activity or service

proposed.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 11995

In evaluating this factor, HUD will

consider the following:

(1) (25 Points) The quality and

comprehensiveness of your action plan

to address the drug-related crime

problem and the problems associated

with drug-related crime in the

developments proposed for funding.

You must include a description of your

plan’s anticipated effectiveness in

reducing or eliminating drug-related

crime problems immediately and over

an extended period, as evidenced by:

(a) The extent to which your proposed

activities provide services over the

existing baseline of services currently

provided to the project area;

(b) The extent to which the activities

of the two required MOU entities are

comprehensive and, as result of

collective actions, will effectively work

together. If you provide for a

comprehensive approach, you will

receive a higher number of rating points.

HUD will provide only one-half of the

eligible points under this subfactor if

your application only includes an MOU

with either:

(i) The local law enforcement entity;

or

(ii) The local prosecutor (district

attorney) with jurisdiction over the

neighborhood identified in your

application. If you include no MOUs

with either party, you will receive zero

points.

(c) The extent to which you have

partnered with appropriate

neighborhood and community

stakeholders;

(d) The extent to which the resources

allocated and the budget proposed are

adequate to conduct the work plan as

proposed; and

(e) Your rationale for the proposed

activities and methods and why you

believe the activities will be effective in

reducing drug use and drug-related

crime. If you are proposing new

methods for which there is limited

knowledge of the effectiveness, you

should provide the basis for modifying

past practices and rationale for why you

believe the modification will yield more

effective results.

(2) (10 Points) The adequacy of the

process you will use to collect,

maintain, analyze and report Part I and

II crimes as defined by the Uniform

Crime Reporting (UCR System), as well

as police workload data. The process

must include the collection of police

workload data such as, but not limited

to, all calls for service at the housing

authority by individual development,

patterns over a period of time, type of

crime, and plans to improve data

collection and reporting. Your proposed

analysis of the data collected should

include a method for assessing the

impact of grant activities on the

collected crime statistics on an on-going

basis during the award period.

(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’s consideration of

this subfactor will consider the extent to

which the applicant’s plan for the use

of New Approach Anti-Drug funds 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

(Support of Residents, the Local

Government and the Community in

Planning and Implementing the

Proposed Activities and Interagency

Activities) (10 Points)

This factor addresses your ability to

secure community and government

resources, in-kind services from local

governments, non-profit entities,

including resident organizations, forprofit entities, or private organizations

to be combined with HUD’s program

resources to achieve program purposes.

To be considered as documented

evidence of leveraging, you must submit

a letter signed by the organization head

authorized to commit the organization

which details the amount of funds or

type of services to be provided. The

letter also must identify the dollar value

of any services or goods in lieu of a cash

contribution. Therefore, in responding

to the factor you must translate the time

or services provided into a dollar value.

This dollar value will be added to any

cash funding commitments identified as

part of your leveraging of funds. For

example, if you are receiving a donation

of security alarm systems, you should

indicate the number of security systems

to be provided and give a dollar value

for those alarm systems. The value will

be added to any cash contributions you

have noted from others. The letter may

indicate that the commitment is

predicated on the applicant receiving

the grant from HUD. In assessing this

factor, HUD will consider the following:

(1) Evidence of the extent and amount

of the commitment of funding, staff, or

in-kind resources, partnership

agreements, and on-going or planned

cooperative efforts with law

enforcement agencies, memoranda of

understanding, or agreements to

participate. Such commitments must be

signed by an official of the organization

legally able to make commitments for

the organization. This evidence of

commitment must include organization

name, resources, and responsibilities of

each participant. This also includes

interagency activities already

undertaken, participation in local, state,

Tribal, or Federal anti-drug related

crime efforts such as: education,

training and employment provision

components of Welfare Reform efforts,

Operation Weed and Seed, Operation

Safe Home, local law enforcement

initiatives and/or successful

coordination of its law enforcement, or

other activities with local, state, Tribal,

or Federal law enforcement agencies.

(2) HUD may award more points for

applications with a higher percentage of

these resources as compared to New

Approach Anti-Drug funds requested.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

This factor addresses the extent to

which you have coordinated your

activities with other known

organizations, participants or have

promoted participation in a

community’s Consolidated Planning

process. You should demonstrate that

you are working towards addressing a

need in a holistic and comprehensive

manner through linkages with other

activities in the community.

In evaluating this factor, HUD will

consider the extent to which:

(1) You have coordinated your

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 you will take to share

information on solutions and outcomes

with others. Describe any written

agreements and memoranda of

understanding currently in place, or that

will be in place after award.

(2) You have 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) You have shared and coordinated

information on solutions and outcomes

with other law-enforcement and

governmental agencies, and have

described any written agreements in

place or that will be put in place.

(4) You have taken or will take

specific steps to develop linkages to

coordinate comprehensive solutions

through meetings, information

networks, planning processes or other

mechanisms with:

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(a) Other HUD-funded project/

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.

VI. Application Submission

Requirements

Each New Approach Anti-Drug

application must provide the items

listed in this Section VI of this program

section of the SuperNOFA. Your

application must contain the items

listed in this Section VI(B). These items

include the standard forms,

certifications, and assurances listed in

the General Section of the SuperNOFA

that are applicable to this funding

(collectively, referred to as the

‘‘standard forms’’). The standard forms

can be found in Appendix B to the

General Section of the SuperNOFA. The

remaining application items that are

forms (i.e., excluding such items as

narratives, or letters), referred to as the

‘‘non-standard forms’’ can be found as

Appendix B to this program section of

the SuperNOFA. The items are as

follows:

(A) Application Cover Letter.

(B) Congressional Summary—

Summary of your proposed program

activities in five (5) sentences or less.

(C) A Neighborhood Description. The

neighborhood description must include

a basic description (e.g., boundaries and

size), population, number of housing

units in the neighborhood, a map, a

population profile (e.g., relevant census

data on the socio-economic, ethnic and

family makeup of neighborhood

residents), and the basis on which the

area meets the definition of

‘‘neighborhood’’ as described in this

program section of the SuperNOFA (i.e.,

describe and include a copy of the

comprehensive plan, ordinance or other

official local document which defines

the area as a neighborhood, village, or

similar geographical designation). If the

entire jurisdiction is defined as a

neighborhood by virtue of having a

population at less than 25,000, indicate

the jurisdiction’s population under the

1990 census and describe/include more

recent information which gives the best

indication as to the current population.

(D) The description of the assisted

housing development(s) in the

neighborhood. This must include the

name of the project; the name of the

project owner; the nature, sources, and

program titles of all project-based

subsidies or other assistance provided to

the development by units of government

or private nonprofit entities. Any names

of public or nonprofit assisted housing

programs other than programs

sponsored by HUD should be

accompanied by a description of the

program and the name and business

phone number of a contact person

responsible for administering the

program. For the subsidy provider, you

must include the number of housing

units in the development, and the

number of housing units in the

development that meet the definition of

‘‘assisted housing units’’ in this funding

announcement, and a description of the

restrictions on rents and resident

incomes that, in combination with the

subsidy provided to the development,

qualify the units as assisted/affordable

in accordance with the definition in this

program section of the SuperNOFA; and

the number, geographic proximity

(adjoining, adjacent, or scattered site,

and if scattered site, the distance

between the two buildings which are

furthest apart), and type (single family

detached, townhouse, garden, elevator)

of buildings in the development.

(E) Application for Federal

Assistance, Standard Form (SF) 424,

signed by the chief executive officer of

your organization.

(F) An action plan which describes

the activities and roles to be undertaken

by you and each subgrantee or

subrecipient of program funds. This

action plan may be attached to and

referenced in your MOU.

(G) Narrative responses to the factors

for award including any required

documentation identified under each

factor.

(H) A line item budget which

identifies salaries, fringe benefits,

consultants or subgrantees, equipment,

supplies, travel, and general and

administrative expenses; as well as an

estimated dollar amount for each

activity to be undertaken as part of your

action plan.

(I) Overall budget and timetable that

includes separate budgets, goals,

milestones, and timetables for each

activity and addresses milestones

towards achieving the goals described

above; and indicates the contributions

and implementation responsibilities of

each partner for each activity, goal, and

milestone.

(J) The number of staff years, the titles

and professional qualifications, and

respective roles of staff assigned full or

part-time to grant implementation by

the applicant/grantee.

(K) Your plan and lines of

accountability (including an

organization chart) for implementing

your grant activity, coordinating the

partnership, and assuring that your and

your subgrantees’ commitments will be

met. There must be a discussion of the

various agencies of the unit of

government that will participate in grant

implementation (which must include

the prosecutor’s office and the police

department.

VII. Corrections to Deficient

Applications

The General Section of this

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

Prior to the award of grant funds

under the program, HUD will perform

an environmental review to the extent

required under the provisions of 24 CFR

part 50. Should the environmental

review indicate adverse environmental

impacts, your application may be

downgraded or rejected. The General

Section of this SuperNOFA provides

additional guidance on Environmental

Reviews.

IX. Authority

This program is authorized under the

Departments of Veterans Affairs and

Housing and Urban Development, and

Independent Agencies Appropriations

Act, 2001 (Pub.L. 106–377, approved

October 18, 2000), under the heading

‘‘Drug Elimination Grants for LowIncome Housing.’’

Appendix A—HUD Field Office List for

Multifamily Housing

Please see Appendix A to the Multifamily

Housing Drug Elimination Program section of

this SuperNOFA for a list of the HUD Field

Offices for Multifamily Housing.

Appendix B

The non-standard forms, which follow, are

required for your New Approach Anti-Drug

application.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR DRUG

ELIMINATION GRANTS FOR

FEDERALLY ASSISTED LOW-INCOME

HOUSING (MULTIFAMILY HOUSING

DRUG ELIMINATION)

Program Overview

Purpose of the Program. The purpose

of this Multifamily Housing Drug

Elimination Grant Program is to enable

owners of federally assisted low-income

housing developments to deal

effectively with drug-related criminal

activity in and around their

developments, through a plan of

activities including enhanced security

measures, support of tenant patrols, and

drug-abuse prevention, intervention,

referral, and treatment programs.

Available Funds. Approximately

$16.25 million.

Eligible Applicants. Only owners of

eligible developments may apply for

and become the recipient of grant funds.

Property management companies may

administer grant programs, but are not

eligible applicants.

Application Deadline: May 23, 2001.

Match. None.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application (an original and

two copies) is due on or before 6:00 pm,

local time, on May 23, 2001 at the

address shown below.

See the General Section of this

SuperNOFA for specific procedures

concerning the form of application

submission (e.g., mailed applications,

express mail, overnight delivery, or

hand carried).

Address for Submitting Applications.

Appendix A to this program section

contains a list of HUD Field Offices

where you must send your application

by the deadline. Please address your

application to the Director, Multifamily

Housing Hub or Program Center in your

local HUD Field Office.

For Application Kits. For an

application kit, please call the

SuperNOFA Information Center at 1–

800–HUD–8929. If you have a hearing or

speech impairment, please call the

Center’s TTY number at 1–800–HUD–

2209. When requesting an application

kit, please refer to Multifamily Housing

Drug Elimination Grants, and provide

your name, address (including zip code)

and telephone number (including area

code). An application kit also will be

available on the Internet at http://

www.hud.gov/grants.

For Further Information and

Technical Assistance. You may contact

your local HUD Field Office staff for

questions you have regarding this

program section of the SuperNOFA and

your application kit. Please contact the

Resident Initiatives Specialist or Drug

Elimination Grants contact person in

your local office. If you have a question

that the Field staff are unable to answer,

please call Carissa Janis, Housing

Project Manager, Office of Housing

Assistance and Grants Administration,

Department of Housing and Urban

Development, 451 Seventh Street, SW,

Room 6146, Washington, DC 20410;

(202) 708–2866, extension 2487 (this

number is not toll free). If you are

hearing or speech impaired, you may

access this number via TTY by calling

the Federal Information Relay Service at

1–800–877–8339.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov/grants.

II. Amount Allocated

(A) Available Funding. HUD is

allocating funds under this Multifamily

Drug Elimination Grant Program section

of the SuperNOFA to the eighteen

Multifamily Housing Hub Offices, in

accordance with the following schedule:

HUB OFFICES AND FIELD OFFICE JURISDICTIONS

Atlanta Hub (Atlanta, Caribbean, Knoxville, Nashville, Louisville) .......................................................................................................... $1,219,019

Baltimore Hub (Baltimore, Richmond, Washington, DC) ........................................................................................................................ 801,213

Boston Hub (Boston, Hartford, Manchester, Providence) ....................................................................................................................... 1,310,033

Buffalo Hub .............................................................................................................................................................................................. 329,658

Chicago Hub (Chicago, Indianapolis) ...................................................................................................................................................... 989,691

Columbus Hub (Columbus, Cincinnati, Cleveland) ................................................................................................................................. 945,259

Denver Hub .............................................................................................................................................................................................. 757,497

Detroit Hub (Detroit, Grand Rapids) ........................................................................................................................................................ 619,184

Ft. Worth Hub (Ft. Worth, Albuquerque, Houston, Little Rock, New Orleans, San Antonio, Shreveport) ............................................. 1,161,687

Greensboro Hub (Greensboro, Columbia) .............................................................................................................................................. 811,246

Jacksonville Hub (Jacksonville, Birmingham, Jackson) .......................................................................................................................... 1,006,891

Kansas City Hub (Kansas City, Des Moines, Oklahoma City, Omaha, St. Louis, Tulsa) ...................................................................... 1,183,903

Los Angeles Hub ..................................................................................................................................................................................... 761,080

Minneapolis Hub (Minneapolis, Milwaukee) ............................................................................................................................................ 999,008

New York Hub ......................................................................................................................................................................................... 599,118

Philadelphia Hub (Philadelphia, Pittsburgh, Charleston, Newark) .......................................................................................................... 1,138,754

San Francisco Hub (San Francisco, Honolulu, Las Vegas, Phoenix, Sacramento) ............................................................................... 909,427

Seattle Hub (Seattle, Portland, Anchorage) ............................................................................................................................................ 707,332

Grand Total ....................................................................................................................................................................................... 16,250,000

The Multifamily Housing Hub offices

will select applicants for award

according to the process discussed in

Section V of this program section of the

SuperNOFA.

(B) Maximum Grant Award. The

maximum amount of funds you may

receive for an application with one

development is $125,000 and the

maximum for an application for two or

more developments is $200,000.

(C) Reduction of Requested Grant

Amounts. You may be awarded an

amount less than requested if:

(1) HUD determines that some

elements of your proposed action plan

are ineligible for funding;

(2) Insufficient amounts remain under

the allocation to fund the full amount

you requested, and HUD determines

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that partial funding is a viable option;

or

(3) HUD determines that a reduced

grant would prevent duplicative Federal

funding.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. The

Federally Assisted Low-Income Housing

Drug Elimination Grant program is

designed to assist property owners to

reduce or eliminate drug-related

criminal activity in and around their

developments and to provide programs

to prevent or eliminate drug use and

abuse among their residents. While this

program is centered in and around the

premises of one or more HUD assisted

multifamily housing sites, you are

expected to work closely with other

community social service and law

enforcement organizations to achieve

specific program objectives to reduce or

eliminate drug-related criminal activity.

The development of these strong

working partnerships is an essential part

of this program and is seen by the

Department as necessary for long-term

strategies to fight crime and drug abuse.

Thus, while your activities are targeted

in and around one or more

developments, HUD expects you to link

your activities with services available in

your community. In particular, HUD is

seeking plans that provide successful,

proven, and cost-effective deterrents to

drug-related crime and drug abuse that

are designed to address the realities of

federally assisted low-income housing

environments.

(B) Eligible Applicants

(1) To be eligible for funding, you

must meet all of the applicable

threshold requirements of Section II(B)

of the General Section of the

SuperNOFA and must be owners of

developments assisted under the

following programs:

(a) Sections 221(d)(3) below market

interest rate, or 236 of the National

Housing Act;

(b) Section 101 of the Housing and

Urban Development Act of 1965; or

(c) Any development receiving

project-based assistance under Section 8

of the United States Housing Act of

1937. This includes Section 202,

Section 515, State Housing Finance

Agency, Moderate Rehabilitation,

Section 8 New Construction and

Substantial Rehabilitation, 221(d)(3),

221(d)(4), and 236 developments.

(2) If you are a management agent,

you may prepare applications and sign

application documents if you provide

written authorization from the owner as

part of your application.

(3) If your eligibility status changes

during the course of the grant term,

making you ineligible to receive a grant

(e.g. due to prepayment of mortgage,

sale of property, or opting out of a

Section 8 Housing Assistance Payment

(HAP) contract), HUD has the right to

terminate your grant.

(4) To be eligible, developments must

also meet the following criteria:

(a) Are current in mortgage payments

or are current under a workout

agreement;

(b) Meet HUD’s Uniform Physical

Conditions Standards (codified in 24

CFR part 5, subpart G), based on the

most recent physical inspection report

and responses thereto, as evidenced by

a score of 60 or better or an approved

plan for developments scoring less than

60, and

(c) Are in compliance with your

regulatory agreement, HAP Contract,

and other outstanding directives.

(5) Eligible owners may apply for and

receive both Multifamily Housing Drug

Elimination Grants and New Approach

Anti-Drug grants.

(C) Eligible Activities. Your proposed

drug elimination program should foster

interrelationships among the residents,

the housing owner and management, the

local law enforcement agencies, and

other community groups affecting your

development. Resident participation in

the determination of programs and

activities to be undertaken is critical to

the success of all aspects of your

program. In addition to working closely

with the development’s residents, your

program must include working with

community groups, the neighborhood

law enforcement precinct, residents of

adjacent developments, and the

community as a whole to enhance and

magnify the effect of your specific

program activities. HUD seeks resultoriented programs that promote

stability, positive and lasting changes in

and around your development and the

surrounding community, and which use

proven cost-effective measures to reduce

drug use or prevent criminal activity.

With the very real need to protect

occupants of HUD-assisted housing and

the areas around the housing, the civil

rights of all citizens must be protected.

Your proposed strategies should be

developed to ensure that crime-fighting

and drug prevention activities are not

undertaken in such a manner that civil

rights or fair housing statutes are

violated. You may not use race, color,

sex, religion, national origin, disability,

or familial status to profile persons as

suspects or otherwise target them in

conducting these activities. In addition,

all segments of the population should be

represented in developing and

implementing your crime-fighting

strategies.

(1) Physical Improvements To

Enhance Security. All physical

improvements must be accessible to

persons with disabilities and must meet

the accessibility requirements of 24 CFR

part 8, Nondiscrimination Based on

Handicap in Federally Assisted

Programs and Activities of the

Department of Housing and Urban

Development. In addition, such physical

improvements must support or enhance

visitability for people with mobility

impairments.

Your physical improvements may

include systems to limit building access

to development residents; installation of

barriers, lighting systems, fences, bolts,

locks; landscaping or reconfiguration of

common areas to discourage drugrelated crime; or other physical

improvements that enhance security

and discourage drug-related activities.

Rehabilitation of existing space for use

by drug-related intervention and

prevention programs is an eligible

activity.

(2) The provision of training,

communications equipment, and other

related equipment for use by voluntary

tenant patrols acting in cooperation

with local law enforcement officials is

an eligible activity.

(3) Programs to Reduce the Use of

Drugs. Programs to reduce the use of

drugs in and around your development,

including drug-abuse prevention,

intervention, referral, and treatment are

eligible for funding. Where appropriate,

you must establish a confidentiality

policy regarding medical and disabilityrelated information. Funding is

permitted for reasonable, necessary, and

justified leasing of vehicles for resident

youth and adult education and training

activities directly related to ‘‘programs

to reduce the use of drugs’’ under this

section. All such services and

educational and training programs must

be fully accessible to people with

disabilities.

(a) Drug Prevention. Your drug

prevention activities should provide a

comprehensive drug prevention

approach that will address the

individual resident and his or her

relationship to family, peers, and the

community. Prevention activities

should identify and change the

conditions in federally assisted lowincome housing that lead to drug-related

problems and lower the risk of drug

usage. Many components of a

comprehensive approach, such as

refusal and restraint skills training or

drug-related family counseling, may

already be available in your community.

Your plan should include bringing

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program components already available

in the community onto the premises.

Proposed activities may include the

following:

(i) Drug Education Opportunities for

Residents. Activities should provide

both young people and adults with the

working knowledge and skills needed to

avoid the potential and immediate

dangers of illegal drugs. You may

contract (in accordance with 24 CFR

85.36) with drug education

professionals to provide training or

workshops. Contracted drug education

services must reflect or be tied to your

program plan.

(ii) Family and Other Support

Services. Prevention programs should be

designed to help foster successful family

relationships that may inhibit or reduce

drug use. Examples of services include

parenting skills workshops, short-term

family counseling, child care, or family,

cultural or educational programs. You

may provide these programs directly or

refer residents to such services already

available in your community.

(iii) Youth Services. If you propose

drug prevention services in your plan

and your development has a substantial

number of young residents, HUD

strongly encourages you to include

youth in your prevention programs.

Your proposed prevention activities for

youth must involve the active

participation of youth in planning

programs and service delivery. Such

youth-oriented drug prevention

programs may include youth leadership

skills training; events incorporating

dissemination of drug education

information; and sports, recreational,

cultural, and general education

activities.

(iv) Economic/Educational

Opportunities. Eligible economic or

educational programs should have the

objectives of assisting residents in

improving their educational status,

vocational and job readiness skills, and

opportunities for obtaining

employment. The ultimate goal of

services should be to assist residents in

obtaining suitable lifelong employment

and self-sufficiency to deter drug use,

abuse, and related crime.

(b) Intervention. The aim of

intervention is to provide residents with

substance abuse/dependency remission

services to assist them in modifying

their behavior; obtaining early treatment

and structured aftercare; and

maintaining remission. Your program

should also be designed to prevent drug

problems from continuing once

detected. If you propose any

intervention program that seeks to

accomplish the above objectives, you

must describe how you expect the

activities to assist residents in reducing

or ceasing their use of illicit drugs and

involvement in drug-related crime.

(c) Drug Treatment. If your program

provides treatment services, they must

be targeted to the development and its

residents. Your program should be

conducted in and around the premises

of the development, or residents must

be referred to receive treatment from

other available sources within the

community. You may include

implementing new drug referral

treatment or aftercare services, or

improve or expand currently available

services. Your proposed drug treatment

program should aim to reduce illicit

drug use among residents by increasing

resident accessibility to, and effective

participation in, drug treatment

activities, and decreasing criminal

activity in and around your

development. Your proposed plan must

demonstrate a working partnership with

your Single State Agency (or State

license provider or authority with drug

program coordination responsibilities in

your State) to coordinate, develop, and

implement your drug treatment

program. In particular, you and the

appropriate agency must confirm that

your proposed drug treatment

provider(s) has provided these services

to similar populations for two prior

years and your drug treatment program

is consistent with the State treatment

plan, meeting all State licensing

requirements. Services eligible for

funding may include:

(i) Drug treatment supportive services

designed for youth and/or maternal drug

abusers. Examples of services are:

prenatal/postpartum care; specialized

counseling for women; or, parenting

classes. You are encouraged to draw

upon approaches that have proven

effective with similar populations.

(ii) Formal referral arrangements to

treatment programs not in and around

the development when treatment

funding from sources other than this

program are available.

(iii) Transportation for residents to

out-patient treatment and/or support

programs.

(iv) Family/collateral counseling.

(v) Linking programs with

educational/vocational counseling.

(vi) Coordinating services with

appropriate local drug agencies, HIVrelated service agencies, and mental

health and public health programs.

(D) Ineligible Activities. The following

activities are not eligible for funding:

(1) Hiring of or contracting

employment security guards to provide

security services in and around the

development.

(2) Any activity or improvement that

is normally funded from project

operating revenues for routine

maintenance or repairs, or those

activities or improvements that may be

funded through reasonable and

affordable rent increases;

(3) The acquisition of real property or

those physical improvements that

involve the demolition of any units in

your development or displacement of

tenants;

(4) Costs incurred prior to the

effective date of your grant agreement,

including consultant fees for surveys

related to your application or its

preparation;

(5) Reimbursement of local law

enforcement agencies for additional

security and protective services;

(6) Employment of one or more

individuals to investigate drug-related

crime in and around federally-assisted

low-income developments and/or to

provide evidence relating to such crime

in any administrative or judicial

proceeding;

(7) Treatment of residents at any inpatient medical treatment programs or

facilities;

(8) Detoxification procedures

designed to reduce or eliminate the

presence of toxic substances in body

tissues of a patient;

(9) Maintenance drug programs;

[Maintenance drugs are medications

that are prescribed regularly for a long

period of supportive therapy (e.g.,

methadone maintenance), rather than

for immediate control of a disorder.]

(10) Programs to treat alcoholism; and

(11) Funding of police informants

who provide information about drugrelated activity.

IV. Program Requirements

In addition to the requirements listed

in Section II of the General Section of

this SuperNOFA, you must also meet

the additional requirements in Section

IV of this program section of the

SuperNOFA. These requirements apply

to all activities, programs, and functions

used to plan, budget, and evaluate the

work funded under your program.

(A) Administrative Costs.

Administrative costs cannot exceed

10% of your proposed program’s total

cost. HUD will look more favorably

upon proposals that target grant funds to

hard program costs and propose

minimal, if any, administrative

expenses.

(B) Term of Funded Activities. Your

grant term cannot exceed twelve

months.

(C) Multiple Developments. There is

no limit to the number of developments

that can be included in your

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application. However, if you include

more than one development in your

application, all developments must be

eligible and located in the same Field

Office jurisdiction. In addition, you

must demonstrate in your response to

Rating Factor 3 ‘‘Soundness of

Approach—(Quality of the Plan)’’ that

your program will be feasible to

implement among all proposed

developments.

(D) Subgrants and Subcontracting.

You may directly undertake or

subcontract for any of the eligible

activities under this Multifamily Drug

Elimination Program section of the

SuperNOFA. Resident groups that are

not incorporated may work with you in

the implementation of your program,

but may not receive funds as

subgrantees.

(E) Collection of Crime Data. If you

receive a grant, you will be required to

collect and report on Parts I and II crime

data. Parts I and II crime data are

defined by the Uniform Crime Reporting

(UCR) System (see Rating Factor 2,

paragraph (1)(d)).

(F) Forms, Certifications and

Assurances. See the General Section of

the SuperNOFA for the applicable

forms, certifications, and assurances

that you must submit. This includes a

certification that you are in compliance

with Federal Civil Rights laws, as

specified in Section II(G)(7) of the

General Section of this SuperNOFA.

(G) Affirmatively Furthering Fair

Housing. You must comply with Section

II(D) of the General Section of this

SuperNOFA.

(H) Federal Labor Standards. In

accordance with 24 CFR 761.40, when

grant funds are used to undertake

physical improvements to assisted

multifamily housing, you must comply

with Davis-Bacon prevailing wage

requirements.

V. Application Selection Process

(A) Rating and Ranking. All

applications will be evaluated

competitively and ranked against

applications in the same Field Office.

The maximum number of points for

this program is 102. This includes two

Empowerment Zone/Enterprise

Community (EZ/EC) bonus points, as

described in the General Section of the

SuperNOFA. For bonus points related to

activities located in Empowerment

Zones or Enterprise Communities, you

must demonstrate that there is a

connection between such EZ or EC and

tenant, local government, and local

community support and participation in

the design and implementation of the

proposed activities to be funded under

this program.

(B) Distribution of Funds. This year

HUD will distribute funds to each

Multifamily Housing Hub Office, in

proportion to the number of eligible

developments in that area. Each

Multifamily Hub Office may

recommend a total number of awards up

to the dollar amount allocated for the

area covered by the Hub Office. Hub

Offices will receive the scores from each

HUD Field Office which has received,

rated, and ranked its applications.

The Hub Offices will conduct the

selection process as follows: Where a

Multifamily Hub covers more than one

Field Office jurisdiction, the Hub Office

will first select the highest ranked

application in each Field Office for

funding. After this selection, the Hub

will use remaining funds to fully fund

as many applications as possible in rank

order, regardless of Field Office. Hub

Offices representing only one Field

Office shall use their distribution of

funds to fully fund in rank order as

many applications as possible. Any

funds still remaining after the Hub

Office distribution by rank will be

forwarded to Headquarters, which shall

make awards to fund as many remaining

applications as possible by national

rank order. All applications must

receive a score equal to or greater than

the minimum score of 70 without bonus

points to be considered for funding.

This process balances a geographic

distribution with a process that gives

priority to the most highly rated

applications. Your application will

primarily compete for funding with

other applications submitted within that

same Hub Office jurisdiction.

(C) Procedure to Resolve Tied Scores.

If two or more applications have the

same score and there are insufficient

funds to fund all of them, the

application with the highest score for

the Soundness of Approach rating factor

shall be selected for funding. If a tie still

remains, the application with the

highest score for the Capacity of the

Applicant and Relevant Organizational

Experience rating factor shall be

selected. Further tied applications will

be selected by their scores in the Need/

Extent of Problem, Leveraging

Resources, and Comprehensiveness and

Coordination rating factors, in that

order. If the applications received the

same score for each of the five factors,

the Multifamily Hub Office or

Headquarters will break the remaining

tie by selecting the application whose

developments(s) are in most financial

need based on a per unit negative cash

flow analysis of the most recent Annual

Financial Statement (AFS).

(D) Factors for Award Used to

Evaluate and Rate Applications. The

five factors in this section total 100

points. An application must receive a

score of at least 70 points to be eligible

for funding under this competition.

Each application submitted will be

evaluated using the following selection

criteria set forth below.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (20 Points)

This factor addresses the extent to

which you have organizational

resources necessary to successfully

implement your proposed activities in a

timely manner. In rating this factor,

HUD will consider the extent to which

you demonstrate the capabilities

described below.

(1) (20 points) Administrative

Capacity.

(a) The knowledge and experience of

your staff and your administrative

capacity to manage grants, including

administrative support functions,

procurement, lines of authority, and

fiscal management capacity. Your

narrative must include a discussion of

financial capacity, staff resources, and

prior experience that will enable you to

effectively administer a grant and meet

reporting requirements. Your narrative

should not exceed five pages.

(b) HUD’s evaluation approach. (i) For

Public Housing Authorities (PHAs) and

tribally designated housing entities

(TDHEs) that had previously applied as

IHAs, HUD will also consider such

measurements as the uniform crime

index, physical inspections, agency

monitoring of records, Line of Credit

Control System (LOCCS) Reports, audit

and such other relevant information

available to HUD on the capacity of the

owner or manager to administer the

grant.

(ii) For owners of federally-assisted

low income housing, HUD will also

consider the most recent Management

Review (including Rural Housing

Management Review), HUD’s Uniform

Physical Conditions Standards review,

State Agency review, physical

inspection, and other relevant

information available to HUD on the

capacity of the owner and manager to

undertake the grant.

(2) (Deduct up to 5 points for prior

poor performance) Your performance in

administering Drug Elimination funding

in the previous 5 years. HUD will

consider your participation in HUD

grant programs within the preceding

five years and evaluate the degree of

your success in implementing and

managing these grant programs. HUD

will look at program implementation,

timely drawdown of funds, timely

submission of required reports with

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satisfactory outcomes related to the plan

and timetable, audit compliance,

whether there are any unresolved

findings from prior HUD reports (e.g.,

performance or finance) reviews of

audits undertaken by HUD, the Office of

Inspector General, the General

Accounting Office or independent

public accountants). For PHAs, your past experience will

be evaluated in terms of your ability to

attain demonstrated measurable

progress in tracking drug related crime,

enforcement of screening and lease

procedures in implementation of the

‘‘One Strike and You’re Out Initiative’’

(as applicable), the extent to which you

have formed a collaboration with Tribal,

State and local law enforcement

agencies and courts to gain access to

criminal conviction records of potential

tenants to determine their suitability for

residence in public housing. Such data

will be measured and evaluated based

on your public housing assessment

score (24 CFR parts 901/902).

Rating Factor 2: Need/Extent of the

Problem (25 Points)

This factor addresses the extent to

which there is a need for funding your

proposed program activities to address a

documented problem in the target area

(i.e., the degree of the severity of the

drug-related crime problem in the

development(s) proposed for funding).

In responding to this factor, HUD will

evaluate your application based on the

extent to which a critical level of need

for your proposed activities is explained

and you provide a justification for the

urgency of meeting the need in your

development(s) and the area around

your development(s). Your application

must include a description of the extent

and nature of drug-related crime ‘‘in and

around’’ the housing units or

development(s) you propose for

funding. (1) Drug-Related Crime Statistics. (23

Points) You will receive up to 23 points

for this factor if your statistics and

explanation of need establish critical

crime problems and an urgency to

address these problems in and around

your development(s). To receive the

maximum number of points, you must

provide statistics for both the premises

of your development(s) and the smallest

geographic area surrounding your

development(s) for which objective

statistics are available in your

community, town, or city. If you use

statistics from institutions (e.g. hospitals

or schools), the institutions must

directly serve the residents of the

targeted development(s). If the statistics

you provide do not indicate a critical

need, urgency to meet this need, or you

do not provide statistics that document

the need within your development(s) or

the area around your development(s),

you will not receive the maximum

number of points. If you do not submit

the letter or documentation for the

‘‘non-objective’’ data, indicated in

paragraph 2(a), below, you will also

receive fewer points. The statistics and information you

provide must include the following: (a) ‘‘Objective Crime Data’’ relevant to

the target area. Such data should consist

of verifiable records and not anecdotal

reports. Where appropriate, the statistics

should be reported both in real numbers

and as an annual percentage of the

residents in each development (e.g., 20

arrests in a one-year period for

distribution of heroin in a development

with 100 residents reflects a 20%

occurrence rate). Such data may

include:

(i) Police records or other verifiable

information from records on the types or

sources of drug related crime in the

targeted development and surrounding

area;

(ii) The number of lease terminations

or evictions for drug-related crime at the

targeted development; and (iii) The number of emergency room

admissions for drug use or that result

from drug-related crime. Such

information may be obtained from

police Departments and/or fire

departments, emergency medical service

agencies and hospitals. The number of

police calls for service from your

development that include resident

initiated calls, officer-initiated calls,

domestic violence calls, drug

distribution complaints, found drug

paraphernalia, gang activity, graffiti that

reflects drugs or gang-related activity,

vandalism, drug arrests, and abandoned

vehicles.

(iv) To the extent possible, you should

obtain statistics on Part I and Part II

crimes, as defined by the Uniform Crime

Reporting (UCR) System. Part 1 crimes

include: criminal homicide, forcible

rape, robbery, aggravated assault two

(including domestic violence through

use of a weapon or by means likely to

produce death or great bodily harm),

burglary-breaking or entering, larcenytheft (except motor vehicle theft), motor

vehicle theft, and arson. Part II crimes

include: assaults, forgery and

counterfeiting, fraud, embezzlement,

vandalism, weapons (carrying or

possessing), prostitution and

commercialized vice, sex offenses

(except forcible rape, prostitution, and

commercialized vice), drug abuse

violations, gambling, offenses against

the family and children, driving under

the influence, violation of liquor laws,

drunkenness, disorderly conduct,

vagrancy, all other offenses related to

curfew and loitering laws and

runaways. For PHAs, such data should include

housing authority police records on the

types and sources of drug related crime

‘‘in and around’’ developments as

reflected in crime statistics or other

supporting data from Federal, State,

Tribal, or local law enforcement

agencies. (b) Other Crime Data. If you are

unable to attain objective crime

statistics as mentioned above, you may

submit other supporting, verifiable data

on the extent of drug-related crime in

the target area. If you submit other

relevant information in place of

objective data, you must provide the

following to receive the maximum

number of points: (i) A letter or supporting

documentation from your local law

enforcement agency or another relevant

neighborhood organization explaining

why the objective data mentioned above

is not available, and

(ii) A narrative explanation of the

reasons why objective data could not be

obtained, what efforts were made to

obtain it, and what efforts will be made

(if possible) during the grant period to

begin obtaining the data. Such data may

include the following:

—Surveys of residents and staff in the

targeted development surveyed on

drug-related crime or on-site reviews

to determine drug/crime activity; and

government or scholarly studies or

other research in the past year that

analyze drug-related crime activity in

your targeted development. —Vandalism cost at your targeted

development, to include elevator

vandalism (where appropriate) and

other vandalism attributable to drugrelated crime. —Information from schools, health

service providers, residents and

Federal, State, local, and Tribal

officials, and the verifiable opinions

and observations of individuals

having direct knowledge of drugrelated crime, and the nature and

frequency of these problems in your

development proposed for assistance.

(These individuals may include

Federal, State, Tribal, and local

government law enforcement officials,

resident or community leaders, school

officials, community medical officials,

substance abuse, treatment

(dependency/remission) or counseling

professionals, or other social service

providers.) —The school dropout rate and level of

absenteeism for youth that you can

relate to drug-related crime. —To the extent that the community’s

Consolidated Plan identifies the level

of the drug abuse and related crime

12008 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

problems in and around your targeted

development, and the urgency in

meeting the need, references to these

documents should be included in

your response. You will receive more

points if you use these documents to

identify need.

(2) Development Need Based on Prior

Award. (2 points) If you have not

received an award for the

development(s) submitted in your FY

2001 application in the FY 1998, 1999,

or 2000 competitions, you will receive

two points. If you submit an application

with multiple developments and one or

more developments did not receive an

award in FY 1998, 1999, or 2000, you

will receive one point.

Rating Factor 3: Soundness of

Approach—(Quality of the Plan) (35

Points)

This factor addresses the quality and

effectiveness of your proposed work

plan. In rating this factor, HUD will

consider the impact of your proposed

activities and the tangible benefits that

can be attained by the community and

by the target population. Your

application must include a detailed

narrative describing each proposed

activity for crime reduction and

elimination efforts for each

development proposed for assistance,

the amount and extent of resources

committed to each activity or service

proposed, and process used to collect,

maintain, analyze and report Part I and

II crimes as defined by the Uniform

Crime Reporting (UCR System, as well

as police workload data.

In evaluating this factor, HUD will

consider the following:

(1) (14 points) Your plan’s approach

to address the drug-related crime

problem and associated problems in the

development proposed for funding, the

resources allocated, and the extent to

which your proposed activities are

targeted to residents, provide for

linkages with existing community

resources, and are likely to have long

term impacts on reducing drug use and

drug-related crime in and around your

targeted development. Also, you must

include the rationale for the proposed

activities and methods to be used in

developing your program and approach

to reducing drug-related crime and drug

abuse. If you propose drug prevention or

intervention activities, these services

must constitute a continuing and

comprehensive approach to deter drug

use or abuse among your residents and

their neighbors. Your proposal must

demonstrate how your activities work

together with other on-going activities

in the community and how these

activities rely upon each other to form

a holistic plan. Your plan must include

the following items. If these are not

included, you will receive fewer points

under this subfactor:

(a) An explanation of how any

proposed physical improvements,

services, and training programs will be

accessible and visitable to persons with

disabilities and a statement that they

will meet the accessibility requirements

of 24 CFR part 8, Nondiscrimination

Based on Handicap in Federally

Assisted Programs and Activities of the

Department of Housing and Urban

Development;

(b) A discussion of how any drug

education services that you propose to

undertake directly or through a

subcontract will reflect the objectives of

your program plan;

(c) A specific explanation of how you

plan to incorporate the active

participation of youth in planning

prevention programs and services

targeted to their needs; and

(d) If you propose drug treatment

activities, you must provide a letter

from your Single State Agency (or State

license provider or authority with drug

program coordination responsibilities in

your State) that states that your program

is effectively coordinating, developing,

and implementing drug treatment

programs in partnership with that

entity.

(2) (10 points) The anticipated

effectiveness of your plan and proposed

activities in reducing or eliminating

drug-related crime problems

immediately and over an extended

period. This should include the

following:

(a) A description of established

performance goals for the results to be

achieved during the period of your

grant. The goals must be objective,

quantifiable, and measurable, and they

must be outcome or result-oriented.

Outcomes include accomplishments,

results, impact and the ultimate effects

of the program on the drug or crime

problem in the target/development area.

(b) An explanation of how your

proposed activities enhance and are

coordinated with on going or proposed

programs sponsored by HUD, such as

Neighborhood Networks, Campus of

Learners, Operation Safe Home, ‘‘One

Strike and You’re Out’’, Department of

Justice Weed and Seed efforts, or any

other prevention/intervention/treatment

activities in your community. Explain

the specific steps you will take to share

and coordinate information on solutions

and outcomes with other lawenforcement and governmental

agencies, and a description of any

written agreements in place or that will

be put in place by you with these

entities.

(3) (3 points) Evidence and

explanation of how proposed activities

have been effective in similar

circumstances in controlling drugrelated crime. If you are proposing new

methods for which there is limited

knowledge of effectiveness, you should

provide the basis for modifying past

practices and rationale for why you

believe the modification will yield more

effective results.

(4) (3 points) The process you will use

to maintain, analyze, and report Part I

and II crimes, as well as police

workload data. Police workload data

may include, but are not limited to: all

calls for service by residents of your

development, crime pattern over a

period of time by type of crime, and

plans to improve data collection and

reporting. Your proposed analysis of the

data collected must include a method

for assessing the impact of activities on

the collected crime statistics throughout

your award period. The results of your

activities and the effect on statistics is

of much greater importance than the

method you will use to collect such

data, so you should pay attention to the

benchmarks you establish for measuring

and evaluating your performance,

particularly measuring changes in crime

rates by Part I and Part II crime data.

(5) (1 point deducted if not addressed)

The extent to which your program to

eliminate crime in your development or

neighborhood will expand fair housing

choice and will affirmatively further fair

housing. Provide a brief statement

outlining the benchmarks you will use

to measure your success in affirmatively

furthering fair housing through this

program. This may include such items

as making physical improvements

accessible to persons with disabilities,

lower vacancy and turnover rates and

increased new applications for housing

in your development and in other rental

properties in your neighborhood, new

businesses and other community

development initiatives in your area, or

increased rates of homeownership in

your community.

(6) (5 points) Resident Support. The

extent to which you have sought the

support of residents in planning and

implementing the proposed activities.

(a) You must provide evidence that

you actively sought comments,

suggestions, and support from residents

for your proposed plan. State the steps

you took to obtain this information and

support. Demonstrate that you made

your proposed plan available and that

you requested comments in the

language(s) of the tenants residing in

your development(s).

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12009

(b) Describe and provide written

documentation of these comments,

suggestions, and support. HUD needs

clear evidence that the residents agree

with, support, and will work with your

proposed program. If applicable, you

must explain why you do not have

written documentation of such support

or did not receive any comments or

suggestions.

(c) Describe how residents will be

involved in implementing your

program. If involvement would be

minimal or not appropriate, please state

and explain why.

Rating Factor 4: Leveraging Community

Resources (10 Points)

To receive points under this rating

factor, you must provide evidence of the

level and type of participation and

support by the local government or law

enforcement agency for your proposed

activities. This should include the level

of assistance received from local

government, community organizations,

and/or law enforcement agencies. If a

community organization is providing

you with staff or supporting services,

you must include a letter from each

organization providing staff or support

in order to receive maximum points.

Each letter must specify what type of

participation or contributions the

organization will make to your program.

Such letters must be from businesses,

non-profit or public agencies within

your unit of general local government

(i.e. county, town, city) or incorporated

resident organizations. Letters stating

general support or from people or

organizations not in and around your

development are not relevant and you

should not include them in your

application.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

This factor addresses the extent to

which you coordinate your activities

with other known organizations,

participate or promote participation in

your community’s Consolidated

Planning process, and are working

towards addressing a need in a holistic

and comprehensive manner through

linkages with other activities in the

community.

In evaluating this factor, HUD will

consider your prior efforts and future

plans to coordinate with other local

agencies and organizations as follows:

(1) (3 points) Describe past efforts to

coordinate your proposed activities with

those of other groups or organizations

prior to submission of your application

in order to best complement, support,

and coordinate all known activities.

Explain what specific steps you will

take to share information on solutions

and outcomes with others. Please

describe any written agreements or

memoranda of understanding that are or

will be in place after award.

(2) (6 points) Explain what specific

steps you have taken or will take to

develop linkages or coordinate

comprehensive solutions through

meetings, information networks,

planning processes, or other

mechanisms. Explain your past efforts

or planned efforts for involvement with

such programs or other HUD-funded

projects/activities outside the scope of

those covered by the Consolidated Plan;

and/or other Federal, State, or locally

funded activities, including those

proposed or on-going in the community.

(3) (1 point) Explain specific steps

you have taken or will take to become

active in your 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 you

propose.

VI. Application Submission

Requirements

(A) There is no limit to the number of

developments per application. However,

all developments in one application

must be eligible and located in the same

Field Office jurisdiction. You must

demonstrate in Rating Factor 3

‘‘Soundness of Approach—(Quality of

the Plan)’’ that your program will be

feasible to implement among all

proposed developments. In addition,

you must provide pertinent information

for each Rating Factor for each proposed

development.

(B) Your application must contain the

items listed in this Section VI(B). These

items include the standard forms,

certifications, and assurances listed in

the General Section of the SuperNOFA

that are applicable to this funding

(collectively, referred to as the

‘‘standard forms’’). The standard forms

can be found in Appendix B to the

General Section of the SuperNOFA. The

remaining application items that are

forms (i.e., excluding such items as

narratives, letters, referred to as the

‘‘non-standard forms’’ can be found as

Appendix B to this program section of

the SuperNOFA: The items are as

follows:

Standard Forms

—Standard Form for Application for

Federal Assistance (SF–424) (which

includes civil rights/fair housing

certification);

—Federal Assistance Funding Matrix

and Certifications (HUD–424M);

—Standard Form for Budget

Information—Non-Construction

Programs (SF 424A);

—Standard Form for Assurances—NonConstruction Programs (SF–424B);

—Drug Free Workplace Certification

(HUD–50070);

—Certification of Payments to Influence

Federal Transactions (HUD–50071)

and if engaged in lobbying, the

Disclosure Form Regarding Lobbying

(SF–LLL):

—Applicant/Recipient Disclosure/

Update Report Form (HUD–2880);

—Acknowledgment of Application

Receipt (HUD–2993)

Other Application Items

(1) Application Cover Letter that

outlines and explains the application

structure; includes the name of a contact

person and a number where he/she can

be reached, and provides any other

information you feel would assist HUD

in reviewing your application.

(2) Applicant Data Input Form.

(3) Abstract of Proposed Program,

consisting of one paragraph which

summarizes your proposed program.

(4) Rating Factor 1 Narrative. A

narrative, not to exceed five pages,

which includes a discussion of your

organization’s financial capacity, staff

resources, and prior experience that will

enable you to effectively administer a

grant and meet reporting requirements.

(5) Rating Factor 2 Narrative and

Statistics. The narrative and data must

describe critical level of need for your

proposed activities and a justification

for the urgency of meeting the need in

your development(s) and the area

around your development(s). The

description must indicate the extent and

nature of drug-related crime.

(a) ‘‘Objective Crime Data’’ (i.e.

statistics and other information)

relevant to the target area, or

(b) Other supporting, verifiable data

on the extent of drug-related crime in

the target area. If you submit other

relevant information in place of

objective data, you must also provide

the following:

(i) A letter or supporting

documentation from your local law

enforcement agency or another relevant

neighborhood organization explaining

why objective data are not available,

and

(ii) A narrative explanation of the

reasons why objective data could not be

obtained, what efforts were made to

obtain them, and what efforts will be

made (if possible) during the grant

period to begin obtaining the data.

(6) Rating Factor 3 Narrative. A

narrative describing your plan’s

approach to address the drug-related

12010 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

crime problem and associated problems

in the development proposed for

funding. The narrative must include:

(a) An explanation of the anticipated

effectiveness of your plan and proposed

activities in reducing or eliminating

drug-related crime problems

immediately and over an extended

period.

(b) Evidence and explanation of how

proposed activities have been effective

in similar circumstances in controlling

drug-related crime.

(c) A description of the process you

will use to maintain, analyze, and report

Part I and II crimes, as well as police

workload data.

(d) An explanation of the extent to

which your program to eliminate crime

in your development or neighborhood

will expand fair housing choice and will

affirmatively further fair housing.

(e) Evidence that you actively sought

comments, suggestions, and support

from residents for your proposed plan.

Provide written documentation of these

comments, suggestions, and support. If

applicable, you must explain why you

do not have written documentation of

such support or did not receive any

comments or suggestions. Describe how

residents will be involved in

implementing your program.

(f) Drug Treatment Program

Certification (if applicable).

(7) Rating Factor 4 Narrative and

Letters. The narrative and letters must

provide evidence of the specific type of

participation, assistance, or other

support received from local government,

community organizations, and/or law

enforcement agencies for your proposed

activities. If a community organization

is providing you with staff or supporting

services, you must include a letter from

each organization providing staff or

support.

(8) Rating Factor 5 Narrative. The

narrative must describe your past efforts

to coordinate your proposed activities

with those of other groups or

organizations prior to submission of

your application. The narrative must

include;

(a) An explanation of the specific

steps you have taken or will take to

develop linkages or coordinate

comprehensive solutions through

meetings, information networks,

planning processes, or other

mechanisms. Explain your past efforts

or planned efforts for involvement with

relevant community activities.

(b) An explanation of the specific

steps you have taken or will take to

become active in your community’s

Consolidated Planning process.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

It is anticipated that most activities

under this program are categorically

excluded from NEPA and related

environmental authorities under 24 CFR

50.19(b)(3), (4), (12), or (13). If grant

funds will be used to cover the cost of

any activities which are not exempted

from environmental review

requirements—such as acquisition,

leasing, construction, or building

rehabilitation, HUD will perform an

environmental review to the extent

required by 24 CFR part 50, prior to

grant award.

IX. Authority

This program is authorized under

Chapter 2, subtitle C, title V of the AntiDrug Abuse Act of 1988 (42 U.S.C.

11901 et. seq.), as amended by section

581 of the National Affordable Housing

Act of 1990 (Pub.L. 102–550) and

section 161 of the Housing and

Community Development Act of 1992,

(Pub.L. 102–550), and further amended

by Title V, Subtitle F, section 586 of the

Fiscal Year 1999 HUD Appropriations

Act (Pub.L. 105–276, approved October

21, 1998). The regulations for the

program are found in 24 CFR part 761,

Drug Elimination Programs.

Appendix A—HUD Field Office List for

Multifamily Housing

Alabama

Multifamily Housing Program Center, HUD—

Birmingham Office, 600 Beacon Parkway

West, Rm. 300, Birmingham, AL 35209–

3144, OFC Phone: (205) 290–7611, FAX:

(205) 290–7632

Alaska

Multifamily Housing Hub, HUD Seattle

Office, 909 First Avenue, Suite 190, MS–

0AHM, Seattle, WA 98104–1000, OFC

Phone: (206) 220–5228 ext. 3250, FAX:

(206) 220–5206

Arizona

Multifamily Housing Program Center, HUD

Phoenix Office, 400 North Fifth Street,

Suite 1600, Phoenix, AZ 85004–2361, OFC

Phone: (602) 379–4434, FAX: (602) 379–

3985

Arkansas

Multifamily Housing Program Center, HUD

Little Rock Office, 425 West Capitol

Avenue #900, Little Rock, AR 72201–3488,

OFC Phone: (501) 324–5401, FAX: (501)

324–6142

California

Multifamily Housing Hub, HUD—San

Francisco Office, 450 Golden Gate Avenue,

PO Box 36003, San Francisco, CA 94102–

3448, OFC Phone: (415) 436–6505, FAX:

(415) 436–8996

Los Angeles Multifamily Hub, 611 West

Sixth Street, Suite 800, Los Angeles, CA

90017, OFC Phone: (213) 894–8000 x 3634,

Fax: (213) 894–8255

Colorado

Multifamily Housing Hub, HUD Denver

Office, 633 17th Street, 11th Floor, Denver,

CO 80202–3607, OFC Phone: (303) 672–

5343, FAX: (303) 672–5153

Connecticut

Multifamily Housing Program Center, HUD—

Hartford Office, One Corporate Center,

19th floor, Hartford, CT 06103–3220, OFC

Phone: (860) 240–4800 Ext. 3068, FAX:

(860) 240–4850

Delaware

Multifamily Housing Hub, HUD Philadelphia

Office, The Wanamaker Building, 100 Penn

Square, East, Philadelphia, PA 19107–

3380, OFC Phone: (215) 656–0609 Ext.

3533, FAX: (215) 656–3427

District of Columbia

Multifamily Housing Program Center, HUD

Washington, DC Office, Suite 300, 820 First

Street, 0, Washington, DC 20012–4205,

OFC Phone: (202) 275–9200, FAX: (202)

275–9212

Florida

Multifamily Housing Hub, HUD—

Jacksonville Office, 301 West Bay Street,

Suite 2200, Jacksonville, FL 32202–5121,

OFC Phone: (904) 232–1777 x2144, FAX:

(904) 232–2731

Georgia

Multifamily Housing Hub, HUD—Atlanta

Office, Five Points Plaza Building, 40

Marietta Street, SW, Atlanta, Georgia

30303–2806, OFC Phone: (404) 331–4976,

FAX: (404) 331–4028

Hawaii

Multifamily Housing Program Center, HUD

Honolulu Office, 7 Waterfront Plaza, 500

Ala Moana Blvd. #500, Honolulu, HI

96813–4918, OFC Phone: (808) 522–8185

Ext. 244, FAX: (808) 522–8194

Idaho

Multifamily Housing Hub, HUD Seattle

Office, 909 First Avenue, Suite 190, MS–

0AHM, Seattle, WA 98104–1000, OFC

Phone: (206) 220–5228 ext. 3250, FAX:

(206) 220–5206

Illinois

Multifamily Housing Hub, HUD—Chicago

Office, Ralph Metcalfe Federal Building, 77

West Jackson Boulevard, Chicago, IL

60604–3507, OFC Phone: (312) 353–6236

Ext. 2202, FAX: (312) 886–2729

Indiana

Multifamily Housing Program Center, HUD

Indianapolis Office, 151 North Delaware

Street, Suite 1200, Indianapolis, IN 46204–

2526, OFC Phone: (317) 226–6303, FAX:

(317) 226–7308

Iowa

Multifamily Housing Program Center, HUD

Des Moines Office, 210 Walnut Street,

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12011

Room 239, Des Moines, IA 50309–2155,

OFC Phone: (515) 284–4736, FAX: (515)

284–4743

Kansas

Multifamily Housing Hub, HUD Kansas City

Office, 400 State Avenue, Room 200,

Kansas City, KS 66101–2406, OFC Phone:

(913) 551–6844, FAX: (913) 551–5469

Kentucky

Multifamily Housing Program Center, HUD—

Louisville Office, 601 West Broadway, PO

Box 1044, Louisville, KY 40201–1044, OFC

Phone: (502) 582–6124, FAX: (502) 582–

6547

Louisiana

Multifamily Housing Program Center, HUD

New Orleans Office, Hale Boggs Bldg.—501

Magazine Street, 9th Floor, New Orleans,

LA 70130–3099, OFC Phone: (504) 589–

7236, FAX: (504) 589–6834

Maine

Multifamily Housing Program Center, HUD—

Manchester Office, Norris Cotton Federal

Bldg., 275 Chestnut Street, Manchester, NH

03101–2487, OFC Phone: (603) 666–7684,

FAX: (603) 666–7697

Maryland

Multifamily Housing Hub, HUD Baltimore

Office, 5th Floor, 10 South Howard Street,

Baltimore, MD 21201–2505, OFC Phone:

(410) 962–2520 Ext. 3474, FAX: (410) 962–

1849

Massachusetts

Multifamily Housing Hub, HUD—Boston

Office, O’Neil Federal Building, 10

Causeway Street, Rm. 375, Boston, MA

02222–1092, OFC Phone: (617) 565–5162,

FAX: (617) 565–6557

Michigan

Multifamily Housing Hub, HUD Detroit

Office, 477 Michigan Avenue, Detroit, MI

48226–2592, OFC Phone: (313) 226–7900,

FAX: (313) 226–5611

Multifamily Housing Program Center, HUD

Grand Rapids, Trade Center Building, 50

Louis Street, NW., Grand Rapids, MI

49503–2648, OFC Phone: (616) 456–2100,

FAX: (616) 456–2191

Minnesota

Multifamily Housing Hub, HUD Minneapolis

Office, 220 Second Street, South,

Minneapolis, MN 55401–2195, OFC Phone:

(612) 370–3051 Ext. 0, FAX: (612) 370–

3090

Mississippi

Multifamily Housing Program Center, HUD

Jackson Office—McCoy, Federal Building,

100 W. Capitol Street, Room 910, Jackson,

MS 39269–1096, OFC Phone: (601) 965–

4738, FAX: (601) 965–4773

Missouri

Multifamily Housing Hub, HUD Kansas City

Office, 400 State Avenue, Room 200,

Kansas City, KS 66101–2406, OFC Phone:

(913) 551–6844, FAX: (913) 551–5469

Multifamily Housing Program Center, HUD

St. Louis Office, Robert A. Young Federal

Building, 1222 Spruce Street—Third Floor,

St. Louis, MO 63103–2836, OFC Phone:

(314) 539–6382, FAX: (314) 539–6356

Montana

Multifamily Housing Hub, HUD Denver

Office, 633 17th Street, 14th Floor, Denver,

CO 80202–3607, OFC Phone: (303) 672–

5343, FAX: (303) 672–5153

Nebraska

Multifamily Housing Program Center, HUD

Omaha Office, 10909 Mill Valley Road,

Suite 100, Omaha, NE 68154–3955, OFC

Phone: (402) 492–3113, FAX: (402) 492–

3184

Nevada

Multifamily Housing Program Center, HUD

Las Vegas Office, 333 N. Rancho Drive—

Atrium Bldg. Suite 700, Las Vegas, NV

89106–3714, OFC Phone: (702) 388–6525,

FAX: (702) 388–6244

New Hampshire

Multifamily Housing Program Center, HUD—

Manchester Office, Norris Cotton Federal

Bldg., 275 Chestnut Street, Manchester, NH

03101–2487, OFC Phone: (603) 666–7684,

FAX: (603) 666–7697

New Jersey

Multifamily Housing Program Center, HUD—

Newark Office—13th Floor, One Newark

Center, Newark, NJ 07102–5260, OFC

Phone: (973) 622–7900 Ext. 3400, FAX:

(973) 645–2271.

New Mexico

Multifamily Housing Hub, HUD Ft. Worth

Office, 801 Cherry Street, PO Box 2905, Ft.

Worth, TX 76102–2905, OFC Phone: (817)

978–5764, FAX: (817) 978–5520

New York

Multifamily Housing Hub, HUD—New York

Office, 26 Federal Plaza—Room 3214, New

York, NY 10278–0068, OFC Phone: (212)

264–0777 Ext. 3713, FAX: (212) 264–1277

Multifamily Housing Hub, HUD—Buffalo

Office, Lafayette Court, 5th Floor, 465 Main

Street, Buffalo, NY 14203–1780, OFC

Phone: (716) 551–5755 Ext. 5506, FAX:

(716) 551–3252

North Carolina

Multifamily Housing Hub, HUD Greensboro

Office—Koger Building, 2306 West

Meadowview Road, Greensboro, NC 27407,

OFC Phone: (336) 547–4034, FAX: (336)

547–4121

North Dakota

Multifamily Housing Hub, HUD Denver

Office, 633 17th Street, 14th Floor, Denver,

CO 80202–3607, OFC Phone: (303) 672–

5343, FAX: (303) 672–5153

Ohio

Multifamily Housing Hub, HUD Columbus

Office, 200 North High Street, Columbus,

OH 43215–2499, OFC Phone: (614) 469–

5737, Ext. 8111 FAX:

(614) 469–2432

Multifamily Housing Program Center, HUD

Cincinnati Office, 525 Vine Street, Suite

700, Cincinnati, OH, 45202–3188, OFC

Phone: (513) 684–2350, FAX: (513) 684–

6224

Multifamily Housing Program Center, HUD

Cleveland Office, 1350 Euclid Avenue,

Suite 500, Cleveland, OH 44115–1815,

OFC Phone: (216) 522–4058 Ext. 7000,

FAX: (216) 522–4067

Oklahoma

Multifamily Housing Program Center, HUD

Oklahoma City Office, 500 W. Main Street,

Suite 400, Oklahoma City, OK 73102–2233,

OFC Phone: (405) 553–7410, FAX: (405)

553–7406

Oregon

Multifamily Housing Hub, HUD Seattle

Office, 909 First Avenue, Suite 190, MS–

0AHM, Seattle, WA 98104–1000, OFC

Phone: (206) 220–5228 Ext. 3250, FAX:

(206) 220–5206

Pennsylvania

Multifamily Housing Hub, HUD Philadelphia

Office, The Wanamaker Building, 100 Penn

Square, East, Philadelphia, PA 19107–

3380, OFC Phone: (215) 656–0609 Ext.

3533, FAX: (215) 656–3427

Multifamily Housing Program Center, HUD

Pittsburgh Office, 339 Sixth Avenue—Sixth

Floor, Pittsburgh, PA 15222–2515, OFC

Phone: (412) 644–6639, FAX: (412) 644–

5872

Puerto Rico

Multifamily Housing Program Center, HUD

Caribbean Office, 171 Carlos E. Chardon

Avenue, San Juan, PR 00918–0903, OFC

Phone: (787) 766–5401, FAX: (787) 766–

5522

Rhode Island

Multifamily Housing Program Center, HUD—

Providence Office, 10 Weybosset Street,

Sixth Floor, Providence, RI 02903–2808,

OFC Phone: (401) 528–5230, FAX: (401)

528–5097

South Carolina

Multifamily Housing Program Center, HUD

Columbia Office, 1835, Assembly Street,

Columbia, SC 29201–2480, OFC Phone:

(803) 765–5162, FAX: (803) 253–3043

South Dakota

Multifamily Housing Hub, HUD Denver

Office, 633 17th Street, 14th Floor, Denver,

CO 80202–3607, OFC Phone: (303) 672–

5343, FAX: (303) 672–5153

Tennessee

Multifamily Housing Program Center, HUD—

Knoxville Office, 710 Locust Street, SW,

Knoxville, TN 37902–2526, OFC Phone:

(423) 545–4411, FAX: (423) 545–4578

Multifamily Housing Program Center, HUD—

Nashville Office, 251 Cumberland Bend

Drive, Suite 200, Nashville, TN 37228–

1803, OFC Phone: (615) 736–5748, FAX:

(615) 736–2018

Texas

Multifamily Housing Hub, HUD Ft. Worth

Office, 801 Cherry Street, PO Box 2905, Ft.

Worth, TX 76102–2905, OFC Phone: (817)

978–5764, FAX: (817) 978–5520

Multifamily Housing Program Center, HUD

Houston Office, 2211 Norfolk, #200,

Houston, TX 77098–4096, OFC Phone:

(713) 313–2274 Ext. 7015, FAX: (713) 313–

2319

Multifamily Housing Program Center, HUD

San Antonio Office, 800 Dolorosa, San

Antonio, TX 78207–4563, OFC Phone:

(210) 475–6831, FAX: (210) 472–6897

12012 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Utah

Multifamily Housing Hub, HUD Denver

Office, 633 17th Street, 14th Floor, Denver,

CO 80202–3607, OFC Phone: (303) 672–

5343, FAX: (303) 672–5153

Vermont

Multifamily Housing Program Center, HUD—

Manchester Office, Norris Cotton Federal

Bldg. 275 Chestnut Street, Manchester, NH

03101–2487, OFC Phone: (603) 666–7684,

FAX: (603) 666–7697

VIrginia

Multifamily Housing Hub, HUD Richmond

Office, 3600 West Broad Street, Richmond,

VA 23230–4920, OFC Phone: (804) 278–

4500 Ext. 3146, FAX: (804) 278–4613

Washington

Multifamily Housing Hub, HUD Seattle

Office, 909 First Avenue, Suite 190, MS–

0AHM, Seattle, WA 98104–1000, OFC

Phone: (206) 220–5228 ext. 3250, FAX:

(206) 220–5206

West Virginia

Multifamily Housing Program Center, HUD—

Charleston Office, 405 Capitol Street, Suite

708, Charleston, WV 25301–1795, OFC

Phone: (304) 347–7000 Ext. 103, FAX:

(304) 347–7050

Wisconsin

Multifamily Housing Program Center, HUD

Milwaukee Office, 310 West Wisconsin

Avenue, Room 1380, Milwaukee, WI

53203–2289, OFC Phone: (414) 297–3214

Ext. 8662, FAX: (414) 297–3204

Wyoming

Multifamily Housing Hub, HUD Denver

Office, 633 17th Street, 14th Floor, Denver,

CO 80202–3607, OFC Phone: (303) 672–

5343, FAX: (303) 672–5153

Appendix B

The non-standard forms, which follow, are

required for your Multifamily Housing Drug

Elimination Program application.

BILLING CODE 4210–32–P

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12013

12014 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12015

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12017

FUNDING AVAILABILITY FOR THE

ECONOMIC DEVELOPMENT

INITIATIVE (EDI)

Program Overview

Purpose of the Program. EDI funds are

used to enhance the security of a loan

guaranteed by HUD under Section 108

of the Act (as defined in Section

III(A)(1) below) for the same project, or

to improve the viability of the project

financed with the Section 108-

guaranteed loan. HUD intends to make

available $10,728,155 in EDI funds in

FY 2001 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. An EDI grant must be used in

conjunction with a new Section 108

guaranteed loan commitment. In FY

2001, HUD seeks to increase economic

development opportunity for those areas

of the country having the greatest

distress.

Available Funds. Although no new

funds were appropriated for the EDI

program in FY 2001, $10,728,155 from

the past two fiscal years is unobligated

and therefore HUD proposes to make

these funds available for EDI grants in

FY 2001. This amount includes

$3,710,000 from the Community

Empowerment Fund (CEF) Pilot. A

notice announcing this pilot program

was published in the Federal Register

on June 30, 2000. On reconsideration,

HUD has decided not to proceed with

this pilot program. Please note that

there is no separate category for regional

economic development applications,

unlike last year’s SuperNOFA, in this

year’s competition. The maximum EDI

grant awards will be in the amount of

$1 million.

Eligible Applicants. Any public entity

eligible to apply for and receive loan

guarantee assistance under 24 CFR part

570, subpart M. Urban counties, as

defined in 24 CFR 570.3 and 570.307,

may apply for funding, but units of

general local government which

participate in the Urban County may not

submit an application independent of

the Urban County. (See Section III(B)

below for additional information

regarding eligible applicants.)

Application Deadline. July 6, 2001.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Please submit

your completed applications (one

original and three copies) on or before

12:00 midnight, Eastern time, on July 6,

2001, 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 two copies)

should be submitted by mail or hand

delivery to: Processing and Control

Unit, Room 7251, Office of Community

Planning and Development, Department

of Housing and Urban Development,

451 Seventh Street, SW, Washington,

DC 20410, Attention: EDI Grant.

To the Appropriate CPD Field Office:

At the same time the EDI application

and copies are submitted to HUD

Headquarters, an additional copy

should be submitted to the Community

Planning and Development Division of

the appropriate HUD Field Office for the

applicant’s jurisdiction.

When submitting the application,

please refer to EDI, and include the

applicant’s name, mailing address

(including zip code) and telephone

number (including area code), along

with the contact person’s name and

phone number.

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. When requesting the

application kit, please refer to EDI.

Please provide the applicant’s name,

address (including zip code), and

telephone number (including area code),

along with the contact person’s name

and phone number. The application kit

also will be available on the Internet

through the HUD web site at http://

www.hud.gov/grants. Persons with

hearing or speech impairments may call

the Center’s TTY number at 1–800–

HUD–2209 to obtain an application kit.

For Further Information and

Technical Assistance. Contact Bill

Seedyke at (202) 708–1686, extension

4445, of the Office of Economic

Development, Department of Housing

and Urban Development, 451 Seventh

Street, SW, Room 7158, Washington, DC

20410; (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 the

provision of technical assistance for EDI

grants. The Section 108 Loan Guarantee

program is not a competitive program

and therefore is not subject to the

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.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the EDI

application. For more information about

the date and time of the broadcast,

please consult the HUD web site at

http://www.hud.gov/grants.

II. Amount Allocated

No new funds were appropriated for

the EDI program under the FY 2001

HUD Appropriations Act. However,

$10,728,155 in funds appropriated for

Fiscal Years 1999 and 2000 remain

unobligated and available for the EDI

program for FY 2001. This amount

includes $3,710,000 that had been set

aside administratively for the

Community Empowerment Fund (CEF)

Pilot. A notice announcing this pilot

program was published in the Federal

Register on June 30, 2000 (65 FR 40836).

On reconsideration, HUD has decided

not to proceed with this pilot program.

For the EDI program, if any additional

funds become available during Fiscal

Year 2001, HUD may either fund

additional applicants in accordance

with this program section of the

SuperNOFA or may add these funds to

any future EDI competitions.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. EDI funds

are used to enhance the security of a

loan guaranteed by HUD under Section

108 of the Act (as defined in Section

III(A)(1) below) for the same project, or

to improve the viability of the project

financed with the Section 108-

guaranteed loan. An EDI grant must be

used in conjunction with a new Section

108 guaranteed loan commitment. Both

Section 108 loan guarantee proceeds

and EDI grant funds are initially made

available by HUD to public entities

approved for assistance. Such public

entities may re-loan the Section 108

loan proceeds and provide EDI funds to

a business or other entity to carry out an

approved economic development

project, or the public entity may carry

out the eligible project itself, as

provided in the approved application.

12018 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

In either case, EDI grant funds and the

108 proceeds must be used together to

support the same eligible project.

(1) Definitions. Terms used in this

program section of the SuperNOFA have

the meanings given in 24 CFR part 570

unless otherwise specified.

Act means Title I, Housing and

Community Development Act of 1974,

as amended (42 U.S.C. 5301–et seq.).

Application means a single set of

documents submitted by an eligible

applicant for EDI grant funds, in

accordance with the provisions of this

program section of the SuperNOFA to

finance an economic development

project. An EDI application must be

accompanied by a Section 108 loan

guarantee request, which may consist of

either a brief summary of the proposed

use of 108 funds, or a full application,

which may either be submitted at the

same time as the EDI application or be

provided within 60 days of EDI grant

award, as more fully explained in

Section IV(C) of this program section.

Note that the Section 108 application

must be submitted to the appropriate

HUD field office concurrently with its

submission to Headquarters.

CDBG funds means those funds

collectively so defined at 24 CFR 570.3,

including grant funds received pursuant

to section 108(q) of the Act and this

program section of the SuperNOFA.

Economic Development Initiative

(EDI) means the competitive award 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 part 598,

or a rural area so designated by the

Secretary of Agriculture pursuant to 7

CFR part 25, subpart B.

Firm Commitment means either a

written agreement or letter of

understanding by which an applicant

and/or its partner:

(1) agrees to perform an activity

specified in the application, and

demonstrates its relationship to the

proposed EDI project;

(2) specifies the amount of the

commitment, and demonstrates that it

has the financial and organizational

capacity to deliver the resources

necessary to successfully complete the

activity; if the committed activity is to

be self-financed, the applicant’s partner

must evidence its financial capacity

through a corporate or personal

financial statement or other appropriate

means; and

(3) irrevocably commits the resources

to the activity either through cash or inkind services or contributions; if any

portion is to be financed through a grant

or loan from another public or private

organization, that institution’s grant or

loan commitment must be firmly

committed as well.

Any such agreement or letter of

understanding shall be understood as

being contingent upon receipt of the EDI

grant.

In order for an applicant’s

commitment of CDBG funds to be

counted by HUD, a resolution from the

local governing body (e.g., city/borough

council) authorizing the amount and

permitted use(s) of the funds must be

provided. Each agreement or letter of

commitment must include the

organization’s name and proposed total

level of commitment and

responsibilities as they relate to the

proposed EDI project. The commitment

must be signed by an official of the

organization legally authorized to make

commitments on behalf of the

organization and have an effective date

not earlier than the publication date of

the NOFA.

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 or part 598.

(2) 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.

(a) The CDBG program provides grant

funds (approximately $4.44 billion in

FY 2001) by formula to eligible 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, public facilities and other

eligible large scale physical

development projects. HUD is

authorized pursuant to Section 108 to

guarantee notes issued by CDBG

entitlement communities, and nonentitlement units of general local

government eligible to receive funds

under the State CDBG program. The

Section 108 program is subject to the

regulations of 24 CFR part 570

applicable to the CDBG program, as

described in 24 CFR part 570, subpart

M. EDI grants must support Section 108

loan guarantees as generally described

in this program section of the

SuperNOFA.

(b) For FY 2001, the Section 108

program is authorized at $1.26 billion in

loan guarantee authority. The full faith

and credit of the United States will be

pledged to the payment of all guarantees

made under Section 108. Under this

program, communities (and States, if

applicable) pledge their continuing

CDBG allocations as security for loans

guaranteed by HUD. The Section 108

program, however, does not require

CDBG funds to be escrowed for loan

repayment (unless such an arrangement

is specifically negotiated as loan

security and included in the applicable

‘‘Contract for Loan Guarantee

Assistance’’). This means that a

community can ordinarily continue to

spend its existing allocation for other

CDBG purposes, unless needed for loan

repayment.

(3) EDI Program. The EDI program

was enacted in 1994 and is intended to

complement and enhance the Section

108 Loan Guarantee program. A purpose

of EDI grant funds is to reduce grantees’

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.

(4) Purpose of EDI Funding. HUD

intends the approximately $7.0 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.

(5) 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

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12019

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

directly enhance the value of the assets

securing the Section 108 loan will help

ensure that the project-based asset(s)

will satisfy the additional collateral

requirements.

(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) Funding Reserves. The cash flow

generated by an economic development

project may be expected to be relatively

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

i.e., potentially insufficient 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 to

improve the likelihood that projectgenerated cash flow will be sufficient to

cover debt service on the Section 108

loan directly and therefore enhance the

security of the guaranteed loan. One

technique for accomplishing this

approach is over-collateralization of the

Section 108 loan.

(ii) An example is the creation of a

loan pool funded with both 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 thus will 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, which might not otherwise be

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 in order to act

as a catalyst for other development in

the area.

(e) Combination of Techniques. A

combination of the above or other

techniques could be employed in

implementing an economic

development project.

(7) Additional Project Structure. HUD

will consider funding an EDI proposal

in which the related Section 108-

guaranteed obligation would be used

solely as security only under the

following conditions:

(a) If EDI funds are not the first source

of funds injected into the project, and

(b) If project funds are disbursed

according to a ratio that equals the

amount of EDI funds to the amount of

private or public debt that is firmly

committed to the project, as required

under Rating Factor 4 ‘‘Leveraging

Resources’’ below, and

(c) If the grantee maintains in its

records a listing of the amount of private

funds being distributed by the private

party (i.e., the financing institution) to

the project.

Grantees are reminded that the EDI

grantee/Section 108 borrower’s loan

guaranteed obligation cannot remain

undisbursed for more than five years

following the year in which the Section

108 commitment is made.

Consequently, the borrower’s 108-

guaranteed obligation cannot have a

term that exceeds five years plus the

remaining portion of the fiscal year in

which the commitment is made.

(B) Eligible Applicants. (1) 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 nonentitlement units of general local

government eligible to receive loan

guarantees under 24 CFR part 570,

subpart M. Urban Counties, as defined

at 24 CFR 570.3 and 570.307, are

eligible applicants for EDI funds; units

of general local government which

participate in an Urban County program

are not independently eligible

applicants. For non-entitlement

applicants other than those subject to 24

CFR 570, subpart F, applicants will be

required to provide evidence in the

application from an authorized official

of the State agency responsible for

administering the State CDBG program

stating its intention to support the

related Section 108 loan with a pledge

of its CDBG funds pursuant to the

requirements of 24 CFR 570.705(b)(2).

Such evidence shall take the form of the

HUD Certification titled ‘‘SECTION 108

LOAN GUARANTEES: State

Certifications Related to Nonentitlement

Public Entities’’ which may be obtained

either by downloading from the Internet

or in the EDI Application Kit to be

published shortly after publication of

this SuperNOFA. Note that effective

January 25, 1995, non-entitlement

public entities in the State of 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 now eligible

to participate in the Section 108 and EDI

programs.

(2) Applicants for economic

development projects under this section

must comply with the threshold

requirements of Section II of the General

Section of the SuperNOFA.

(C) Eligible Activities and National

Objectives. (1) EDI grant funds and

section 108 loan guarantee funds may be

used for activities listed at 24 CFR

570.703, provided such activities are

carried out as part of an economic

development project as described in this

EDI section of the SuperNOFA. If the

application fails to meet the

requirements for an EDI project as set

forth in this program section of the

SuperNOFA, HUD will not give it a

rating.

(2) Each activity assisted with Section

108 loan guarantee or EDI funds must

meet a national objective of the CDBG

program as described in 24 CFR

570.208. The applicant must clearly

identify in its narrative statement (as

described in Section V(B) below) the

CDBG national objective the proposed

project will achieve and provide the

appropriate CDBG national objective’s

regulatory citation found at 24 CFR

570.208. Also, the applicant must

address, when applicable, how the

proposed activities will comply with the

12020 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

public benefit standards of the CDBG

program as reflected in the regulation at

24 CFR 570.209 for the CDBG

Entitlement and Small Cities programs,

or 24 CFR 570.482 for the State CDBG

program.

(3) 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 the SuperNOFA,

must comply with the CDBG primary

objective requirement as described in

Section 101(c) of the Act and 24 CFR

570.200(a)(3), or 24 CFR 570.484 in the

case of State grantees.

IV. Program Requirements

(A) CDBG Program Regulations. In

addition to 24 CFR 570.701

(Definitions), 570.702 (Eligible

Applicants), and 570.703 (Eligible

Activities), as explained in Section III(C)

above of this SuperNOFA, the CDBG

regulatory requirements in 24 CFR

570.707, including subparts J (Grant

Administration), K (Other Program

Requirements), and O (Performance

Reviews) govern the use of EDI funds,

as applicable.

(B) Compliance with Applicable Laws.

An award of EDI funding does not in

any way relieve grant recipients or third

party users of EDI funds from

compliance with all applicable Federal,

State and local laws.

(C) Related Section 108 Loan

Guarantee Request.

(1) Each EDI application must be

accompanied by a request for new

Section 108 loan guarantee assistance.

Notwithstanding the form of the request

for new Section 108 loan guarantee

assistance under paragraphs (a), (b), (c),

or (d) of this section below, the

applicant must include citations to the

specific regulatory subsections

supporting activity eligibility and

national objectives compliance for the

project described in its application.

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 full 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 the project to be applied

for in a new Section 108 loan guarantee

application. Such 108 application must

be submitted within 60 days of written

notice of EDI selection, with HUD

reserving the right to extend such period

on a case-by-case basis where HUD

determines there is evidence of good

cause. EDI awards will be conditioned

on approval of actual Section 108 loan

commitments. This Section 108

application description must be

sufficient to support the basic eligibility

of the proposed project and activities for

Section 108 assistance. (See Section

III(C) of this program section of this

SuperNOFA.).

(c) A copy of a pending, unapproved

Section 108 loan guarantee application,

and any proposed amendments to the

Section 108 application which are

related to the EDI application. The

applicant’s submission of such an EDI/

Section 108 application shall be deemed

by HUD to constitute a request to

suspend separate processing of the

Section 108 application. The Section

108 application will not be approved

until on or after the date of the related

EDI award.

(d) A request for a Section 108 loan

guarantee assistance (analogous to

Section IV(C)(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 HUD’s announcement of an EDI

grant for the same project is not eligible

to be used in conjunction with an EDI

grant under this program section.

(2) Further, a Section 108 loan

guarantee amount that is required to be

used in conjunction with a prior EDI or

Brownfields Economic Development

Initiative (BEDI) 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.

(D) Prohibitions on Use of EDI and

Section 108 Funds. Certain restrictions

shall apply to the use of EDI and Section

108 funds:

(1) EDI grants must 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) Section 108 loan obligations may

not be subordinated, directly or

indirectly, to federally tax exempt

obligations. Pursuant to Office of

Management and Budget (OMB)

Circular A–129 (REV.), Appendix A,

Sections II c.2 and d. (Policies for

Federal Credit Programs and Non-Tax

Receivables), Section 108 guaranteed

loan funds may not directly or

indirectly support federally tax-exempt

obligations.

(E) Time-frames. EDI grant awards

will contain conditions requiring

grantees to adhere to their stated timeframes for implementing proposed

projects and drawing Section 108 and

EDI funds. If the related Section 108

application has not been submitted and

approved and the Note guaranteed

within fifteen (15) months of written

HUD notification of grant award, HUD

may deobligate the EDI funds. If EDI

grant funds and Section 108 loan

proceeds have not been disbursed to the

applicant within the timeframes

specified in the EDI Grant Agreement

and the 108 Contract, HUD reserves the

right to recapture the EDI funds, unless

an extension of time has been

authorized in writing by HUD, and

either award them to the applicant that

scored the next highest in that year’s

competition, provided that such

applicant’s application remains feasible

and appropriate under this program

section of the NOFA, or make them

available as part of the next EDI NOFA.

(F) Limitations on Grant Amounts. (1)

HUD expects to approve EDI grant

amounts for approvable applications

with 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, if an

applicant proposes a leverage ratio of

1:1, it will not receive any points under

Rating Factor 4, paragraph (1):

‘‘Leverage of Section 108 Funds.’’ For

example, an applicant requesting an EDI

grant of $1 million will be required to

leverage a minimum of at least $1

million in new Section 108 loan

guarantee commitments. Even with a

ratio of 1:1, applications with higher

ratios will receive more points under

Rating Factor 4, ‘‘Leveraging

Resources’’. Because the proposed ratio

of EDI funds to Section 108 funds

represents an applicant’s financial

commitment, HUD will condition the

EDI grant award on the grantee’s

achievement of that specific ratio. Its

failure to meet that condition by

obtaining timely HUD approval of a

commitment for, and issuance of, the

required Section 108 guaranteed

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12021

obligations ratio may result in the

cancellation and recapture of all or a

proportionate share of the EDI grant

award.

HUD will cap EDI awards at a

maximum of $1 million. An application

in excess of $1 million will be reduced

below the amount requested by the

applicant to the extent HUD determines

that such a reduction is appropriate.

After selection, but prior to grant

award, if HUD determines that an

application can be funded at a lesser

EDI grant amount than requested and

still be feasible and consistent with the

proposed plan and the purposes of the

Act, it reserves the right to reduce the

amount of the EDI award and/or

increase the required Section 108 loan

guarantee commitment, if appropriate.

(4) If additional EDI grant funds

become available to HUD (e.g., from

recaptures or other appropriations),

HUD reserves the right to award grants

under this SuperNOFA during FY 2001

whose aggregate total may exceed the

approximately $7 million announced in

this program section of the SuperNOFA,

up to the maximum amount authorized

by law.

(5) If an applicant is awarded an EDI

grant that has been reduced below the

original request (e.g., the application

contained some activities that were

ineligible, the grant request exceeded

the funding cap, there were insufficient

funds to reach all applications (as

defined in Section V(A) below) at the

full amount requested, or there were

technical deficiencies that could not be

resolved), it will be asked to modify its

project plan and application to conform

to the terms of HUD’s approval before

HUD will execute a grant agreement.

HUD also will proportionately reduce or

deobligate the EDI award if an applicant

does not submit an approvable Section

108 loan guarantee application and

issue Section 108-guaranteed

obligations on a timely basis in the

amount required by the EDI/108

leveraging ratio which will be approved

by HUD as a special condition of the

EDI grant award (see Section IV(F)(1)

above of this program section of the

SuperNOFA). Any modifications or

amendments to an application approved

pursuant to this SuperNOFA, whether

requested by the grantee or by HUD,

must be within the scope of the

approved original EDI application in all

respects material to rating the

application, unless HUD determines

that the revised application scores above

the level of the lowest funded

application and is otherwise approvable

under this SuperNOFA competition.

(6) In the case of a requested increase

in guarantee assistance for a project

with a previously approved Section 108

loan guarantee commitment (as further

discussed in Section IV(C)(1)(d), above),

the EDI assistance approved will be

based on the increased amount of

Section 108 loan guarantee assistance.

(7) Pursuant to another portion of this

SuperNOFA, HUD is simultaneously

announcing the availability of $25

million of Brownfields Economic

Development Initiative (BEDI)

funds.The BEDI program’s principal

purpose is to assist in the remediation

of contaminated commercial and

industrial sites, but economic

development proposals that contain

some limited amount of environmental

site remediation as part of the overall

cost may be submitted under the EDI

portion of this SuperNOFA as well.

While HUD will permit applicants to

pursue BEDI and EDI funds for the same

project, HUD requires that the BEDI and

EDI applications (and their components)

be independent of one another. Thus,

each application should have an

identifiable amount of Section 108

funding associated with its respective

request for EDI and BEDI funds for

purposes of determining the leverage of

Section 108 funding to the

corresponding amount of EDI or BEDI

funds requested. Also, the proposed

amount of Section 108 borrowing

associated with the BEDI or EDI grant

shall not be used to determine leverage

of other financial resources under

Rating Factor 4, paragraph (2). Further,

if an applicant seeks both BEDI and EDI

funds for the same project, it must

include in its response to Rating Factor

3 a discussion of how the project can be

financed and implemented if it fails to

obtain either BEDI or EDI funds under

this SuperNOFA.

(G) Timing of Grant Awards. (1) If an

applicant submits a full Section 108

application with its EDI grant

application, HUD will evaluate the

Section 108 application concurrently

with the request for EDI grant funds.

Note that the 108 application must be

submitted to the appropriate HUD field

office concurrently with submission to

Headquarters. In addition, EDI grant

assistance cannot be used to leverage a

Section 108 loan guarantee approved

prior to the date of HUD’s

announcement of an EDI grant pursuant

to this SuperNOFA. However, the EDI

grant may be awarded before HUD

approval of the Section 108

commitment if HUD determines that

such award will further the purposes of

the Act.

(2) HUD notice to a grant recipient of

the amount and conditions of EDI funds

awarded, based upon review of the EDI

application, constitutes an obligation of

grant funds, subject to compliance with

the conditions of award and execution

of a grant agreement. EDI funds must

not be disbursed to the grantee before

the issuance of the related Section 108-

guaranteed obligations.

(H) 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 EDI grant

recipients. Please see Section II(E) of the

General Section of the SuperNOFA.

(I) Nondiscrimination. Section 109 of

the Housing and Community

Development Act of 1974, as amended

(42 U.S.C. 5309), is applicable to EDI

grant recipients. Applicants must

therefore adhere to HUD regulations at

24 CFR parts 6 and 570, including, but

not limited to, reporting and recordkeeping requirements under 24 CFR

570.506 and 570.507.

V. 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 104. To be eligible for

funding, an EDI application must obtain

a total score of at least 20 points in

Rating Factors 1 (Capacity) and 3

(Soundness of Approach) combined.

(2) All applications meeting program

and threshold requirements will be

scored under the selection criteria

below. Applications will be selected for

funding as follows:

All EDI grant applications will be

separately ranked in order of points

assigned with the applications receiving

more points ranking above those

receiving fewer points.

In the event two or more applications

are given the same score, but there are

insufficient funds for all, the

application(s) with the highest score(s)

on Rating Factor 2 (Distress/Extent of

the Problem) shall be selected. If there

is still a tie, the following Factors will

be considered sequentially as follows,

with the application having the high

score on that Factor taking precedence

until the tie is broken: Rating Factor 3

(Soundness of Approach), Rating Factor

1 (Capacity and Experience), Rating

Factor 4 (Leveraging Resources), and

Rating Factor 5 (Comprehensiveness

and Coordination).

Fundable economic development

applications must meet the threshold

requirements stipulated in the General

Section of this SuperNOFA and be

complete as required by the Submission

requirements of this program section of

the SuperNOFA. Economic

development projects will be funded in

rank order until the total aggregate

12022 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

amount of the applications funded is

equal to the maximum amount available

in the competition (subject to the

Department’s discretion as described in

Section IV(F) below).

Bonus Points

An additional two points may be

awarded for projects that are located

either in federally-designated

Empowerment Zones and Enterprise

Communities; two points may also be

awarded for qualifying projects in

Dallas, Texas as mandated by a decision

by the U.S. District Court for the

Northern District of Texas, for a

maximum of four points possible. For

specific details, please see Section

III(C)(1) in the General Section of the

SuperNOFA, and Rating Factor 3,

paragraph (6) below.

(B) Narrative Statements.

Applications must:

(1) Provide a narrative statement

describing the activities that will be

carried out with the EDI grant funds.

The EDI narrative statement must not

exceed three (3) 8.5′′ by 11′′ pages,

doubled-spaced.

(2) Describe 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.

Applications must include citations to

the specific regulatory subsections

supporting eligibility of activities and

compliance with national objectives.

(See Section III(C) of this program

section of this SuperNOFA).

(3) The applicant must also provide

narrative statements in response to each

of the rating factors below.

(4) Print all narrative statements in 12

point type/font, and use sequentially

numbered pages.

(C) Factors for Award Used to

Evaluate and Rate Applications. HUD

will evaluate all applications for

funding assistance based on the

following factors, the responses to

which demonstrate the quality of the

proposed project or activities, and the

applicant’s capacity and commitment to

use the EDI funds in accordance with

the purposes of the Act. Responses to

Rating Factors 1–5 below shall not

exceed fifteen (15) pages combined.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (15 Points)

This factor addresses the extent to

which the applicant has the

organizational resources necessary to

successfully implement its proposed

activities in a timely manner. The rating

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

organization and staff’’ will include any

subcontractors, consultants, and

subrecipients that are firmly committed

(see definition in Section III(A)(1)

above) to participate in the activities

described in the application. In rating

this factor, HUD will consider the

following:

(1) With regard to the EDI/Section 108

project, the applicant should

demonstrate that it has the organization

and the staff and financial resources in

place to implement the specific steps

required to successfully carry out its

proposed EDI/Section 108 project. This

includes factors such as:

(a) Performance in the administration

of its CDBG, HOME or other programs;

(b) Performance, if any, in carrying

out economic development projects

similar to that proposed, including the

ability to conduct prudent underwriting,

if applicable;

(c) Ability to carry out projects and

programs in a timely manner; an

applicant must address its performance

in spending previously awarded funds,

if any, in a timely manner, including,

for CDBG entitlement recipients, the

extent to which it has met the HUD

standard of having no more than 1.5

times its entitlement amount

undisbursed (see 24 CFR

570.902(a)(1)(i); and,

(d) If applicable, capacity to manage

projects under this program section of

the SuperNOFA along with any federal

funds awarded as a result of a federal

urban Empowerment Zone/Enterprise

Community designation (including

Enhanced Enterprise Community (EEC)

designation).

(2) An applicant that has previously

received an EDI or BEDI grant award

must describe the status of the

implementation of those project(s)

assisted with EDI or BEDI funds, any

delays that have been encountered and

the actions it is taking to overcome any

such delays to carry out the project in

a timely manner. For such previously

funded EDI or BEDI grant projects, HUD

will award more rating points for

applications providing evidence of

achievement of specific measurable

outcomes in carrying out activities

funded with previous EDI or BEDI grant

funds and the associated Section 108

guaranteed loan funds.

(3) Experience and performance of

subrecipients, nonprofit organizations

and other entities that have a role in

implementing the proposed program

should be included in this review.

Experience will be judged in terms of

recent and successful performance of

activities relevant to those proposed in

the EDI application. The more recent

and extensive the experience, the

greater the number of points that will be

awarded for this Factor.

(4) In addition to the application,

HUD also may rely on information from

performance reports, financial status

information, monitoring reports, audit

reports and other available information

in making its determination under this

factor.

Rating Factor 2: Distress/Extent of the

Problem (40 Points)

This Factor addresses the extent to

which there is need for funding the

proposed activities based on levels of

distress, and an indication of the

urgency of meeting the need/distress in

the applicant’s target area. In

responding to this Factor, applications

will be evaluated on the extent to which

the level of distress is documented and

compared, vis-a-vis, the target area, the

jurisdiction, and national data.

(1) In applying this Factor, HUD will

consider current levels of distress for

the following areas affected by the

project: first, in the area (i.e., Census

Tract(s) or Block Groups) immediately

surrounding the project site or the target

area to be served by the proposed

project; second, in the jurisdiction in

which the project is to be located; third,

relative to the similar measures of

distress in the nation. Applicants may

also provide data for the overall

jurisdiction alongside comparable

jurisdictions in the county and state, as

appropriate to the activity, in order to

demonstrate the various levels of

distress in context. This means that an

application that provides data that show

levels of distress in the project area and

the jurisdiction expressed as a percent

greater than the national average will be

rated higher under this Factor.

Notwithstanding the above, an

applicant proposing a project to be

located outside the target area could still

receive points under the Distress Factor

if a clear rationale is provided linking

the proposed project location and the

benefits to be derived by persons living

in more distressed area(s) of the

applicant’s jurisdiction.

(2) Applicants should provide data

that address all indicators of distress, if

applicable, as follows:

(a) Poverty rate (20 points)—data

should be provided in both absolute and

percentage form (i.e., whole numbers

and percents) for both the target area(s)

and the jurisdiction as a whole; an

application that compares the local

poverty rate in the following manner to

the national average at the time of

submission will receive points under

this Section as follows:

(i) Equal to but less than twice the

national average—5 points;

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12023

(ii) Twice but less than three times the

national average—10 points;

(iii) Three or more times the national

average—20 points.

(b) Unemployment (15 points)—; for

both the project area and jurisdiction; an

application that compares the local

unemployment rate in the following

manner to the national average at the

time of submission will receive points

under this Section as follows:

(i) Equal to but less than twice the

national average—2 points;

(ii) Twice but less than three times the

national average—4 points;

(iii) Three but less than four times the

national average—6 points;

(iv) Four but less than five times the

national average—8 points;

(v) Five or more times the national

average—10 points.

(c) Other Indicators of social and/or

economic decline that best capture the

applicant’s local situation (5 points)—

examples that could be provided under

this Section are information

demonstrating the jurisdiction’s

stagnant or falling tax base, including

recent commercial or industrial

closings, housing conditions, such as

the number and percentage of

substandard and/or overcrowded units,

rent burden (defined as average housing

cost divided by average income) for both

the target area and jurisdiction, local

crime statistics, etc.

(3) To the extent that the applicant’s

Consolidated Plan, its Analysis of

Impediments to Fair Housing choice

(AI), and/or its Anti-Poverty Strategy

identify the level of distress in the

jurisdiction and the neighborhood in

which the project is to be carried out,

references to such documents should be

included in preparing the response to

this Factor.

(4) In rating applications under this

Factor, HUD reserves the right to

consider sources of available objective

data other than, or in addition to, those

provided by applicants, and to compare

such data to those provided by

applicants.

(5) HUD requires use of sound and

reliable data (e.g., U.S. Census data,

State statistical reports, university

studies/reports that are verifiable) to

support distress levels cited in each

application. A source for all information

along with the publication or

origination date must also be provided.

Updated Census data are available as

follows for the listed indicators:

(a) Unemployment rate—estimated

monthly for counties, with a two-month

lag;

(b) Population—estimated for

incorporated places and counties,

through 1999;

(c) Poverty rate—estimated every two

years, with a three-year lag, with 1997

being the most recent available.

Rating Factor 3: Soundness of

Approach (25 Points)

This factor addresses the quality and

cost-effectiveness of the proposed plan.

The relationship between the proposed

activities, community needs and

purposes of the program funding must

be clearly described, as follows, in order

to receive points for this factor. In rating

this factor, HUD will consider the

following:

(1) (5 Points) The quality of the plan/

proposal for the use of EDI funds and

Section 108 loan funds, including the

extent to which the proposed plan for

use of EDI grant/Section 108-guaranteed

loan funds will address the needs

described in Rating Factor 2 above

regarding the distress and extent of the

problem in the immediate target area

and/or jurisdiction. As part of the

response to this factor, an applicant

should identify the specific eligible

activities it will carry out and should

fully describe how the project will

achieve one of the national objectives

under the Community Development

Block Grant program. Applications

should also demonstrate how the

proposed project would mitigate or

otherwise address the distress identified

in Rating Factor 2 above.

(2) (5 Points) The extent to which the

plan is logical, feasible and likely to

achieve its stated purpose. HUD’s desire

is to fund projects and activities which

will quickly produce demonstrable

results and advance the purposes of the

EDI program. The applicant should:

(a) Demonstrate that it has a clear

understanding of the steps required to

implement its project, including the

actions that all parties responsible for

implementing the project must

complete. For example, applications

providing evidence that authority

necessary to proceed with the project

has been sought and/or received, in the

form of any necessary zoning

classification, waivers, general permits,

special use permits, assessment district

designation, public easements and

rights-of-way, etc., will receive more

points for this Factor.

(b) Provide a specific time schedule

for carrying out the project and identify

measurable objectives to be

accomplished. The timeline form

contained in the Appendix A to this

program section of the SuperNOFA

should be included in the application.

(3) The extent to which the proposed

project addresses the Analysis of

Impediments and the needs identified

in Rating Factor 2; 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;

the extent to which the applicant will

offer residents an opportunity to

relocate to environmentally healthy

housing or neighborhoods; or the extent

to which residents will benefit from the

funded project to enable them to

continue to live in a redeveloped or

revitalized neighborhood and thus share

in the anticipated economic benefits the

project is expected to generate.

(4) Financial feasibility. (10 Points)

HUD will consider the extent to which

the applicant demonstrates that its

project is financially feasible. In

responding to this subfactor, the

applicant must clearly address the

question of why the EDI funds are

critical to the success of this project.

The response should include these

items, as applicable:

(a) Project costs and financial

requirements. A funding sources and

uses statement must be provided, as

well as justifications for project costs;

(b) The amount of any debt service or

operating reserve accounts that will 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 loans to third

parties (other than subrecipients), if any,

either as an absolute rate or as a plus/

minus spread to the Section 108 rate;

(f) The applicant’s underwriting

criteria that will be used in determining

project feasibility.

(5) The extent to which the project

incorporates one or more elements that

facilitate a successful transition of

welfare recipients from welfare to work,

including the number of living wage

jobs (i.e., those that are part of career

path or apprenticeship programs) to be

created by the project and the impact of

the project on job creation that will

benefit individuals on welfare or low to

very low income. 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 full-time 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.

12024 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(6) 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 response to this factor, ‘‘Soundness

of Approach,’’ will include the extent to

which Dallas’ plan for the use of EDI

funds and Section 108 loan funds will

be used to eradicate the vestiges of

racial segregation in the Dallas Housing

Authority’s programs consistent with

the Court’s order. 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.

Rating Factor 4: Leveraging Resources

(15 Points)

In evaluating this factor, HUD will

consider the extent to which the

response demonstrates the likelihood

that the project will leverage both

Section 108 loan and other public or

private funds as part of the total project

resources. This factor has two

subfactors, each with its own maximum

point total:

(1) Leverage of Section 108 funds (10

points).

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 greater

than a 1:1 ratio will result in that

application’s receiving a higher number

of points. If the application has a ratio

of 1:1, it will not receive any points

under this subfactor. If an application

proposes that the EDI funds will

leverage additional new Section 108

commitments, it will receive more

points under this subfactor.

(2) Leverage of other financial

resources (5 points). HUD will evaluate

the extent to which other funds (public

or private) are leveraged with EDI grant

funds and Section 108 guaranteed loan

funds, and the extent to which such

other funds are firmly committed to the

project. This could include the use of

CDBG funds, other Federal or state

grants or loans, local general funds,

project equity or commercial financing

provided by private sources or funds

from non-profits or other sources. Funds

will be considered committed to the

project if they meet the requirements of

‘‘Firm Commitment’’ as defined in

Section III(A)(1) above, and shall be

subject to completion of any

environmental review required under 24

CFR part 58 for the project.

Rating Factor 5: Comprehensiveness

and Coordination (5 Points)

This factor addresses the extent to

which the applicant has coordinated its

activities with other known

organizations; that it participates or

promotes participation in its or the

State’s Consolidated Planning process;

and that it 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 before submission, in

order to best complement, support and

coordinate all known activities; and

developed specific steps to share

information on solutions and outcomes

with others. Any written agreements or

memoranda of understanding in place,

or that will be in place after award,

should be described in the application.

(2) Developed linkages, or specific

steps to develop linkages with other

activities, programs or projects (through

meetings, information networks,

planning processes or other mechanisms

to coordinate activities), so that

solutions are holistic and

comprehensive. Describe any linkages

with other HUD-funded projects/

activities outside the scope of those

covered by the Consolidated Plan, as

well as established linkages and

outreach with residents of the project

area.

VI. Application Submission

Requirements

(A) EDI Funding. An application for

funding under the EDI funding

allocation under this program section of

the SuperNOFA must have the

following items to be complete. The

standard forms, certifications and

assurances that are required for the EDI

application (and listed in paragraph (I)

below) can be found in Appendix B to

the General Section. The remaining

application items that are forms (i.e.,

excluding such items as narratives or

letters, etc.), referred to as the ‘‘nonstandard forms’’ can be found in

Appendix B to this program section of

the SuperNOFA.

(B) Transmittal Letter signed by the

authorized representative of the eligible

applicant indicating that it is submitting

the application for funding under the

Economic Development Initiative

Program and is requesting funding

consideration for an EDI project.

(C) Checklist and Submission Table of

Contents indicating the page numbers

where the submission items can be

found in the application (form HUD–

40076–EDI/BEDI).

(D) EDI Narrative Statement

describing EDI funded eligible activities

within the proposed project.

(E) EDI/BEDI/Section 108 Funding

Eligibility Statement. A completed EDI/

BEDI Section 108 Funding Eligibility

Statement (form HUD–40076–EDI/

BEDI).

(F) Request for Loan Guarantee

Assistance. A request for loan guarantee

assistance under Section 108, as further

described in Section IV(C) of this

program section of the SuperNOFA. Full

application guidelines for the Section

108 program are found at 24 CFR

570.704.

(G) Narrative Responses to Factors for

Award:

(1) Rating Factor 1: Capacity and

Relevant Organizational Experience.

Provide a narrative indicating the

capacity of your organization and staff

to perform the work for which it is

requesting funding.

(2) Rating Factor 2: Need Statement

Identifying the level of Distress/Extent

of the Problem. Provide a narrative

statement including any documentation

supporting the statement of need.

Optional form HUD–40076–EDI/BEDI as

a format to respond to this factor for

award may also be used.

(3) Rating Factor 3: Soundness of

Approach. Include the activities, budget

and time frame for conducting activities

in the response (see form HUD 40076–

EDI/BEDI).

(4) Rating Factor 4: Leveraging

Resources. The response should include

a completed copy of form HUD–40076–

EDI/BEDI, ‘‘Rating Factor 4: Leveraging

Resources Sources and Uses Statement.’’

(5) Rating Factor 5:

Comprehensiveness and Coordination.

Provide a narrative response to this

factor.

(H) Request for Funds. A single

application must contain a request for

funds for a single EDI/108 project. You

may submit more than one application

for each additional unrelated EDI/108

project. Each application will be rated

and ranked individually. In no event

will HUD rate and rank more than one

EDI project per application.

(I) Additional Application Forms and

Certifications. In addition to any forms

that have been submitted in response to

the Factors for Award (which may be

found at Appendix A, the following

forms and certifications must also be

submitted:

(1) Application for Federal Assistance

(Standard Form (SF) 424);

(2) Federal Assistance Funding Matrix

(HUD 424M);

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(3) Standard Form for Assurances—

Non-Construction Programs (SF 424B)

and/or Standard Form for Assurances—

Construction Programs (SF 424D)—not

applicable for this program section.

(4) Drug-Free Workplace Certification,

HUD–50070.

(5) Certification of Payments to

Influence Federal Transactions, HUD

50071, (and if applicant and/or

participating parties are engaged in

lobbying, the Disclosure Form

Regarding Lobbying, SF–LLL);

(6) Applicant/Recipient Disclosure/

Update Report, HUD–2880;

(7) Certification Regarding Debarment

and Suspension, HUD–2992;

(8) Certification of Consistency With

EZ/EC Strategic Plan, HUD–2990;

These forms are found in the

Appendix B to the General Section of

this SuperNOFA. Budget Information on

Standard Forms 424B or 424C are not

required under this EDI section of the

SuperNOFA

In addition to the fair housing and

other civil rights assurance described

under Section II(B) of the SuperNOFA

General Section, applicants for EDI

funds must provide assurance that they

will comply with Section 109 of the

Housing and Community Development

Act of 1974, as amended, and must have

resolved to HUD’s satisfaction any letter

of noncompliance findings under

Section 109 before the deadline for EDI

application submission.

If an applicant wishes to receive an

acknowledgment of HUD’s receipt of its

application, it should submit a

completed Acknowledgment of Receipt

of Application form.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

(A) 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 grantee and Section 108 public

entity’s commitment of HUD and nonHUD 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.

(B) 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.

IX. Authority

Section 108(q), Title I, Housing and

Community Development Act of 1974,

as amended, (42 U.S.C. 5301–5320); 24

CFR part 570.

Appendix A

The non-standard forms for the EDI

application follow.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR THE

BROWNFIELDS ECONOMIC

DEVELOPMENT INITIATIVE (BEDI)

Program Overview

Purpose of the Program. BEDI funds are

used to enhance the security of a loan

guaranteed by HUD under Section 108 of the

Act (as defined in Section III(A)(1) below) for

the same project, or to improve the viability

of the project financed with the Section 108-

guaranteed loan. HUD intends to make

available approximately $25 million in BEDI

funds in FY 2001 to stimulate economic

development by local governments and

private sector parties. HUD desires to see

BEDI and Section 108 funds used to finance

projects and activities that will provide nearterm results and demonstrable economic

benefits, such as job creation and increases

in the local tax base. A BEDI grant must be

used in conjunction with a new Section 108

guaranteed loan commitment. In FY 2001,

HUD seeks to increase economic

development opportunity for those areas of

the country having the greatest distress.

Available Funds. Approximately $25

million. The maximum BEDI grant awards

will be in the amount of $2 million.

Eligible Applicants. Any public entity

eligible to apply for and receive Section 108

loan guarantee assistance in accordance with

24 CFR 570.702 may apply for BEDI grant

assistance under Section 108(q) and this

SuperNOFA. (See Section III(B) below for

additional information regarding eligible

applicants.)

Application Deadline. May 22, 2001.

Additional Information

If you are interested in applying for

funding under this program, please review

carefully the General Section of this

SuperNOFA and the following additional

information.

I. Application Due Date, Application Kits,

Further Information, and Technical

Assistance

Application Due Date. Please submit your

completed applications (one original and

three copies) on or before 12:00 midnight,

Eastern time, on May 22, 2001, 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. Submit your completed

application (an original and two copies) to:

Processing and Control Unit, Room 7251,

Office of Community Planning and

Development, Department of Housing and

Urban Development, 451 Seventh Street, SW,

Washington, DC 20410, Attention: BEDI

Grant, by mail or hand delivery.

To the Appropriate CPD Field Office. At

the same time the application and copies are

submitted to HUD Headquarters, an

additional copy should be submitted to the

Community Planning and Development

Division of the appropriate HUD Field Office

for the applicant’s jurisdiction.

When submitting your application, please

refer to BEDI, and include your name,

mailing address (including zip code) and

telephone number (include area code), along

with the name and phone number of your

contact person.

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. When requesting

an application kit, please refer to BEDI.

Please be sure to provide the applicant’s

name, address (including zip code), and

telephone number (including area code),

along with the name and phone number of

your contact person. 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/grants.

For Further Information and Technical

Assistance. Contact Lisa Peoples, Office of

Economic Development, Department of

Housing and Urban Development, 451

Seventh Street, SW, Room 7140, Washington,

DC 20410, telephone (202) 708–0614 ext.

4456 (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 the provision of technical

assistance for EDI grants. The Section 108

Loan Guarantee program is not a competitive

program and therefore is not subject to those

provisions of the HUD Reform Act pertaining

to competitions. HUD staff will be available

to provide advice and assistance to develop

your Section 108 loan application.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about the

program and preparation of BEDI application.

For more information about the date and time

of the broadcast, you should consult the HUD

web site at http://www.hud.gov.

II. Amount Allocated

HUD has available a maximum of $25

million for the BEDI program, as

appropriated in the FY 2001 HUD

Appropriations Act for the purpose of

assisting public entities in the redevelopment

of brownfields. The maximum funding

amount of a BEDI award is $2 million.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. BEDI is designed

to help cities redevelop abandoned, idled, or

underutilized industrial and commercial

facilities where expansion or redevelopment

is complicated by real or perceived

environmental contamination—brownfields.

BEDI provides funding to local governments

to be used in conjunction with Section 108

loan guarantees to finance redevelopment of

brownfields sites. A BEDI grant must be used

in conjunction with a new Section 108

guaranteed loan commitment. Both Section

108 loan guarantee proceeds and BEDI grant

funds are initially made available by HUD to

public entities approved for assistance. Such

public entities may re-loan the Section 108

loan proceeds and provide BEDI funds to a

business or other entity to carry out an

approved brownfield economic development

project, or the public entity may carry out the

eligible project itself, as provided in the

approved application. In either case, BEDI

grant funds and the 108 proceeds must be

used together to support the same eligible

project.

(1) 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.

Act means Title I, Housing and Community

Development Act of 1974, as amended (42

U.S.C. 5301 et seq.).

Application means a single set of

documents submitted by an eligible applicant

for BEDI grant funds, in accordance with the

provisions of this program section of the

SuperNOFA to finance a brownfield

economic development project. A BEDI

application must be accompanied by a

Section 108 loan guarantee request, which

may consist of either a brief summary of the

proposed use of 108 funds, or a full

application, which may either be submitted

at the same time as the BEDI application or

be provided within 60 days of BEDI grant

award, as more fully explained in Section

IV(C) of this program section. Note that the

Section 108 application must be submitted to

the appropriate HUD field office concurrently

with its submission to Headquarters.

Brownfields means abandoned, idled, or

under-used real property (including

industrial and commercial facilities) where

expansion or redevelopment is complicated

by real or perceived contamination.

Brownfields Economic Development

Initiative (BEDI) means the competitive

award of up to $2 million, as appropriated in

the FY 2001 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.

Brownfields Economic Development (BEDI)

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.

CDBG funds means those funds

collectively so 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).

Empowerment Zone or Enterprise

Community means an urban area so

designated by the Secretary of HUD pursuant

to 24 CFR part 597 or part 598, or a rural area

so designated by the Secretary of Agriculture

pursuant to 7 CFR part 25, subpart B.

Firm Commitment means either a written

agreement or letter of understanding by

which an applicant and/or its partner:

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(1) Agrees to perform an activity specified

in the application, and demonstrates its

relationship to the proposed EDI project;

(2) Specifies the amount of the

commitment, and demonstrates that it has

the financial and organizational capacity to

deliver the resources necessary to

successfully complete the activity; if the

committed activity is to be self-financed, the

applicant’s partner must evidence its

financial capacity through a corporate or

personal financial statement or other

appropriate means; and

(3) Irrevocably commits the resources to

the activity either through cash or in-kind

services or contributions; if any portion is to

be financed through a grant or loan from

another public or private organization, that

institution’s grant or loan commitment must

be firmly committed as well.

Any such agreement or letter of

understanding shall be understood as being

contingent upon receipt of the EDI grant.

In order for an applicant’s commitment of

CDBG funds to be counted by HUD, a

resolution from the local governing body

(e.g., city/borough council) authorizing the

amount and permitted use(s) of the funds

must be provided. Each agreement or letter

of commitment must include the

organization’s name and proposed total level

of commitment and responsibilities as they

relate to the proposed EDI project. The

commitment must be signed by an official of

the organization legally authorized to make

commitments on behalf of the organization

and have an effective date not earlier than the

publication date of this NOFA.

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 the 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 or part 598.

(2) Background. (a) HUD has multiple

programs which are intended to stimulate

and promote economic and community

development and can be effectively

employed to address and remedy brownfields

conditions. Primary among HUD’s resources

are the Community Development Block Grant

(CDBG) program and the Section 108 loan

guarantee program.

The CDBG program provides grant funds

($4.4 billion in FY 2001) by formula 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, public facilities, and

other eligible large scale physical

development projects. HUD is authorized

pursuant to Section 108 to guarantee notes

issued by CDBG entitlement communities

and non-entitlement units of general local

government eligible to receive funds under

the State CDBG program. The Section 108

program is subject to the regulations of 24

CFR part 570 applicable to the CDBG

program as described in 24 CFR part 570,

subpart M. BEDI grants must support Section

108 loan guarantees as generally described in

this program section of this SuperNOFA.

(c) For FY 2001, the Section 108 program

is authorized at $1.26 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, as applicable)

pledge their continuing CDBG allocations as

security for loans guaranteed by HUD. The

Section 108 program, however, does not

require CDBG funds to be escrowed for loan

repayment (unless such an arrangement is

specifically negotiated as loan security and

included in the applicable ‘‘Contract for Loan

Guarantee Assistance.’’) This means that a

community can ordinarily continue to spend

its existing allocation for other CDBG

purposes, unless needed for loan repayment.

(3) EDI Program. The EDI program was

enacted in 1994 and is intended to

complement and enhance the Section 108

Loan Guarantee program. A purpose of EDI

(and BEDI) grant funds is to reduce grantees’

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.

(4) BEDI Program. For FY 2001, Congress

has made a specific appropriation of $25

million for the BEDI program to assist in

financing ‘‘brownfields’’ redevelopment.

HUD intends the $25 million in Brownfields

(BEDI) funds available pursuant to this

program section of this SuperNOFA to be

used with a particular emphasis upon the

redevelopment of brownfields sites

consistent with the statutory purpose of the

FY 2001 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

brownfields sites where contamination is

known or suspected and a 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), where there is no immediately

planned redevelopment.

(5) 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 of the assets

securing the Section 108 loan.

(6) Integration of Other Government

Brownfields Programs. HUD expects and

encourages local governments which are

designated through (a) the Federal

Government’s Brownfields Showcase

Community program, (b) other Federal

brownfields programs (e.g., EPA’s

Assessment Pilot or Revolving Loan Fund

programs), (c) a State-supported brownfields

program, or (d) a State or local related

economic development program, to integrate

efforts arising from those programs in

developing projects for assistance under

HUD’s BEDI and Section 108 programs.

Applicants should elaborate upon these ties

in their response to the rating factors, where

appropriate (e.g. ‘‘Capacity of the Applicant,’’

‘‘Soundness of Approach,’’ ‘‘Leveraging

Resources,’’ or ‘‘Comprehensiveness and

Coordination,’’—Rating Factors 1, 3, 4, and 5

respectively.)

(7) 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

BEDI funding that directly enhance the value

of the assets securing the Section 108 loan

will help ensure that the project-based

asset(s) will satisfy the additional collateral

requirements.

(8) 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 brownfields site for

purposes of reconveying the site to a private

developer at a discount from its purchase

price. This approach would provide the

developer with an asset of enhanced value

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

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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 project-generated

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

over-collateralization of the Section 108 loan.

(ii) An example is the creation of a loan

pool funded with both 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 thus will 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, 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 a BEDI

project

(8) Additional Project Structure. HUD will

consider funding a BEDI proposal in which

the related Section 108-guaranteed obligation

would be used solely as security only under

the following conditions:

(a) If BEDI funds are not the first source of

funds injected into the project, and

(b) If project funds are disbursed according

to a ratio that represents the amount of BEDI

funds to the amount of private or public debt

that is firmly committed to the project, as

required under Rating Factor 4 ‘‘Leveraging

Resources’’ below, and

(c) If the grantee maintains in its records

a listing of the amount of private funds being

distributed by the private party (i.e., the

financing institution) to the project.

Grantees are reminded that the BEDI

grantee/Section 108 borrower’s loanguaranteed obligation cannot remain

undisbursed for more than five years

following the year in which the Section 108

commitment is made. Consequently, the

borrower’s 108-guaranteed obligation cannot

have a term that exceeds five years plus the

remaining portion of the fiscal year in which

the 108 commitment is made.

(B) Eligible Applicants. (1) 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 nonentitlement units of general local government

eligible to receive loan guarantees under 24

CFR part 570, subpart M. Urban Counties, as

defined at 24 CFR 570.3 and 570.307, are

eligible applicants for BEDI funds; units of

general local government which participate

in an Urban County program are not

independently eligible applicants. For nonentitlement applicants other than those

subject to 24 CFR 570, subpart F, applicants

will be required to provide evidence in the

application from an authorized official of the

State agency responsible for administering

the State CDBG program) stating its intention

to support the related Section 108 loan with

a pledge of its CDBG funds pursuant to the

requirements of 24 CFR 570.705(b)(2). Such

evidence shall take the form of the HUD

Certification titled ‘‘SECTION 108 LOAN

GUARANTEES: State Certifications Related

to Nonentitlement Public Entities’’ which

may be obtained either by downloading from

the Internet or in the BEDI Application Kit

to be published shortly after publication of

this SuperNOFA. Note that effective January

25, 1995, non-entitlement public entities in

the State of 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.

(2) Applicants for BEDI projects must

comply with the threshold requirements of

Section II of the General Section of the

SuperNOFA.

(C) Eligible Activities and National

Objectives. (1) BEDI grant funds and Section

108 loan guarantee funds may be used for

activities listed at 24 CFR 570.703, provided

such activities are carried out as part of a

BEDI project as described in this BEDI

section of this SuperNOFA, including

Section III(A) of this program section of the

SuperNOFA. You are required to submit

applications that seek funding for BEDI

projects that will contribute to the

redevelopment and revitalization of

brownfields. Applications that fail to meet

the requirements for a BEDI project as set

forth in this SuperNOFA will not be rated by

HUD.

(2) 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. Applicants

must clearly identify in their narrative

statement (as described in Section V(B) of

this program section below) the CDBG

national objective to be achieved by the

proposed project and provide the appropriate

CDBG national objective regulatory citation

found at 24 CFR 570.208. Applicants must

also address, when applicable, how the

proposed activities will comply with the

public benefit standards of the CDBG

program as reflected in the regulation at 24

CFR 570.209 for the Entitlement and Small

Cities programs or 24 CFR 570.482 for the

State CDBG program.

(3) In the aggregate, a grantee’s use of

CDBG funds, including any Section 108 loan

guarantee proceeds and Section 108(q) (BEDI)

funds provided pursuant to this program

section of this SuperNOFA, must comply

with the CDBG primary objective

requirements as described in section 101(c)

of the Act and 24 CFR 570.200(a)(3) or

570.484 in the case of State grantees.

IV. Program Requirements

(A) CDBG Program Regulations. In addition

to 24 CFR 570.701 (Definitions), § 570.702

(Eligible applicants), and § 570.703 (Eligible

activities), as explained in Section III(C) of

this program section of the SuperNOFA, the

CDBG regulatory requirements cited in 24

CFR 570.707, including subparts J (Grant

Administration), K (Other Program

Requirements), and O (Performance Reviews)

govern the use of BEDI funds, as applicable.

(B) Compliance with Applicable Laws.

Applicants are advised that an award of BEDI

funding does not in any way relieve the

applicant or third party users of BEDI funds

from compliance with all applicable Federal,

State and local laws, 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.

(C) Related Section 108 Loan Guarantee

Request. (1) Each BEDI application must be

accompanied by a request for new Section

108 loan guarantee assistance.

Notwithstanding the form of your request for

new Section 108 loan guarantee assistance

under paragraphs (a), (b), (c), or (d) below of

this Section IV(C), you must include citations

to the specific regulatory subsection

supporting activity eligibility and national

objectives compliance for the project

described in your application. (See Section

III(C) of this program section of this

SuperNOFA.) Both the BEDI and Section 108

funds must be used in conjunction with the

same BEDI project. The request may take any

of several forms as defined below.

(a) A full application for new Section 108

loan guarantee(s), including the documents

listed at 24 CFR 570.704(b).

12038 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(b) A brief description (not to exceed three

pages) of the project to be applied for in a

new Section 108 loan guarantee

application(s). Such 108 application(s) will

be submitted within 60 days of written notice

of BEDI selection, with HUD reserving the

right to extend such period for good cause on

a case-by-case basis. BEDI awards will be

conditioned on approval of actual Section

108 loan commitments. The application

description must be sufficient to support the

basic eligibility of the proposed project and

activities for Section 108 assistance. (See

Section III(C) of this program section of the

SuperNOFA.)

(c) A copy of a pending, unapproved

Section 108 loan guarantee application, and

any proposed amendments to the Section 108

application which are related to the BEDI

application. The applicant’s submission of

such a BEDI/Section 108 application shall be

deemed by HUD to constitute a request to

suspend separate processing of the Section

108 application. The Section 108 application

will not be approved until on or after the date

of the related BEDI award.

(d) A request for Section 108 loan

guarantee assistance (analogous to Section

IV(C)(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 HUD’s

announcement of a BEDI grant for the same

project is not eligible to be used in

conjunction with a BEDI grant under this

program section.

(2) Further, a Section 108 loan guarantee

amount that is required to be used in

conjunction with a prior EDI or BEDI 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.

(D) Prohibitions on Use of BEDI and

Section 108 Funds. Certain restrictions shall

apply to the use of BEDI and Section 108

funds:

(1) BEDI grants must 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) Section 108 loan obligations may not be

subordinated, directly or indirectly, to

federally tax exempt obligations. Pursuant to

Office of Management and Budget (OMB)

Circular A–129 (Rev.) Appendix A, sections

II. 2.c. and d., (Policies for Federal Credit

Programs and Non-Tax Receivables), Section

108 guaranteed loan funds may not directly

or indirectly support federally tax-exempt

obligations.

(3) 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.

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.

(E) Time-frames. BEDI grant awards will

contain conditions requiring grantees to

adhere to their stated time-frames for

implementing proposed projects and drawing

Section 108 and BEDI funds. If the related

Section 108 application has not been

submitted and approved and the Note

guaranteed within fifteen (15) months of

written HUD notification of grant award,

HUD may deobligate the BEDI funds. If BEDI

grant funds and Section 108 loan proceeds

have not been disbursed to the applicant

within the timeframes specified in the BEDI

Grant Agreement and the 108 Contract, HUD

reserves the right to recapture the BEDI

funds, unless an extension of time has been

authorized in writing by HUD, and either

award them to the applicant that scored the

next highest in that year’s competition,

provided that such applicant’s application

remains feasible and appropriate under this

program section of the NOFA, or make them

available as part of the next BEDI NOFA.

(F) Limitations on Grant Amounts. (1) HUD

expects to approve BEDI grant amounts for

approvable applications with a range of ratios

of BEDI grant funds awarded to new Section

108 loan guarantee commitments but the

minimum ratio will be $1 of Section 108 loan

guarantee commitments for every $1 of BEDI

grant funds. However, if you propose a

leverage ratio of 1:1, your application will

not receive any points under the Rating

Subfactor 4(1): ‘‘Leverage of Section 108

Funds.’’

For example, if you request a BEDI grant

of $1 million, you will be required to

leverage a minimum of at least $1 million in

new Section 108 loan guarantee

commitments. 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’’ and,

all other things being equal, will be more

competitive. You 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 that leverage

the greatest possible amount of Section 108

loan guarantee commitments. Because a

fundable application is competitive in part

because of the applicant’s proposed ratio of

BEDI funds to funds guaranteed by a Section

108 loan guarantee, HUD will condition a

BEDI grant award on the grantee’s

achievement of that specific ratio. Your

failure to meet that condition by obtaining

timely HUD approval of a commitment for,

and issuance of, the required Section 108

guaranteed obligations ratio may result in the

cancellation and recapture of all or a

proportionate share of the BEDI grant award.

(2) HUD will cap BEDI awards at a

maximum of $2 million. An application in

excess of $2 million will be reduced below

the amount requested by the applicant to the

extent HUD determines that such a reduction

is appropriate.

(3) If additional BEDI grant funds become

available to HUD (e.g., from recaptures or

other appropriations), HUD reserves the right

to award grants under this SuperNOFA

during FY 2001 whose aggregate total may

exceed the $25 million announced in this

program of the SuperNOFA, up to the

maximum amount authorized by law. In the

event you are awarded a BEDI grant that has

been reduced below the original request (e.g.,

your application contained some activities

that were ineligible, exceeded the $2 million

cap, or there were insufficient funds to fund

the last competitive application at the full

amount requested), you will be required to

modify your project plans and application to

conform to the terms of HUD approval before

HUD will execute a grant agreement.

(4) HUD also will proportionately reduce

or deobligate the BEDI award if you do not

submit an approvable Section 108 loan

guarantee application and issue Section 108-

guaranteed obligations on a timely basis

(including any extension authorized by HUD)

in the amount required by the BEDI/108

leveraging ratio, which will be approved by

HUD as a special condition of the BEDI grant

award (see Section IV(E)(1) above of this

program section of the SuperNOFA). Any

modifications or amendments to your

application approved pursuant to this

SuperNOFA, whether requested by you or by

HUD, must be within the scope of the

approved original BEDI application in all

respects material to rating the application,

unless HUD determines that your revised

application remains within the competitive

range and is otherwise approvable under this

SuperNOFA competition.

(5) In the case of a requested increase in

guarantee assistance for a project with a

previously approved Section 108 loan

guarantee commitment (as further discussed

in Section IV(C)(1)(d), above), the BEDI

assistance approved with be based on the

increased amount of Section 108 loan

guarantee assistance.

(6) Pursuant to another portion of this

SuperNOFA, HUD is simultaneously

announcing the availability of approximately

$7.02 million of Economic Development

Initiative (EDI) funds. While HUD will permit

applicants to pursue BEDI and EDI funds for

the same project, HUD requires that the BEDI

and EDI applications (and their components)

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12039

be independent of one another. Thus, each

application should have an identifiable

amount of Section 108 funding associated

with its respective request for EDI and BEDI

funds for purposes of determining the

leverage of Section 108 funding to the

corresponding amount of EDI or BEDI funds

requested. Further, the proposed amount of

Section 108 borrowing associated with the

BEDI or EDI grant shall not be used to

determine leverage of other financial

resources under Rating Factor 4, paragraph

(2). Further, if an applicant seeks both BEDI

and EDI funds for the same project, it must

include in its response to Rating Factor 3 a

discussion of how the project can be financed

and implemented if it fails to obtain either

BEDI or EDI funds under this SuperNOFA.

(G) Timing of Grant Awards. (1) To the

extent you submit a full Section 108

application with the BEDI grant application,

HUD will evaluate your Section 108

application concurrently with your request

for BEDI grant funds. Note that the 108

application must be submitted to the

appropriate HUD field office concurrently

with submission to Headquarters. In

addition, BEDI grant assistance cannot be

used to leverage a Section 108 loan guarantee

approved prior to the date of HUD’s

announcement of a BEDI grant pursuant to

this SuperNOFA. 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’s notice to you of the amount and

conditions of BEDI funds awarded, based

upon review of the BEDI application,

constitutes an obligation of grant funds,

subject to compliance with the conditions of

award and execution of a grant agreement.

BEDI funds must not be disbursed to the

grantee before the issuance of the related

Section 108 guaranteed obligations.

(H) 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 EDI grant recipients. Please

see Section II (E) of the General Section of

the SuperNOFA.

(I) Nondiscrimination. Section 109 of the

Housing and Community Development Act of

1974, as amended (42 U.S.C. 5309), is

applicable to BEDI grant recipients.

Applicants must therefore adhere to HUD

regulations at 24 CFR parts 6 and 570,

including, but not limited to, reporting and

record-keeping requirements under 24 CFR

570.506 and 570.507.

V. 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 104. To be eligible

for funding, an application must have a

minimum score of 20 points for Rating

Factors 1 (Capacity) and 3 (Soundness of

Approach) combined to be considered

fundable.

(2) Once scores are assigned, HUD will

rank all applications meeting program and

threshold requirements 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) Prior to award, 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, HUD reserves

the right to reduce the amount of the BEDI

award and/or increase the required Section

108 loan guarantee commitment, if necessary,

in accordance with such determination. An

application in excess of $2 million will be

reduced below the amount requested by the

applicant to the extent 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.

(5) In the event two or more applications

are given the same score, but there are

insufficient funds for all, the application(s)

with the highest score(s) on Rating Factor 2

(Distress/Extent of the Problem) shall be

selected. If there is still a tie, the following

Factors will be considered sequentially as

follows, with the application having the high

score on that Factor taking precedence until

the tie is broken: Rating Factor 3 (Soundness

of Approach), Rating Factor 1 (Capacity and

Experience), Rating Factor 4 (Leveraging

Resources), and Rating Factor 5

(Comprehensiveness and Coordination).

Fundable economic development

applications must meet the threshold

requirements stipulated in the General

Section of this SuperNOFA and be complete

as required by the Submission requirements

of this program section of the SuperNOFA.

Economic development projects will be

funded in rank order until the total aggregate

amount of the applications funded is equal

to the maximum amount available in the

competition (subject to the Department’s

discretion described in Section IV(F) below).

Bonus Points

An additional two points may be awarded

for projects that are located either in

federally-designated Empowerment Zones,

Enterprise Communities or Brownfields

Showcase Communities; two points may also

be awarded for qualifying projects in Dallas,

Texas as mandated by a decision by the U.S.

District Court for the Northern District of

Texas, for a maximum total of four bonus

points. For specific details, please see

Section III(C)(1) in the General Section of the

SuperNOFA, and Rating Factor 3, paragraph

(6) below.

(B) Narrative Statements.

(1) Provide a narrative statement describing

the activities that you will carry out with the

BEDI grant funds, explaining the nature and

extent of the Brownfield’s problem(s)

affecting the project. Your BEDI narrative

statement must not exceed three (3) 8.5′′ by

11′′ pages, double-spaced.

(2) In the foregoing narrative statement

describe how your 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. Applications must include

citations to the specific regulatory

subsections supporting activity eligibility and

national objectives compliance. (See Section

III(C) of this program section of this

SuperNOFA.)

(3) The applicant must also provide

narrative statements in response to each of

the rating factors below.

(4) Print all narrative statements in 12

point type/font, and use sequentially

numbered pages.

(C) Factors for Award Used to Evaluate and

Rate Applications. HUD will consider your

application for selection based on the

following factors that demonstrate the quality

of your proposed project or activities, and

your creativity, capacity and commitment to

obtain maximum benefit from the BEDI

funds, in accordance with the purposes of the

Act.

Responses to Rating Factors 1–5 below

shall not exceed fifteen (15) pages combined.

Rating Factor 1: Capacity of the Applicant

and Relevant Organizational Experience (15

Points)

This factor addresses the extent to which

you have 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 subcontractors,

consultants, subrecipients that are firmly

committed (see definition in Section III(A)(1)

above) to participate in the activities

described in the application. In rating this

factor, HUD will consider the following:

(1) With regard to the BEDI/Section 108

project you propose, you must demonstrate

that you have the capacity to implement the

specific steps required to successfully carry

out the proposed BEDI/Section 108 project.

Evidence of capacity will be judged by your:

(a) Performance in the administration of

your CDBG, HOME or other programs;

(b) Performance and capacity in carrying

out economic development projects;

(c) Performance and capacity with respect

to Brownfields redevelopment projects

similar to that proposed; including the ability

to conduct prudent underwriting, if

applicable; and

(d) Capacity to carry out your projects and

programs in a timely manner; an applicant

must address its performance in spending

previously awarded funds, if any, in a timely

manner, including, for CDBG entitlement

recipients, the extent to which the recipient

has met the HUD standard of having no more

than 1.5 times its entitlement amount

undisbursed (see 24 CFR 570.902(a)(1)(i));

and,

(e) If applicable, your 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 (including Enhanced Enterprise

Community (EEC) designations).

(2) An applicant that has previously

received an EDI or BEDI grant award(s), you

must describe the status of the

implementation of those project(s) assisted

12040 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

with EDI or BEDI funds, any delays that have

been encountered and the actions you are

taking to overcome any such delays in order

to carry out the project in a timely manner.

For such previously funded EDI or BEDI

grant projects, HUD will award more rating

points for applications providing evidence of

achievement of specific measurable outcomes

in carrying out activities funded with

previous EDI or BEDI grant funds and the

associated Section 108-guaranteed loan

funds.

The experience and performance of

subrecipients, nonprofit organizations and

other entities that have a role in

implementing your proposed program will be

included in this review.

Experience and performance of

subrecipients, nonprofit organizations and

other entities that have a role in

implementing your proposed program will be

included in this review. Experience will be

judged in terms of recent and successful

performance of activities relevant to those

proposed in the BEDI application. The more

recent and extensive the experience, the

greater the number of points that will be

awarded for this Factor.

HUD also may 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 (40 Points)

This factor addresses the extent to which

there is need for funding the proposed

activities based on levels of distress, and an

indication of the urgency of meeting the

need/distress in the applicant’s target area. In

responding to this factor, applications will be

evaluated on the extent to which the level of

distress is documented and compared, vis-avis, the target area, the jurisdiction, and

national data.

In applying this factor, HUD will consider

current levels of distress for the following

areas affected by the project: first, in the area

(i.e., Census Tract(s) or Block Groups)

immediately surrounding the project site or

the target area to be served by the proposed

project; second, in the jurisdiction in which

the project is to be located; third, relative to

the similar measures of distress in the nation.

Applicants may also provide data for the

overall jurisdiction alongside comparable

jurisdictions in the county and state, as

appropriate to the activity, in order to

demonstrate the various levels of distress in

context. This means that an application that

provides data that show levels of distress in

the project area and the jurisdiction

expressed as a percent greater than the

national average will be rated higher under

this Factor.

Notwithstanding the above, an applicant

proposing a project to be located outside the

target area could still receive points under

the Distress factor if a clear rationale is

provided linking the proposed project

location and the benefits to be derived by

persons living in more distressed area(s) of

the applicant’s jurisdiction.

Applicants should provide data that

address all indicators of distress, if

applicable, as follows:

Poverty rate (20 points)—data should be

provided in both absolute and percentage

form (i.e., whole numbers and percents) for

both the target area(s) and the jurisdiction as

a whole; an application that compares the

local poverty rate in the following manner to

the national average at the time of

submission will receive points under this

section as follows:

Equal to but less than twice

the national average.

5 points;

Twice but less than three

times the national average.

10 points;

Three or more times the national average.20 points.

(b) Unemployment (15 points)—for both

the project area and jurisdiction; an

application that compares the local

unemployment rate in the following manner

to the national average at the time of

submission will receive points under this

Section as follows:

Equal to but less than twice

the national average.

2 points;

Twice but less than three

times the national average.

4 points;

Three but less than four

times the national average.

6 points;

Four but less than five times

the national average.

8 points;

Five or more times the national average.10 points.

(c) Other Indicators of social and/or

economic decline that best capture the

applicant’s local situation (5 points)—

examples that could be provided under this

Section are information demonstrating the

jurisdiction’s stagnant or falling tax base,

including recent commercial or industrial

closings, housing conditions, such as the

number and percentage of substandard and/

or overcrowded units, rent burden (defined

as average housing cost divided by average

income) for both the target area and county,

local crime statistics, etc.

(3) To the extent that the applicant’s

Consolidated Plan, its Analysis of

Impediments to Fair Housing choice (AI),

and/or its Anti-Poverty Strategy identify the

level of distress in the jurisdiction and the

neighborhood in which the project is to be

carried out, references to such documents

should be included in preparing the response

to this Factor

In rating applications under this Factor,

HUD reserves the right to consider sources of

available objective data other than, or in

addition to, those provided by applicants,

and to compare such data to those provided

by applicants.

HUD requires use of sound and reliable

data (e.g., U.S. Census data, State statistical

reports, university studies/reports that are

verifiable) to support distress levels cited in

each application. A source for all information

along with the publication or origination date

must also be provided.

Updated Census data are available as

follows for the listed indicators:

Unemployment rate—estimated monthly

for counties, with a two-month lag;

Population—estimated for incorporated

places and counties, through 1999;

(d) Poverty rate—estimated every two

years, with a three-year lag, with 1997 being

the most recent available.

Rating Factor 3: Soundness of Approach (25

Points)

This factor addresses the quality and costeffectiveness of your proposed plan. There

must be a sound relationship between the

proposed activities, community needs and

purposes of the program funding for you to

receive points for this factor. In rating this

factor, HUD will consider the following:

(1) (5 Points) The quality of your plan/

proposal for using BEDI funds and Section

108 loan funds, including the extent to which

your proposed plan for effective use of BEDI

grant/Section 108-guaranteed loan funds will

address the needs you described in Rating

Factor 2 above regarding the distress and

extent of the problem in your immediate

target area and/or jurisdiction. As part of the

response to this factor, you should identify

the eligible activities you will carry out and

fully describe how your project will achieve

a CDBG national objective. You should make

substantial efforts to demonstrate how your

proposed project would mitigate or otherwise

address the distress you identified in Rating

Factor 2 above.

(2) (5 Points) The extent to which your

plan is logical, feasible, and likely to achieve

your stated purpose. HUD’s desire is to fund

projects and activities that will quickly

produce demonstrable results and advance

the public interest including the number of

jobs to be created by the project. You should

demonstrate that you have a clear

understanding of the steps required to

implement your project, the actions that you

and others responsible for implementing the

project must complete. For example, the

application should provide evidence that

authority necessary to proceed with the

project has been sought and/or received, in

the form of any necessary zoning

classification, waivers, general permits,

special use permits, assessment district

designation, public easements and right-ofway, etc.

(3) You must include a reasonable time

schedule for carrying out your project. The

application kit contains a timeline form that

you must use to indicate your project timing.

(4) The extent to which your response to

this factor takes into account certain site

selection, planning, and environmental

issues. Further, you are cautioned against

proposing projects on sites where the nature

and degree of environmental contamination

is not well quantified or that are the subject

of on-going litigation or environmental

enforcement. 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 time frame consistent with

HUD’s desire for rapid progress in the use of

BEDI and Section 108 funds.

(5) The extent to which your projects will

integrate environmental justice concerns and

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12041

provide demonstrable benefits for affected

communities and their residents. The BEDI

program is intended to promote the clean up

and redevelopment of brownfields sites.

(6) Financial Feasibility (10 Points). HUD

will consider the extent to which you

demonstrate that your project is financially

feasible. In responding to this subfactor, you

must clearly address the question of why the

BEDI funds are critical to the success of your

project. This may include factors such as:

(a) Project costs and financial

requirements. A funding sources and uses

statement must be provided, as well as

justifications for project costs;

(b) The amount of any debt service or

operating reserve accounts you will establish

in connection with your economic

development project.

(c) The reasonableness of the costs of any

credit enhancement you pay with BEDI grant

funds.

(d) The amount of program income (if any)

you will receive each year during the

repayment period for the guaranteed loan.

(e) Interest rates on loans to third parties,

if any, (other than subrecipients) (either as an

absolute rate or as a plus/minus spread to the

Section 108 rate).

(f) Underwriting criteria that you will use

in determining project feasibility.

(7) The extent to which your proposed

project addresses your Analysis of

Impediments and the needs identified in

Rating Factor 2; the extent to which such

project activities will result in the physical

and economic improvement for the residents

in the neighborhood in which your project

will be carried out; the extent to which you

will offer residents an opportunity to relocate

to environmentally healthy housing or

neighborhoods; or the extent to which

residents will benefit from the funded project

to enable them to continue to live in a

redeveloped or revitalized neighborhood and

thus share in the anticipated economic

benefits and environmental improvements

your project is expected to generate.

(8) The extent to which your project

incorporates one or more elements that

facilitate a successful transition of welfare

recipients from welfare to work, including

the number of living wage jobs to be created

by the project and the impact of the project

on job creation that will benefit individuals

on welfare or low to very low income

persons, and that are part of a career path or

apprenticeship programs. 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 full-time 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.

(9) 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 response

to this factor, ‘‘Soundness of Approach’’ will

include the extent to which Dallas’ plan for

BEDI funds and Section 108 loans will speed

eradication of the vestiges of racial

segregation in the Dallas Housing Authority’s

programs consistent with the Court’s order.

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.

Rating Factor 4: Leveraging Resources (15

Points)

In evaluating this factor, HUD will

consider the extent to which your response

demonstrates the financial need and

feasibility of your 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 (10

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 your proposed project leverages an

amount of Section 108 funds beyond the 1:1

ratio will be considered a positive factor. If

you have a ratio of 1:1, your application will

not receive any points under this subfactor.

If you use your BEDI grant to leverage more

new Section 108 commitments, your

application will receive more points under

this subfactor.

(2) Leverage of other financial resources (5

points). HUD will evaluate the extent to

which other funds (public or private) are

leveraged with BEDI grant funds and Section

108-guaranteed loan funds, and the extent to

which such other funds are firmly committed

to the project. This could include the use of

CDBG funds, other Federal or state grants or

loans, local general funds, project equity or

commercial financing provided by private

sources or funds from non-profits or other

sources. Funds will be considered committed

to the project if they meet the requirements

of ‘‘Firm Commitment as defined in Section

III (A)(1) above, and shall be subject to

completion of any environmental review

required under 24 CFR part 58 for the project.

Rating Factor 5: Comprehensiveness and

Coordination (5 Points)

This factor addresses the extent to which

you have coordinated your activities with

other known organizations; you participate or

promote participation in your or a State’s

Consolidated Planning process; and you are

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 you

demonstrate you have:

(1) Coordinated your proposed activities

with those of other groups or organizations

before submitting your application, in order

to best complement, support and coordinate

all known activities; and developed specific

steps to share information on solutions and

outcomes with others. Describe any written

agreements or memoranda of understanding

in place, or that will be in place after award.

(2) Developed linkages, or specific steps to

develop linkages with other activities,

programs or projects (through meetings,

information networks, planning processes or

other mechanisms to coordinate your

activities), so that solutions are holistic and

comprehensive. Describe any linkages with

other HUD-funded projects/activities outside

the scope of those covered by the

Consolidated Plan, as well as established

linkages and outreach with residents of your

project area.

(3) Coordinated your efforts with other

Federal, State or locally supported activities,

including US Army Corps of Engineers,

Economic Development Administration, U.S.

Department of Treasury, EPA’s various

Brownfields initiatives, and those proposed

or on-going in the community.

VI. Application Submission Requirements

(A) BEDI Funding. An application for

funding under the BEDI funding allocation

under this program section of the

SuperNOFA must have the following items to

be complete. The standard forms,

certifications and assurances that are

required for the BEDI application (and listed

in paragraph (J) below) can be found in

Appendix B to the General Section. The

remaining application items that are forms

(i.e., excluding such items as narratives or

letters, etc.), referred to as the ‘‘non-standard

forms’’ can be found in Appendix B to this

program section of the SuperNOFA.

(B) Transmittal Letter signed by the

authorized representative of the eligible

applicant indicating that it is submitting the

application for funding under the

Brownfields Economic Development

Initiative Program and is requesting funding

consideration for an EDI project.

(C) Checklist and Submission Table of

Contents indicating the page numbers where

the submission items can be found in your

application (form HUD–40076–EDI/BEDI).

(D) EDI Narrative Statements describing

EDI funded eligible activities within the

proposed project.

(E) EDI/BEDI Funding Eligibility Statement.

A completed EDI/BEDI Section 108 Funding

Eligibility Statement (form HUD–40076–EDI/

BEDI).

(F) Request for Loan Guarantee Assistance.

A request for loan guarantee assistance under

Section 108, as further described in Section

IV(C) of this program section of the

SuperNOFA. Full application guidelines for

the Section 108 program are found at 24 CFR

570.704.

(G) Narrative Response(s) to Factors for

Award:

(1) Rating Factor 1: Capacity and Relevant

Organizational Experience. Provide a

narrative indicating the relevant capacity of

your organization and staff to perform the

work for which it is requesting funding.

(2) Rating Factor 2: Need Statement

Identifying the level of Distress/Extent of the

Problem. Provide a narrative statement

including any documentation supporting the

statement of need. Optional form HUD–

40076–EDI/BEDI has a format to respond to

this factor for award.

(3) Rating Factor 3: Soundness of

Approach. Include the activities, budget and

time frame for conducting activities in the

response (see form HUD–40076–EDI/BEDI).

(4) Rating Factor 4: Leveraging Resources.

Your response should include a completed

copy of form HUD–40076–EDI/BEDI, ‘‘Rating

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Factor 4: Leveraging Resources/Sources and

Uses Statement.’’

(5) Rating Factor 5: Comprehensiveness

and Coordination. Provide a narrative

response to this factor.

(H) Request for Funds. A single application

must contain a request for funds for a single

BEDI/108 project. You may submit more than

one application for each additional unrelated

BEDI/108 project. Each application will be

rated and ranked individually. In no event

will HUD rate and rank more than one BEDI

project per application.

(I) Threshold Requirements. Your

application must meet all of the applicable

threshold requirements of Section II(B) of the

General Section of this SuperNOFA.

(J) Additional Application Forms and

Certifications. In addition to any forms that

have been submitted in response to the

Factors for Award (which may be found at

Appendix A), the following forms and

certifications must also be submitted:

(1) Application for Federal Assistance

(Standard Form (SF) 424);

(2) Federal Assistance Funding Matrix

(HUD 424M);

(3) Standard Form for Assurances—NonConstruction Programs (SF 424B) and/or

Standard Form for Assurances—Construction

Programs (SF 424D)—not applicable for this

program section.

(4) Drug-Free Workplace Certification,

HUD–50070.

(5) Certification of Payments to Influence

Federal Transactions, HUD 50071, (and if

applicant and/or participating parties are

engaged in lobbying, the Disclosure Form

Regarding Lobbying, SF–LLL);

(6) Applicant/Recipient Disclosure/Update

Report, HUD–2880;

(7) Certification Regarding Debarment and

Suspension, HUD–2992;

(8) Certification of Consistency With EZ/EC

Strategic Plan, HUD–2990;

These forms are found in the Appendix B

to the General Section of this SuperNOFA.

The Budget Information on Standard Forms

424B or 424C is not required under this BEDI

section of the SuperNOFA.

In addition to the fair housing and other

civil rights assurance described under

Section II(B) of the SuperNOFA General

Section, applicants for EDI funds must

provide assurance that they will comply with

Section 109 of the Housing and Community

Development Act of 1974, as amended, and

must have resolved to HUD’s satisfaction any

letter of noncompliance findings under

Section 109 before the deadline for BEDI

application submission.

If an applicant wishes to receive an

acknowledgment of HUD’s receipt of its

application, it should submit a completed

Acknowledgment of Receipt of Application

form. In addition to the fair housing and

other civil rights assurance described under

Section II(B) of the SuperNOFA General

Section, applicants for BEDI funds must

provide assurance that they will comply with

Section 109 of the Housing and Community

Development Act of 1974, as amended, and

must have resolved to HUD’s satisfaction any

letter of noncompliance findings under

Section 109 before the deadline for BEDI

application submission.

VII. Corrections to Deficient Applications

The General Section of the SuperNOFA

provides the procedures for corrections to

deficient applications.

VIII. Environmental Requirements

(A) 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 BEDI grantee 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. HUD will not release such

assistance until you submit a request for

release of funds and you satisfy the

requirements of 24 CFR part 58. All public

entities, including nonentitlement public

entities, must 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.

(B) 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 brownfields sites and HUD

expects that projects presented for BEDI

funding will integrate environmental justice

concerns and provide demonstrable benefits

for affected communities and their residents.

IX. Authority

Section 108(q), title I. Housing and

community Development act of 1974, as

amended, (42 U.S.C. 5301); 24 CFR part

570.

Appendix A

The non-standard forms for your BEDI

application follow.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR SELFHELP HOMEOWNERSHIP

OPPORTUNITY PROGRAM (SHOP)

Program Overview

Purpose of the Program. To facilitate

and encourage innovative

homeownership opportunities through

self-help housing where the homebuyer

contributes a significant amount of

sweat-equity toward the construction of

the new dwelling.

Available Funds. Approximately $20

million.

Eligible Applicants. You must be a

nonprofit national or regional

organization or consortium.

Application Deadline. May 29, 2001.

Match. None.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information:

I. Application Due Date, Standard

Forms, Further Information, and

Technical Assistance

Application Due Date. Applications

for SHOP grants must be physically

received by HUD on or before 12:00

midnight, Eastern time on May 29, 2001.

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.

Submit one original and two copies of

the application to Department of

Housing and Urban Development, Office

of Community Planning and

Development, Processing and Control

Unit, 451 Seventh Street, SW, Room

7251, Washington, DC 20410, ATTN:

Self-Help Homeownership Opportunity

Program.

For Application Forms. There is no

separate application kit. This notice

contains all the information necessary

for submission of your application.

Copies of the standard forms are located

in the General Section of this

SuperNOFA or you may request copies

by calling HUD’s SuperNOFA

Information Center at: 1–800–HUD–

8929. If you have a hearing or speech

impairment, please call the Center’s

TTY number at 1–800–HUD–2209.

When requesting standard forms, you

should refer to SHOP and provide your

name and address (including zip code)

and telephone number (including area

code). See Section VI for application

submission requirements. You may also

access the application requirements on

the Internet through HUD’s web site at

www.hud.gov.

Further Information and Technical

Assistance. You may contact Lou

Thompson, Office of Affordable

Housing Programs, Department of

Housing and Urban Development, Room

7168, 451 Seventh Street, SW,

Washington, DC 20410; telephone (202)

708–2684, ext. 4594 (this is not a tollfree number). This number can be

accessed via TTY by calling the Federal

Information Relay Service Operator at

1–800–877–8339.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov.

II. Amount Allocated

The amount available for this program

is approximately $20,000,000.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. SHOP is

intended to facilitate and encourage

innovative homeownership

opportunities on a national

geographically-diverse basis through

self-help housing where the homebuyer

contributes a significant amount of

sweat-equity toward the construction or

rehabilitation of the dwelling.

Decent, safe, and sanitary non-luxury

dwellings developed under SHOP must

be made available to eligible

homebuyers at prices below the

prevailing market prices. Eligible

homebuyers are low-income families

(families whose annual incomes do not

exceed 80 percent of the median income

for the area, as established by HUD) who

are unable to purchase a dwelling.

Housing assisted under this Notice must

involve community participation

through the use of homebuyers and/or

volunteers in the construction of

dwellings and by other activities which

involve the community in the project.

(B) Eligible Applicants. You must be

a nonprofit national or regional

organization or consortium that has the

capacity and experience to provide or

facilitate self-help housing

homeownership opportunities. Local

affiliates of national or regional

organizations or consortia must apply as

part of the national or regional

organization or consortia and may not

apply for SHOP independently.

‘‘Regional’’ is defined for the purpose of

this program section of the SuperNOFA

to be a ‘‘regional area’’ such as the

Southwest or Northeast which must

include at least two or more States (the

States need not be contiguous and the

operational boundaries of the

organization need not precisely conform

to State boundaries). If you are a

consortium, one organization must be

chosen as the lead entity. The lead

entity must submit the application and,

if selected for funding, will execute the

grant agreement and assume primary

responsibility for carrying out grant

activities in compliance with all

program requirements. Other

participants in your consortium must be

identified in your application.

Your application may not propose a

partnership with or funding for any

affiliate or consortium member which is

also included in another SHOP

application. You must assure that any

affiliate or consortium member under

your FY 2001 application is not also

seeking funding from another SHOP

applicant for FY 2001 funds.

(C) Eligible Activities. The only

eligible activities are: (1) land

acquisition (including financing and

closing costs), which may include

reimbursing an organization,

consortium, or affiliate, upon approval

of any required environmental review,

for nongrant amounts of the

organization, consortium, or affiliate

advanced to acquire land before

completion of the review; (2)

infrastructure improvements (installing,

extending, constructing, rehabilitating,

or otherwise improving utilities and

other infrastructure, including removal

of environmental hazards); and (3)

administration, planning and

management development as defined

under the HOME Investment

Partnerships Program (24 CFR part

92.207), and not to exceed 20 percent of

any SHOP grant. Funding of eligible

activities may be used for both singlefamily and multifamily dwellings.

(D) Ineligible Costs: Costs associated

with the rehabilitation, improvement, or

construction of dwellings are not

eligible uses of program funds.

IV. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, you are

subject to the following SHOP

requirements:

(A) Statutory Requirements. You must

comply with all statutory requirements

applicable to SHOP as cited in Section

IX of this program section below. There

are no regulations for this program. You

must be capable of:

(1) Developing, through significant

amounts of sweat-equity and volunteer

labor, at least 30 dwellings at an average

12052 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

cost of no more than $10,000 per unit

in SHOP funds;

(2) Using your grant to leverage other

sources of funding, including private or

other public funds;

(3) Developing quality dwellings that

comply with local building and safety

codes and standards and which will be

available to homebuyers at prices below

the prevailing market price; and

(4) Scheduling activities to expend all

grant funds awarded and substantially

fulfill your obligations under your grant

agreement, including timely

development of the appropriate number

of dwelling units. Grant funds must be

expended within 24 months, except that

grant funds provided to affiliates that

develop five or more units must expend

funds within 36 months.

(B) Economic Opportunities for Lowand Very Low-Income Persons (Section

3). If you fund infrastructure

improvements under this program, you

are required 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 LowIncome Persons) and the HUD

regulations at 24 CFR part 135,

including the reporting requirements in

subpart E. Section 3 requires that you

provide training, employment and other

economic opportunities, to the greatest

extent feasible, 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 lowincome persons.

V. Application Selection Process

(A) Rating. HUD will review all

applications in accordance with the

Application Selection Process in the

General Section of this SuperNOFA.

HUD will review all applications based

on the threshold factors listed in Section

V(C) of this program section below.

Applications which meet all threshold

requirements will be rated according to

the selection factors in this section of

the SuperNOFA. Applications which do

not meet all threshold factors will be

rejected and not rated.

(B) Ranking and Selection Procedures.

Applications that receive a total rating

of 60 points or more (without the

addition of EZ/EC bonus points) will be

eligible for selection, and HUD will

place them in rank order. After adding

any bonus points for EZ/EC, HUD will

consider rank order and funds

availability in the selection and funding

of applications.

HUD reserves the right to fund less

than the full amount requested in any

application to ensure a fair distribution

of the funds and that dwellings will be

developed on a national geographicallydiverse basis as required by the statute.

HUD will not fund any portion of an

application that is ineligible for funding

under program statutory requirements,

or which does not meet the

requirements of the General Section of

this SuperNOFA or the requirements in

the SHOP section of the SuperNOFA.

HUD will not fund any eligible

applicant for less than the minimum

amount necessary to complete at least

30 homes (at a maximum of $10,000 per

home or a lesser amount if lower costs

are reflected in the application). If funds

remain after all selections have been

made, these funds may be available for

other competitions.

(C) Threshold Requirements. The

following threshold requirements apply

specifically to SHOP. You must also be

sure to address the threshold

requirements listed in Section II(B) of

the General Section of the SuperNOFA

and must submit all forms,

certifications, and assurances identified

in Section II(G) of the General Section.

(1) You, the applicant, must be

eligible to apply under SHOP (see

Section III(B) of this program section of

the SuperNOFA).

(2) The amount of funding you

request must support no less than 30

self-help units and may not exceed an

average amount of $10,000 per unit.

(3) The population you plan to serve

must be eligible under SHOP (see

Section III(A) of this program section of

the SuperNOFA).

(4) You must demonstrate that you

have completed at least 30 self-help

homeownership units within a national

or regional area (where the homebuyers

contributed a significant amount of

sweat-equity and/or volunteer labor

toward the construction of the

dwellings) within the 24-month period

preceding the publication of this

SuperNOFA.

Submission Threshold Requirements:

(1) Evidence of your non-profit status,

such as a copy of a current Internal

Revenue Service ruling that your

organization is exempt from taxation

under section 501(c)(3) or 501(c)(4) of

the Internal Revenue Code of 1986.

Where an IRS ruling is unavailable, you

may submit a certified copy of your

approved charter, articles of

incorporation or bylaws demonstrating

that you are established as a nonprofit

organization under state law. If you are

a consortium, each participant in your

consortium must be a nonprofit

organization, but only the lead entity

should submit evidence of its nonprofit

status. However, the lead entity must

maintain a copy of the above-described

documentation for each participant in

your consortium.

Submission threshold requirements

(2) through (4) require no additional

submissions. These requirements are

addressed under the submission

requirements for the rating factors listed

in Section V(D) of this program section

of the SuperNOFA below.

(D) Factors for Award Used to

Evaluate Applications. HUD will rate all

SHOP applications that successfully

complete technical processing using the

Rating Factors and the Application

Submission Requirements described

below. The maximum number of points

for this program is 102. This includes

two EZ/EC bonus points, as described in

the General Section of the SuperNOFA.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Staff (20 Points)

This factor examines the extent to

which you, as a single applicant or as

a consortium (including affiliates and/or

members of the consortium, if any),

have the experience and organizational

resources necessary to carry out the

proposed activities in a timely manner.

In evaluating this factor, HUD will

consider your recent and relevant

experience in carrying out the activities

you propose, and your administrative

ability, and fiscal management ability.

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. If you are not a current

recipient of HUD funds, you may submit

evidence of internal or external

performance reports or other

information which will assist HUD in

making this determination.

Submission Requirements for Rating

Factor 1.

(1) You must describe your past

experience in carrying out activities that

are the same as, or similar to, the

activities you propose for funding, and

demonstrate reasonable success in

carrying out those activities. You may

demonstrate such reasonable success by

showing that your previous activities

were carried out as proposed and in a

timely manner. You must show that

established benchmarks for acquiring

properties and completing housing

construction were met and performance

reports were submitted, as required.

You must also describe any delays that

were encountered, and the actions you

took to overcome such delays to

successfully complete your program.

(2) You must demonstrate that you

have completed at least 30 self-help

homeownership units within a national

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12053

or regional area (where the homebuyers

contributed sweat-equity and/or

volunteer labor toward the construction

of the dwellings) within the 24-month

period preceding the publication of this

SuperNOFA.

(3) You must provide a description of

your management structure. You must

also describe how you will staff and

manage your proposed activities.

(4) You must demonstrate your ability

to handle financial resources with

adequate financial control and

accounting procedures. Your existing

financial control procedures must meet

24 CFR 84.21, ‘‘Standards for Financial

Management Systems.’’ You must

provide a copy of your most recent audit

(only an audit of the lead entity must be

provided with an application for a

consortium).

(5) You must demonstrate your

experience and ability in constructing

and altering homes with accessibility

features, when necessary.

Rating Factor 2: Need/Extent of the

Problem (15 Points)

This factor examines the extent to

which you identify the community

need, or problem, or distress that your

proposed activities will target, and the

urgency of meeting that need.

The purpose of this factor is to make

sure that funding is provided where a

need for funding exists. Under this

factor, you must identify the need or

needs in the community that your

proposed activities are designed to

address or, if you plan to select specific

affiliates only after you receive SHOP

funding, you must demonstrate how you

plan to identify need prior to your

selection of affiliates.

Submission Requirements for Rating

Factor 2.

(1) Identify the communities or areas

in which your proposed activities will

be carried out or how you will select

communities or projects based on need

after you have received an award under

SHOP.

(2) Depending on the type of activities

proposed, the kind of information you

submit to demonstrate the need or needs

in the target area may include, but is not

limited to, one or more of the following:

(a) Housing market data such as

information included in the local Five

Year Comprehensive Plan or other data

sources;

(b) Data dealing with such factors as

housing density, housing affordability,

housing age or deterioration, and lack of

adequate infrastructure or utilities;

(c) Data on the need for accessible

homes in the area;

(d) Evidence of housing

discrimination;

(e) Evidence from the local Analysis

of Impediments to Fair Housing Choice

which shows the need for this program.

Rating Factor 3: Soundness of

Approach (40 Points)

This factor examines the quality of

your plan of proposed activities. In

evaluating this factor HUD will

consider:

(1) The specificity in your plan; your

established timeline for performance;

your schedule for expending funds and

completing construction; your proposed

budget and the cost effectiveness of your

program; and your plans to reach all

potentially-eligible homebuyers,

including those with disabilities or least

likely to apply.

(2) How your planned activities

further the Departmental initiatives

noted in Section VI of the General

Section. These initiatives are:

(i) Promoting healthy homes and

educating homeowners on what is a

healthy home;

(ii) Providing educational and job

training opportunities through

Neighborhood Networks, and linking

programs to AmeriCorps activities;

(iii) Encouraging universal design

when developing housing and when

communicating with community

residents at public meetings or events;

(iv) Encouraging visitability in new

construction and substantial

rehabilitation activities; and

(v) Employing the President’s

Partnership for Advancing Technology

in Housing (PATH) technologies to

improve the affordability, durability,

energy efficiency, environmental

protection, disaster resistance and safety

of housing. HUD will consider how your

planned activities exceed prevailing

national building practices by: reducing

costs of housing; improving durability,

reducing maintenance costs; increasing

safety and disaster resistance; and

improving energy consumption and

reducing environmental impact.

Submission Requirements for Factor

3.

(1) Identify all activities you propose

to fund with SHOP.

(2) Provide a timetable for the

selection of your participating local

affiliates if they are not specified in the

application.

(3) Identify the housing type (single

family or multifamily) you plan to

develop and the form of ownership (fee

simple, condominium, cooperative, etc.)

you propose to use.

(4) Submit a construction and

completion schedule which expends

SHOP funds and substantially fulfills

your obligations, including the

development of the appropriate number

of dwelling units, within 24 months, or

in the case of affiliates that develop five

or more units, within 36 months, and

demonstrates that remaining housing

construction will be completed within a

reasonable period of time.

(5) Submit a timeline listing

milestones against which HUD is to

measure your performance progress in

expending funds, and completing

acquisition, infrastructure and housing

construction activities within the

schedule in Item 4 above. These

milestones should be at reasonable

intervals (e.g., monthly, quarterly, etc.).

(6) Describe how your proposed

activities address the need or needs you

have identified under Rating Factor 2,

above.

(7) List the long- and short-term

benefits from your activities to the

community and targeted groups within

the community, and describe how you

will ascertain and measure the benefits.

(8) Provide a detailed budget with a

break-out for each proposed task and

each budget category (acquisition,

infrastructure improvements, and

administration) in the SF–424A.

(9) Demonstrate that projected costs

for the proposed activities do not

deviate substantially from the norm in

the locale in which your activities will

take place, will not exceed an average

cost of $10,000 per unit in SHOP funds,

and your ability to carry out your

proposed activities cost effectively.

(10) Describe how the initiatives of

the Department are furthered by your

proposed activities.

(11) Describe how you will reach

potential homebuyers through the use of

services and materials that are

accessible or visitable to all persons,

including persons with disabilities (e.g.,

languages, formats, locations,

distribution, use of minority media to

attract those least likely to apply).

(12) Describe how activities will

benefit eligible homebuyers and your

selection factors for participating

homebuyers.

(13) Describe how your proposed

activities will yield long-term results

and innovative strategies or ‘‘best

practices’’ that can be readily

disseminated to other organizations,

communities, and/or State and local

governments.

(14) Describe how your program will

provide reasonable accommodations for

persons with a variety of disabilities by

providing ‘‘sweat equity’’ assignments

which can be performed by the client

regardless of disability; accessible

housing regardless of the nature of the

disability of its intended residents; and

‘‘visitable’’ housing for all clients.

12054 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Rating Factor 4: Leveraging Resources

(15 Points)

This factor addresses your ability to

secure other resources that can be

combined with HUD’s program

resources to achieve the purposes of

SHOP. HUD will consider the extent to

which you document firm commitments

of resources in the form of cash funding,

in-kind contributions, or personnel from

Federal, State, local, and private

sources, who are jointly referred to as

your leverage partners. HUD will also

consider the extent that the applicant’s

proposed sweat-equity requirements

and other leveraged resources will serve

to reduce costs to the homebuyers.

Submission Requirements for Factor

4.

(1) Provide a list of amounts and

sources of all firm commitments of cash

funding, in-kind contributions, or

personnel from other Federal, State,

local, and private sources which will be

available to complete your project.

Together with the grant funds, these

commitments must be sufficient to

develop not less than 30 units.

(2) Provide copies of written evidence

to support your list of firm

commitments from the source of the

commitment. There must be a written

agreement identifying the leveraging

sources that support your FY 2001

SHOP application. The written

agreement may be contingent upon your

receiving a grant award.

(3) Provide a description of the

individual sweat-equity requirements of

your program and how this contribution

of labor will serve to reduce the costs of

the home to the homebuyer. Reasonable

accommodation must be allowed for

persons with a variety of disabilities to

participate in your program.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

This factor addresses the extent to

which your application reflects a

coordinated, comprehensive approach

to identifying community needs and

addressing them on an ongoing basis. In

evaluating this factor, HUD will

consider:

(1) The extent to which you

demonstrate the support and

participation of the community’s

residents, organizations, businesses, and

government in the design and

implementation of the proposed

activities.

(2) The specific steps you will take to

share information on solutions,

outcomes, and best practices resulting

from the activities, if funded.

(3) The specific steps you have taken

or will take to coordinate, through

meetings, information networks,

planning processes, or other

mechanisms, your activities with other

proposed or on-going activities in the

community funded by Federal, State,

local, or private sources.

Submission Requirements for Factor

5.

(1) Describe what role residents,

community leaders and organizations,

and government and private entities in

the targeted community have had, or

will have, in planning the activities

described in your application and what

role they will have in carrying out such

activities.

(2) Describe how you will share with

others information on solutions and

outcomes resulting from the activities, if

funded.

(3) Describe the specific steps you

have taken or will take to become active

in the community’s Consolidated Plan

and Analysis of Impediments to Fair

Housing Choice process; or the

community’s Indian Housing Plan

process; and to address, through these

processes, the needs that are the focus

of the proposed activities.

(4) Describe the specific steps you

have taken, or will take, to coordinate

your activities with other proposed or

on-going activities in the community

funded by Federal, State, local, or

private sources (through meetings,

information networks, planning

processes, or other mechanisms).

VI. Application Requirements and

Checklist for Application Submission

Your application consists of the items

listed in this Section VI. The standard

forms, certifications, and assurances

that are applicable to this funding

(collectively, referred to as the

‘‘standard forms’’) can be found in

Appendix B to the General Section of

the SuperNOFA. The following

checklist helps to ensure that all of the

required items have been submitted in

order to receive consideration for

funding:

llStandard Form 424, Application for

Federal Assistance (signed by the

authorized representative of the

organization eligible to receive

funds)

llEvidence of Non-Profit status

Narrative Statement Addressing:

llFactor 1—Capacity of the Applicant

and Relevant Organizational Staff,

including recent audit

llFactor 2—Need/Extent of the

Problem

llFactor 3—Soundness of Approach

llFactor 4—Leveraging Resources

llFactor 5—Comprehensiveness and

Coordination

Forms, Certifications and Assurances:

llSF 424A, Budget Information, NonConstruction Programs

llSF 424B, Assurances—NonConstruction Programs

llSF 424M, Federal Assistance

Funding Matrix

llHUD–50070, Certification for a

Drug-Free Workplace

llHUD–50071, Certification of

Payment to Influence Federal

Transactions

llSF–LLL, Disclosure of Lobbying

Activity, as applicable

llHUD–2880, Applicant/Recipient

Disclosure/Update Report

llHUD–2990, Certification of

Consistency with the EZ/EC

Strategic Plan

llHUD–2992, Certification Regarding

Debarment and Suspension

llHUD–2993, Acknowledgment of

Application Receipt

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

The provisions contained in Section

305(c) of the Multifamily Housing

Property Disposition Reform Act of

1994, Environmental Review,

implemented in the Environmental

Review regulations at 24 CFR part 58,

are applicable to properties assisted

with SHOP funds. All SHOP assistance

is subject to the National Environmental

Policy Act of 1969 and related federal

environmental authorities. SHOP grant

applicants are cautioned that no federal

or non-federal funds or assistance which

limits reasonable choices or could

produce a significant adverse

environmental impact may be

committed to a project until all required

environmental reviews and notifications

have been completed by a unit of

general local government, tribe or State

and until HUD approves a recipient’s

request for release of funds under the

environmental provisions contained in

24 CFR part 58.

IX. Authority

The funding made available under

this program section of the SuperNOFA

is authorized by section 11 of the

Housing Opportunity Program

Extension Act of 1996 (42 U.S.C. 12805

note) (the ‘‘Extension Act’’).

BILLING CODE 4210–32–P

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12055

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12057

Funding Availability for the Youthbuild

Program

Program Overview

Purpose of the Program. The purpose

of the Youthbuild program is to assist

disadvantaged young adults in

distressed communities to complete

their high school education, to provide

on-site construction training

experiences which also result in the

rehabilitation or construction of housing

for homeless persons and low- and very

low-income families, to foster

leadership skills, and to further

opportunities for placement in

apprenticeship programs and

employment in living wage jobs.

Available Funds. Approximately

$52,925,000 is available for the

Youthbuild Program.

Adjustments to Funding. HUD

reserves the right to utilize this year’s

funding to fund previous year’s errors

prior to rating and ranking this year’s

applications. HUD reserves the right to

reallocate funds between categories to

achieve the maximum allocation of

funds.

Eligible Applicants. Eligible

applicants are public or private

nonprofit agencies, State or local

housing agencies or authorities, State or

units of local government, or any entity

eligible to provide education and

employment training under other

Federal employment training programs,

as further defined in HUD’s regulation

at 24 CFR 585.4.

Application Deadline. May 30, 2001.

Match. None.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, and Technical

Assistance

Application Due Date. Completed

applications (one original and two

copies) must be submitted on or before

12:00 midnight, Eastern time, on May

30, 2001 to the HUD Headquarters

address shown below. See the General

Section of this SuperNOFA for specific

procedures that you must follow for the

form of application submission (e.g.,

mailed applications, express mail,

overnight delivery, or hand carried).

Addresses for Submitting

Applications. Completed applications

(one original signed application and two

copies) must be submitted to the

Processing and Control Unit, Office of

Community Planning and Development,

Department of Housing and Urban

Development, 451 Seventh Street, SW,

Room 7255, Washington, DC 20410,

Attention: Youthbuild Program. When

submitting your application, please

include your name and mailing address

(including zip code and telephone

number and fax number including area

code).

For Application Kits. For an

application kit and any supplemental

material 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. 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 information concerning the HUD

Youthbuild program, contact Ms. Donna

Clarke, Community Planning and

Development Specialist, Office of Rural

Housing and Economic Development,

Office of Economic Development, Office

of Community Planning and

Development, Department of Housing

and Urban Development, 451 Seventh

Street, SW, Room 7136, Washington, DC

20410: telephone (202) 708–2035 (this is

not a toll-free number). Persons with

speech or hearing impairments may

access this number via TTY by calling

toll-free Federal Information Relay

Service at 1–800–877–8339.

For Technical Assistance. Write or

call Peter Twichell, YouthBuild USA,

58 Day Street, Somerville, MA 02144,

telephone (617) 623–9900, ext. 1211,

under contract with HUD to provide

technical assistance. Prior to the

application deadline, YouthBuild USA

will be available to provide general

guidance on the application submission

process and location of information, but

not guidance in actually preparing the

application. HUD Economic

Development Specialists located in

HUD field offices will also be available

to provide technical assistance.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of an

application. For more information about

the date and time of this broadcast, you

should consult the HUD web site at the

web address listed above.

II. Amount Allocated

(A) Available Funds. Approximately

$52,925,000 in Fiscal Year (FY) 2001

funding is being made available through

this program section of this SuperNOFA

for the Youthbuild program. The

breakdown of funding is discussed

below.

The FY 2001 HUD Appropriations

Act. The Department of Veterans Affairs

and Housing and Urban Development,

and Independent Agencies

Appropriations Act, 2001 (Pub. L. 106–

377 approved October 27, 2000) (the

‘‘FY 2001 HUD Appropriations Act’’)

made $60,000,000 available of which

$52,925,000 is allocated for grants.

(B) Funding Categories. HUD will

award up to $52,925,000 on a

competitive basis. Funds will be

divided between three categories of

grants as described in Section II(C) of

this program section of the SuperNOFA.

(1) $10,000,000—Grants for up to

$400,000 for new applicants that have

not previously received grants since the

inception of the Program for a period

not to exceed 36 months.

(2) $32,925,000—Grants for up to

$500,000 for a period not to exceed 36

months.

(3) $10,000,000—Grants for up to

$400,000 for underserved and rural

areas for a period not to exceed 36

months.

III. Program Description; Eligible

Applicants; and Eligible Activities

(A) Program Description. The

purposes of the Youthbuild Program are

to:

(1) Provide economicallydisadvantaged young adults with

opportunities to obtain an educational

experience that will enhance their

employment skills, as a means to

achieving self-sufficiency;

(2) Foster the development of

leadership skills and commitment to

community;

(3) Expand the supply of permanent

affordable housing for homeless and

low- and very low-income persons by

providing implementation grants for

carrying out a Youthbuild program;

(4) Provide disadvantaged young

adults with meaningful on-site training

experiences in housing construction and

rehabilitation to enable them to render

a service to their communities by

helping to meet the housing needs of

homeless persons and low-income

families; and

(5) Give to the greatest extent feasible,

job training, employment, contracting

and other economic opportunities to

low-income persons.

HUD also focuses on the Youthbuild

Program as a way to foster the

development of nonprofit organizations

which over time can provide the

services mentioned above to

disadvantaged youth and which at the

same time rely less on HUD’s financial

support to carryout these activities.

12058 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(B) Eligible Activities. (1) Work and

activities associated with the

acquisition, rehabilitation or

construction of the housing, as defined

in HUD’s regulations at 24 CFR 585.309,

585.310, and 585.311; Construction and

rehabilitation costs must not exceed 10

percent of the grant award. HUD

encourages you to use grant funds for

outreach, recruitment, training and

other services for the youth participants

which facilitates program

implementation;

(2) Relocation payments and other

assistance required to comply with

HUD’s regulation at 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 optional

activities that meet the needs of the

participants including entrepreneurial

training, drivers’ education,

apprenticeship opportunities and,

programs for those with learning

disabilities, and in-house staff training;

(5) Outreach to potential participants;

(6) Wages, benefits, and need-based

stipends for participants; and

(7) Administrative costs must not to

exceed 10 percent of the grant award.

Please refer to HUD’s regulation at 24

CFR 585.305 for further details on

eligible activities.

IV. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, as an

applicant you must comply with the

following Youthbuild program

requirements:

(A) Eligible Applicants. Eligible

applicants as defined in HUD’s

regulation at 24 CFR 585.4.

(B) 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, but must have

educational needs, (such as lack of

reading, writing and communication

skills) that justify their participation in

the program.

(C) Locational Limitations. You may

submit more than one application in the

current competition if your program’s

participant recruitment and housing

areas are in different jurisdictions. Each

application you submit may only

propose activities to carry out one

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

Youthbuild program or to fund new

classes of Youthbuild participants for an

existing program.

(D) Response to NOFA—Page

Limitation. The total narrative response

to all factors identified in Section VI(C)

of this program NOFA must not exceed

15 pages, and must be submitted on 8.5′′

by 11′′ paper, using a 12 point size, with

lines double spaced and printed only on

one side. Please note that submitting

pages in excess of the page limit will not

disqualify your application. However,

HUD will not review or consider the

information on any excess pages, which

may result in a lower score or failure to

meet a threshold.

(E) Youthbuild Program Components.

Applications that receive assistance

under this Youthbuild Program section

of the SuperNOFA must contain the

three components described as follows:

(1) Educational and job training

services;

(2) Leadership training, counseling,

and other support activities;

(3) On-site training through actual

housing rehabilitation and/or new

construction work, including the

provision of alternative training

experiences that are necessary as a

reasonable accommodation for students

with disabilities.

(F) Access to Property. Your

application must contain a letter from

the property owner or management

company(ies) allowing access to the

housing site(s) for on-site construction

training.

(G) Training Requirement. Each

program must be structured so that 50

percent of each participant’s time is

spent in on-site training and the other

50 percent in educational training.

(H) 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 the Youthbuild

program. Please see Section II of the

General Section of the SuperNOFA.

V. Desirable Elements of a Youthbuild

Program

You should document the extent to

which HUD’s initiatives are furthered by

the proposed activities. Such initiatives

include:

(1) Promoting healthy and safe homes;

(2) Providing opportunities for selfsufficiency, particularly for persons

enrolled in welfare to work programs;

(3) Providing educational,

apprenticeship and job training

opportunities and linking programs to

Americorps activities;

(4) Promoting welfare reform

(5) Encouraging visitability in new

construction and substantial

rehabilitation activities;

(6) Encouraging universal design; and

(7) Participation in Partnership for

Advancing Technology in Housing

(PATH).

First time applicants. If you are a first

time applicant applying for funding

under Category 1, HUD recommends

that you should have a graduating class

of not more than 20 students.

VI. Application Selection Process

You, the applicant, must meet all of

the applicable threshold requirements of

Section II(B) of the General Section of

the SuperNOFA and Section IV(A), (B),

(C), (D), (E), (F), (G) and (H), of this

program section of the SuperNOFA.

HUD will review each application and

assign points in accordance with the

selection factors described in this

section. The maximum number of

points is 102 (except for an application

submitted by the City of Dallas, Texas,

which would be eligible for a maximum

of 104 points). HUD will award up to

two (2) additional points, as described

in the General Section of the

SuperNOFA, to any application

submitted by the City of Dallas, Texas,

to the extent that Factor 3 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. This

maximum includes two Empowerment

Zone/Enterprise Community (EZ/EC)

bonus points as described in the Section

III(C) of the SuperNOFA.

(A) Rating and Ranking. (1) General.

To review and rate applications, HUD

may establish panels including officials

from other Federal agencies and outside

experts or consultants to obtain certain

expertise and other outside points of

view.

(2) Rating. All applications for

funding will be evaluated against the

rating factors described in Section (VI)G

of this NOFA.

(3) Ranking. Applications will be

ranked separately within each of the 3

funding categories. Applications will be

selected for funding in accordance with

their rank order in each category.

(4) To be eligible for funding, an

application must have a minimum score

of 25 points for the total combined

number of points for Rating Factors 1

and 3.

If two or more applications are rated

fundable, and have the same score, but

there are insufficient funds to fund all

of them, HUD will select the

application(s) with the highest score for

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12059

Rating Factor 2, Need/Extent of

Problem. If two or more applications

still have the same score, the highest

score in the following factors will be

selected sequentially until one highest

score can be determined: Rating Factor

3 (Soundness of Approach), Rating

Factor 1 (Capacity and Experience),

Rating Factor 5 (Comprehensiveness

and Coordination), Rating Factor 4

(Leveraging of Resources).

(B) Categories of Grants. HUD will

make grants in three categories:

(1) Category 1 Grants. Grants for new

applicants that have not previously

received funding under the Youthbuild

program since the inception of the

Program and that have elected not to

apply under Category 2 or 3 Grants,

below. HUD will make available

approximately $10,000,000 to new

applicants proposing grant(s) of

$400,000 or less for activities not to

exceed 36 months.

(2) Category 2 Grants. HUD will make

available approximately $32,925,000 to

applicants proposing grant(s) of

$500,000 or less for activities not to

exceed 36 months.

(3) Category 3 Grants. HUD will make

available $10,000,000 for applicants

proposing grant(s) of $400,000 or less to

establish programs in underserved and

rural areas not to exceed 36 months.

Rural and Underserved areas are

defined as follows:

(a) Rural Area. A Rural area is defined

in one of five ways:

(i) A place having fewer than 2,500

inhabitants (within or outside of

metropolitan areas).

(ii) A county with no urban

population of 20,000 inhabitants or

more.

(iii) Rural portions of extended cities,

as identified by the U.S. Census Bureau.

(iv) Open country which is not part of

or associated with an urban area. The

United States Department of Agriculture

(USDA) describes ‘‘open country’’ as a

site separated by open space from any

adjacent densely populated urban area.

Open space includes undeveloped land,

agricultural land or sparsely settled

areas but does not include physical

barriers (such as rivers and canals),

public parks, commercial and industrial

developments, small areas reserved for

recreational purposes, and open space

set aside for future development.

(v) Any place with a population not

in excess of 20,000 and not located in

a Metropolitan Statistical Area.

(b) Underserved Area. An

underserved area is defined as an area

comprised of census tracts with the

following distress criteria:

(i) A census tract where the

unemployment remains high (50

percent or more above the nation’s

unemployment rate) and

(ii) A census tract where high rates of

poverty (50 percent or more above the

national average) persists.

(C) Grant Period. You must expend

funds awarded within 36 months of the

effective date of the grant agreement, or

such other period specified.

(D) Maximum Awards. Under the

competition established by this

Youthbuild Program section of the

SuperNOFA, the maximum award for a

Youthbuild grant is $500,000. HUD will

not make amendments to awards under

this competition that will increase

previously approved grant amounts.

(E) Potential Environmental

Disqualification. HUD reserves the right

to disqualify an application where one

or more environmental thresholds are

exceeded if HUD determines that it

cannot conduct the environmental

review and satisfactorily complete the

review within the HUD application

review period. (See 24 CFR 585.307.)

Environmental thresholds are explained

in Appendix A of this program section

of this SuperNOFA. Complete form

2C13a, 2C13b, or 2C13c and form 2C15

only if you are proposing to use

Youthbuild funds for new housing

construction or rehabilitation.

(F) Notification of Approval or

Disapproval. HUD will notify you

whether or not you have been selected

for an award. If you are selected, HUD’s

notice to you of the amount of the grant

award based on the approved

application will constitute HUD’s

preliminary approval, subject to

negotiation and execution of the grant

agreement by HUD.

(G) Factors for Award Used To

Evaluate and Rate Applications.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (15 Points)

This factor addresses the extent to

which you have the resources necessary

to successfully implement the proposed

young adult education and training

program in accordance with your work

plan as further described in Factor 3.

HUD will review and evaluate

information provided documenting

recent capacity. Experience within the

last 5 years will be considered recent. In

reviewing this rating factor, HUD will

review the following categories:

(1) (5 points) Team Member

Composition and Experience. Your

experience and the experience of your

project director, core staff competencies

including your day-to-day program

manager, consultants and contractors.

You must demonstrate that your

program manager has the background,

experience and capacity to implement

all of the program components of the

proposed work plan, as evidenced by

recent work experience (within the last

5 years) in managing projects of the

same or similar size, dollar amount,

types of activities and beneficiaries as

those proposed in your work plan. If

any gaps exist in your experience or

organizational structure to carry out the

program, describe how you will fill

those gaps including the hiring of

consultants or other outside parties.

(2) (5 points) Organizational

Structure. The structure of your

organization, management structure,

including reporting relationships of key

staff, a system for coordinating with

outside contractors or third party

service providers, a mechanism for an

internal and external auditing

relationships, and an accounting system

which meets Federal accounting system

requirements. You should provide a

clear description of how your

organizational structure will operate to

carry out your work plan.

(3) (5 points) Relevant Experience.

The objectives and accomplishments of

your past experience in conducting

similar activities. You must describe

your past project objectives and

accomplishments which are similar to

those of your proposed work plan to

show your effectiveness and timeliness

in managing similar projects. If you

have received similar grants including

previous Youthbuild grants, you must

describe your effectiveness of your

administration including timeliness and

completeness of your compliance in

completing reporting requirements and

your ability to have resolved problems

which presented themselves during the

grant period. In addressing timeliness of

reports, you must compare when your

reports were due with when they were

actually submitted. You must describe

your achievements, including those of

previous Youthbuild grants, of specific

measurable outcome objectives. Specific

outcome objectives include: number of

youth recruited, trained and received

GEDs; number of youth obtaining living

wage jobs, (i.e. those that are a part of

a career path or apprenticeship

programs), number of youth

participating in apprenticeships and

number of housing units rehabilitated or

constructed and made available for low

and moderate income persons.

HUD will evaluate this Factor based

upon your response including letters of

commitment from all participating

entities for any staffing or other

resources to be contributed to the

project. The more recent, relevant, and

successful the experience of the

proposed team members, organization

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and other participating entities in

relation to the work plan, the greater the

number of points that you will receive.

Applicants that can demonstrate a

closer and greater linkage between the

expected outcomes and the previously

generated outcomes will also receive a

higher amount of points for this Factor.

Rating Factor 2: Need/Extent of the

Problem (40 Points)

This Factor addresses the extent to

which there is need for funding the

proposed activities based on levels of

distress, and an indication of the

urgency of meeting the need/distress in

the applicant’s target area. In

responding to this Factor, applications

will be evaluated on the extent to which

the level of need for the proposed

activity and the urgency in meeting the

need are documented and compared,

vis-a-vis, the target area, the county and

national data.

(1) In applying this Factor, HUD will

consider current levels of distress for

the following areas affected by the

project: first, in the area (i.e., Census

Tract(s) or Block Groups) immediately

surrounding the project site or the target

area to be served by the proposed

project; second, in the county in which

the project is to be located, and third, in

the nation. This means that an

application that provides data that show

levels of distress in the target area

expressed as a percent greater than the

national average, will be rated higher

under this Factor.

Notwithstanding the above, an

applicant proposing a project to be

located outside the target area could still

receive points under the Distress Factor

if a clear, rationale and linkage is

provided linking the proposed project

location and the benefits to be derived

by persons living in more distressed

area(s) of the applicant’s target area.

(2) Applicants should provide data

that address indicators of distress, as

follows:

(a) Poverty (15 points)—data should

be provided in both absolute and

percentage form (i.e., whole numbers

and percents) for both the target area(s)

and the county; an application that

compares the local poverty rate in the

following manner to the national

average at the time of submission will

receive points under this section as

follows:

(1) Equal to but less than twice the

national average—5 points

(2) Twice but less than three times the

national average—10 points

(3) Three or more times the national

average—15 points

(b) Unemployment (10 points)—for

both the project area and county;

(1) Equal to but less than twice the

national average—2 points

(2) Twice but less than three times the

national average—4 points

(3) Three but less than four times the

national average—6 points

(4) Four but less than five times the

national average—8 points

(5) Five or more times the national

average—10 points

(c) High School Dropouts (10

points)—for both project area and

county;

(1) Equal to but less than twice the

national average—2 points

(2) Twice but less than three times the

national average—4 points

(3) Three but less than four times the

national average—6 points

(4) Four but less than five times the

national average—8 points

(5) Five or more times the national

average—10 points

(d) Other Indicators of social and/or

economic decline that best capture the

applicant’s local situation (5 points)—

examples that could be provided under

this section are information on the

community’s stagnant or falling tax

base, including recent commercial or

industrial closings, housing conditions,

such as the number and percentage of

substandard and/or overcrowded units,

rent burden (defined as average housing

cost divided by average income) for both

the target area and county, urgency in

addressing problems facing youth, local

crime statistics, etc.

(3) In rating applications under this

Factor, HUD reserves the right to

consider sources of available objective

data other than, or in addition to, those

provided by applicants, and to compare

such data to those provided by

applicants and local crime statistics for

both the project site and the county, etc.

HUD requires use of sound and

reliable data (e.g., U.S. Census data,

State statistical reports, university

studies/reports that are verifiable) to

support distress levels cited in each

application. A source for all information

along with the publication or

origination date must also be provided.

Updated Census data are available as

follows for the listed indicators:

(a) Unemployment rate—estimated

monthly for counties, with a two-month

lag;

(b) Population—estimated for

incorporated places and counties,

through 1999;

(c) Poverty rate—estimated every two

years, with a three-year lag, with 1997

data being the most recent available.

Rating Factor 3: Soundness of

Approach (25 Points)

Youthbuild Program Work Plan. This

factor addresses the quality and costeffectiveness of your proposed work

plan. There must be a clear relationship

between your proposed activities,

community needs and the purpose of

the Youthbuild program. HUD will

consider the overall quality and

feasibility of your proposed work plan

and budget which must be consistent

with the Youthbuild program as

measured by your specific activities and

outcomes. HUD is also interested in

applicants becoming self-sustaining so

that activities can continue in the future

without relying on further assistance

from the Department.

Specifically, HUD will consider the

following categories when assessing

your proposed work plan:

(1) (10 points) Program components.

(a) Outreach, recruitment and

selection activities. HUD will determine

the extent to which you demonstrate a

clear linkage with the following work

plan activities and proposed outcomes

and results. Points will be awarded

based upon overall quality and

feasibility of the outreach, recruitment

and selection activities, the number and

types of outreach activities, number of

youth to be recruited including eligible

participants who are harder to reach and

comprehensiveness of the local

selection process.

Letters describing specific resources

or services to be contributed by nonapplicant organizations must be

included in your application. In

evaluating this category, HUD will

consider:

(i) Specific steps you will take 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 you will

make to recruit eligible young women,

young women with dependent children,

and persons receiving public assistance;

and

(iii) Recruitment arrangements you

have made with public agencies, courts,

homeless shelters, local school systems,

local workforce development systems

and one-stop centers, community-based

organizations, etc. You will receive a

greater number of points if your

outreach and recruitment arrangements

are consistent with the purpose of the

Youthbuild program and your project

goals and the resources provided.

(b) Educational and job training

services and activities. HUD will

evaluate the extent to which you

demonstrate a clear linkage with the

following work plan activities and

proposed outcomes and results.

Letters describing specific resources

or services to be contributed by nonapplicant organizations must be

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12061

included in your application. Points

will be awarded based upon the quality

and feasibility of your proposed

curriculum, qualifications of instructors

and proposed wages and stipends for

youth participants. In evaluating this

category, HUD will consider:

(i) The types of in-class academic and

vocational instruction you will provide;

(ii) The number and qualifications of

program instructors and ratio of

instructors to participants;

(iii) Scheduling plan for classroom

and on-the-job training needed to meet

program requirements and ensure

timely completion of your program; and

(iv) Reasonable payments of

participants’ wages, stipends, and

incentives. You will receive a greater

number of points if your educational

and job training services are consistent

with the purpose of the Youthbuild

program and your project goals and the

resources provided.

(c) Leadership development. HUD

will determine the extent to which you

demonstrate a clear linkage with work

plan activities and proposed outcomes

and results. Letters describing specific

resources or services to be contributed

by non-applicant organizations must be

submitted in your application. Points

will be awarded based upon the quality

and feasibility of your proposed

leadership curriculum, qualifications of

instructors and the impact of the

proposed leadership activities on the

target area. You must describe the

leadership development training you

will offer to participants, and strategies

for providing the training to build group

cohesion and peer support. You will

receive a greater number of points if

your leadership development activities

are consistent with the purpose of the

Youthbuild program and your project

goals and the resources provided.

(d) Support services. HUD will

determine the extent to which you

demonstrate a clear linkage with work

plan activities and proposed outcomes

and results.

Letters describing specific resources

or services to be contributed by nonapplicant organizations must be

included in your application. Points

will be awarded based upon the quality

and feasibility of your proposed support

services strategy and stipends for youth

participants. You must assess the need

for counseling and referral services

during each stage of program

implementation: outreach, recruitment,

youth interviewed and not selected for

the program, program participants,

youth who drop out of the program and

graduates of the program. Describe how

the participant needs will be addressed,

document counseling and referral

services to be offered to participants, the

type of counseling, social services, and/

or need-based stipends you will

provide. You will receive a greater

number of points if your support service

activities are consistent with the

purpose of the Youthbuild program and

your project goals and the resources

provided.

(e) Follow-up assistance and support

activities to program graduates. HUD

will evaluate the extent to which you

provide assistance to Youthbuild

program participants after graduation.

Letters describing specific resources or

services to be contributed by nonapplicant organizations must be

included in your application. Points

will be awarded based upon the quality

and feasibility of your proposed

strategy. You must describe the type of

proposed assistance and support which

should be based upon an assessment of

the needs of the program graduates and

should include continued linkage to the

local Youthbuild program, counseling

and social service referral services. You

will receive a greater number of points

if your follow-up assistance and support

service activities to program graduates

are consistent with the purpose of the

Youthbuild program and your project

goals and the resources provided.

(f) On-site training. HUD will evaluate

the extent to which the work plan

provides for quality and comprehensive

on-site construction training by

addressing the categories below. Letters

describing specific resources or services

to be contributed by any non-applicant

organizations must be included in your

application. Points will be awarded

based upon the quality and feasibility of

your proposed curriculum, experience

of proposed instructors, number of

youth to be trained and wages or

stipends for youth participants. HUD

will consider:

(i) The housing construction or

rehabilitation activities participants will

undertake at the site(s) to be used for the

on-site training component of the

program as provided in the training

curriculum and methodology for

carrying out on-site training;

(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, wages, and/or

stipends you will pay to participants

during on-site work. You will receive a

greater number of points if your on-site

training plan is consistent with the

purpose of the Youthbuild program and

your project goals and the resources

provided.

(2) (5 points) Strategy for job

placement. HUD will evaluate the

quality and feasibility of your proposed

strategy to place youth participants in

permanent jobs.

Letters describing specific resources

or services to be contributed by nonapplicant organizations must be

included in your application. You will

be rated on the following factors: (a)

proposed number of youth to obtain a

living wage job (i.e. those that a part of

career paths or apprenticeship

programs); (b) proposed number of

youth continuing on to be enrolled in

post or secondary education; (c)

proposed number of youth to receive

entrepreneurship training; (d) proposed

placement of youth in apprenticeships.

Two points of this factor will be

awarded based upon the

comprehensiveness and feasibility of

your strategies and procedures to place

youth participants in related

apprenticeships and commitments from

construction trade unions. You will

receive a greater number of points if

your strategy for job placement is

consistent with the purpose of the

Youthbuild program, your proposed

project and the resources provided.

(3) (10 points) Expected outcomes.

Describe the number of youth to be

trained and the number of housing units

to be rehabilitated or constructed. As a

part of this evaluation, HUD will assess

the cost effectiveness of your stated

outcomes as compared to the funds that

you are requesting in the Youthbuild

Grant Budget. You will receive a greater

number of points if your proposed

outcomes are consistent with the

purpose of the Youthbuild program,

your proposed project and the resources

provided.

Rating Factor 4: Leveraging Resources

(15 Points)

This factor addresses the ability of the

applicant to secure non-HUD resources.

This factor measures the extent to which

you have established partnerships with

other entities to secure resources for

your proposed program. Each

commitment described in the narrative

for this Factor must have a firm

commitment letter.

HUD will evaluate the extent to which

firm commitment of resources are

obtained from Federal, State, local, and

private and nonprofit sources in an

amount of at least 50% of the

Youthbuild budget. The greater the

amount of resources leveraged, the

higher the points that will be awarded.

In assigning points for this criterion,

HUD will consider the level of nonapplicant resources obtained for cash or

12062 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

in-kind contributions to cover the

following kinds of areas:

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

and training);

(2) Use of existing vocational, adult,

and bilingual educational courses;

(3) Donation of labor, resource

personnel, supplies, teaching materials,

classroom, and/or meeting space;

(4) Hard costs for rehabilitation and

construction;

(5) Other commitments.

In rating this element, HUD will

consider only those contributions for

which current firm commitments have

been provided. HUD will evaluate the

level of non-applicant resources

proposed based on their importance to

the total program. Leveraging will only

be counted if you have secured a firm

financial commitment. A firm

commitment letter means the agreement

by which an applicant’s partner or

contributing entity agrees to perform an

activity specified in the application and

demonstrates the financial capacity to

deliver the resources necessary to carry

out the activity, and commits the

resources to the activity either in cash,

through in-kind services or

contributions and is irrevocable, subject

only to approval and receipt of a FY

2001 Youthbuild grant. Each letter of

commitment should include the

organization’s name, the applicant’s

name, the proposed program, the

proposed total level of commitment and

responsibilities as they relate to the

proposed program. The commitment

must also be signed by an official of the

organization legally able to make

commitments on behalf of the

organization and not earlier than the

date that this NOFA is published. In

documenting a firm commitment, the

applicant’s partner or contributing

entity must:

(i) Specify the authority by which the

commitment is made, the amount of the

commitment and the use of funds. If the

committed activity is to be selffinanced, the applicant’s partner or

contributing entity must evidence its

financial capability through a corporate

or personal financial statement or other

appropriate means. If any portion of it

is to be financed through a lending

institution, the participant must

evidence the institution’s commitment

to fund the loan;

(ii) State the amount and use of the

commitment, and the relationship of the

commitment to the proposed

investment; and

(iii) Affirm that its investment is

contingent only upon receipt of FY 2001

Youthbuild funds and state a

willingness on the part of the signatory

to sign a legally binding commitment

(conditioned on HUD environmental

review and approval of a property,

where applicable) upon award of the

grant.

Resources from other Federal, State,

Local governments or Private Entities.

HUD encourages use of existing housing

and homeless assistance programs

administered by HUD or other Federal,

State, local governments, or private and

nonprofit housing programs as part of

your Youthbuild program. In addition,

HUD encourages use of other nonYouthbuild funds available for

vocational, adult, and bilingual

education programs or for job training

under the Workforce Investment Act

and the Personal Responsibility and

Work Opportunity Reconciliation Act of

1996.

The greater the number of resources

leveraged for each of the categories

presented below, the applicant will

receive a greater number of points.

(1) (8 points) Public sector sources—

Federal, State, or local government

sources to provide resources to carry out

Youthbuild activities.

(2) (7 points) Private or nonprofit

sector sources to provide resources to

carry out Youthbuild activities.

Rating Factor 5: Comprehensiveness

and Coordination (5 Points)

HUD will evaluate the extent to which

you:

(1) Have coordinated among third

parties dealing with youth issues

including community based

organizations and partners that provide

assistance as you prepared your

proposal and Work Plan. Indicate your

success in actively participating in the

Consolidated Planning process, the

Public Housing Authority Five Year

Comprehensive Plan process, local

Workforce Investment Board Youth

Council and other information

networks; and

(2) Will maintain your coordinating

efforts over the grant period.

The more comprehensive, relevant

and successful your coordination

activities conducted to date and those

projected for the future, the greater

points you will receive for this Factor.

VI. Application Submission

Requirements

(A) Site Access Submission

Requirements. You must submit a

schedule for the program, budgets,

identification of specific housing sites,

and firm evidence of site access.

(1) Guidance on evidence of site

access:

(i) If the applicant or joint applicant

have a contract or option to purchase

the property, you should provide a

statement to that effect and include a

copy of the contract or option;

(ii) If a third party owns the property

or has a contract or option to purchase,

that third party must provide a letter to

you stating the nature of the ownership

and specifically providing you with

access to the property for the purposes

of the program and the time frame in

which the property will be available. In

the case of a contract or option, include

a copy of the document; and

You must provide the required

certification that the proposed activities

are consistent with the HUD-approved

Consolidated Plan in accordance with

24 CFR part 91 and referenced in

Section II of the General Section of the

SuperNOFA.

(B) Category 3 applicants only. You

must state that the proposed project to

be established will be located in an

underserved or rural area as defined in

Section (V)(B)(3) of this notice.

(C)) Application Items. Your

application must contain the items

listed in this Section VI(C). These items

include the standard forms,

certifications, and assurances listed in

the General Section of the SuperNOFA

that are applicable to this funding

(collectively, referred to as the

‘‘standard forms’’). The standard forms

can be found in Appendix B to the

General Section of the SuperNOFA. The

remaining application items that are

forms (i.e., excluding such items as

narratives, letters), referred to as the

‘‘non-standard forms’’ can be found as

Appendix B to this program section of

the SuperNOFA. The items are as

follows:

(1) SF–424, Application for Federal

Assistance.

(2) HUD–424M, Federal Assistance

Funding Matrix.

(3) SF–424A, Budget Information for

Non-Construction Programs.

(4) SF–424B, Assurances for

Construction Programs.

(5) SF–424C, Budget Information for

Construction Programs.

(6) HUD–50070, Certification of DrugFree Workplace.

(7) HUD–2880, Applicant/Recipient

Disclosure/Update Form.

(8) HUD–50071, Certification of

Payments to Influence Certain Federal

Transactions;

(9) SF–LLL, Disclosure of Lobbying

Activities (if applicable);

(10) HUD–2992, Certification

Regarding Debarment and Suspension;

(11) Letters from property owners

allowing access to the housing site for

construction training.

(12) Submission of 501(c)(3) status

and/or letter certifying non-profit status

if the applicant is a public non-profit

organization.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12063

(13) Narrative Response to Factors for

Award.

Factor 1—Capacity

Factor 2—Need

Factor 3—Soundness of Approach,

including the following non-narrative

items: (a) completed Youthbuild Grant

Budget (Exhibit 4A), (b) housing site

description (Exhibit 2C), (c) Youthbuild

Grant individual housing site estimate

(Exhibit 2C10), (d) letters from nonapplicant resource providers describing

contributions or support, (e)

documentation necessary to complete

environmental review (Exhibit 2C15),

and description of relocation, if

applicable.

Factor 4—Leveraging, including your

letters(s) evidencing the leveraged

commitment(s), which will not be

counted in the 15 page limitation.

Factor 5—Coordination, include

HUD–2991, Certification of Consistency

with the Consolidated Plan.

(14) HUD–2990, Certification of

Consistency with the EZ/EC Strategic

Plan (if applicable);

(D) The total narrative response to all

factors identified in Section VI(C)(13) of

this program NOFA must not exceed 15

pages, and must be submitted on 8.5′′ by

11′′ paper, using a 12 point size, with

lines double spaced and printed only on

one side. Please note that submitting

pages in excess of the page limit will not

disqualify your application. However,

HUD will not review or consider the

information on any excess pages, which

may result in a lower score or failure to

meet a threshold.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

Environmental procedures apply to

HUD approval of grants when you

propose to use Youthbuild funds to

cover any costs for the lease,

acquisition, rehabilitation, or new

construction of real property proposed

for housing project development.

Environmental procedures do not apply

to HUD approval of your application

when you propose to use your

Youthbuild funds solely to cover costs

for classroom and/or on-the-job

construction training and support

services.

If you propose to use your Youthbuild

funds to cover any costs of the lease,

acquisition, rehabilitation, or new

construction of real property, you must

submit all relevant environmental

information in your application to

support HUD decision making in

accordance with the environmental

procedures and standards set forth in

HUD Regulation 24 CFR 585.307.

IX. Authority

This program is authorized under

subtitle D of title IV of the CranstonGonzalez National Affordable Housing

Act, as added by section 164 of the

Housing and Community Development

Act of 1992 (Pub.L. 102–550, 106 Stat.

3723, 42 U.S.C. 12899). The Youthbuild

Program regulations are found in 24

CFR part 585.

Appendix A—Instructions for

Completion of Youthbuild

Environmental Requirements (Exhibit

2C(15))

A. Instructions to Applicants

1. If you propose to use Youthbuild

funds to cover any costs of the lease,

acquisition, rehabilitation, or new

construction or real property, you shall

submit all relevant environmental

information in your application to

support HUD decision making in

accordance with the environmental

procedures and standards set forth in 24

CFR 585.307. For each proposed

Youthbuild property for which HUD

environmental procedures apply, you

are to prepare a separate Exhibit 2C(15)

in which you supply HUD with

environmental threshold information

and letters from qualified data sources

(see definition below) which support

the information. HUD will review your

submission and determine how, if

necessary, HUD will comply with any

Federal laws and authorities that may be

applicable to your property proposed for

Youthbuild funding. If environmental

procedures apply and Exhibit 2C(15)

with supporting documentation is not

included then the application will be

deemed ineligible.

You are to follow these instructions

for preparing Exhibit 2C(15). The

instructions advise you on how to

obtain and document certain

information to be supplied to HUD in

this exhibit. Before selecting a property

for Youthbuild funding, you should

read these instructions and be advised

that HUD encourages you to select, to

the extent practicable, properties and

locations that are free of environmental

hazards and problems discussed in

these instructions. The responses to the

environmental criteria in Exhibit 2C(15)

will be used to determine

environmental approval or disapproval

by HUD of proposals for physical

development of properties.

2. After selecting a property for

proposed Youthbuild funding, you are

to determine the activities to be

undertaken with your Youthbuild

funds. You are to indicate in Section E

whether the Youthbuild funds will be

used for:

(a) Lease or purchase of a property;

(b) Minor rehabilitation or

(c) Major rehabilitation; or

(d) New construction of housing.

The activities proposed for

Youthbuild funding will determine the

kind of data that you will need to obtain

from a qualified data source in order to

complete Exhibit 2C(15).

3. Once you have selected a property

and determined the activities for

Youthbuild funding, you are advised to

check with your city or county agency

that administers HUD’s Community

Development Block Grant program and

performs environmental reviews, or the

local planning agency. The reason is

that most, if not all, the data needed for

preparing Exhibit 2C(15) is readily

available from the local community

development agency and the local

planning agency. You are advised to ask

the environmental staff of those

agencies the following:

(a) Has the agency ever prepared an

environmental review of the proposed

Youthbuild property or the

neighborhood in which the property is

located, and if so, would it provide a

copy to the applicant for use by HUD;

(b) Would the agency assist you in

completing section G; or if the agency is

not able to help complete any item in

section G, would the agency advise you

which local or State agency is the

appropriate qualified data source for

obtaining the information.

Also, you should check with the local

planning agency before proceeding

elsewhere for the information.

You are advised that the cost of

preparing information and analyses

needed for Exhibit 2C(15) is an eligible

cost under the Youthbuild program and

is reimbursable if you are approved for

a grant.

4. The following definitions are of key

terms used in these instructions. Most of

the other terms are technical and their

definition would be known to qualified

data sources.

(a) Qualified data source means any

Federal, State or local agency with

expertise or experience in

environmental protection (e.g., the local

community development agency; the

land planning agency; the State

environmental protection agency; the

State Historic Preservation Officer) or

any other source qualified to provide

reliable information on the particular

subject. A letter supporting the

information from each qualified data

source is to be attached to Exhibit

2C(15).

12064 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(b) Minor rehabilitation means

proposed fixing and building repair:

(i) Where the estimated cost of the

work is less than 75 percent of the

property value after completion;

(ii) That does not involve changes in

land use from residential to

nonresidential, or from nonresidential

to residential;

(iii) That does not involve the

demolition of one or more buildings, or

parts of a building, containing the

primary use served by the project; and

(iv) That does not increase unit

density by more than 20 percent.

For minor rehabilitation of a building

located in a floodplain, the criteria for

substantial improvement modify this

definition. (See Item B 3 below)

(c) Major rehabilitation means

proposed fixing and building repair:

(i) Where the estimated cost of the

work is 75 percent or more of the

property value after completion; or

(ii) That involves changes in land use

from residential to nonresidential, or

from nonresidential to residential; or

(iii) That involves the demolition of

one or more buildings, or parts of a

building, containing the primary use

served by the project; or

(iv) That increases unit density by

more than 20 percent.

(d) Multifamily housing means any

residential building that contains five or

more apartments or rooming units.

(e) Single-family housing means any

residential building that contains oneto-four dwelling units.

Because each Federal environmental

law or authority has compliance

requirements that differ according to the

type of proposed activity to be funded,

you are required to supply information

in Exhibit 2C(15) only for the type of

activity for which the Youthbuild grant

will be used.

(a) If you propose new construction or

major rehabilitation of multifamily

housing, you must supply complete and

reliable environmental threshold

information for items 1 through 13 in

section G.

(b) If you propose new construction of

single family housing, you must supply

complete and reliable environmental

threshold information for items 1

through 12 in section G.

(c) If you propose minor rehabilitation

of multifamily or single-family housing,

or the purchase or lease of a property,

you must supply complete and reliable

environmental threshold information for

items 1 through 7 in section G.

5. Applicants subject to HUD’s

environmental procedures are to submit

Exhibit 2C(15) and accompanying

documentation to HUD with the

applications for grant assistance. Such

applicants are prohibited from

committing or expending State, local or

other funds to undertake property

rehabilitation, construction (including

demolition), or acquisition (including

lease), until HUD and the grantee

execute a grant agreement for the

proposed Youthbuild project.

6. HUD reserves the right to disqualify

any application where one or more

environmental thresholds are exceeded

if HUD determines that the compliance

review cannot be conducted and

satisfactorily completed within the HUD

review period for Youthbuild

applications.

B. Environmental Threshold and

Documentation Requirements

The threshold and documentation

requirements for each of the Federal

environmental laws and authorities are

described below, following the same

order as they appear in section G.

1. Site within designated coastal

barrier resources: Threshold:

Youthbuild applicants are prohibited by

Federal law from using Federal financial

assistance for properties, if the

properties are located within designated

coastal barriers of the Atlantic Ocean,

Gulf of Mexico, and the Great Lakes

(Coastal Barrier Resources Act, as

amended, 16 U.S.C. 3501).

*Documentation: You are to select

either A or B for the condition that best

describes the property and report the

option selected in item 1 of section G.

A. You state that your program

operates in a community that does not

contain any shores along the Atlantic

Ocean, the Gulf of Mexico, or the Great

Lakes.

B. If your program operates in a

community that does contain shores

along the Atlantic Ocean, the Gulf of

Mexico, or the Great Lakes, you must

provide HUD with a finding made by a

qualified data source stating that the

proposed property is not located within

a designated coastal barrier resource by

citing the map panel number of the

official maps issued by the Department

of the Interior (DOI) on the basis of

which the finding was made.

2. Site contaminated with toxic

chemicals and radioactive materials:

Threshold: Under HUD policy, as

described in HUD Notice 79–33 (Policy

Guidance to Address the Problems

Posed by Toxic Chemicals and

Radioactive Materials), HUD will not

approve the provision of financial

assistance to residential properties

located on contaminated sites. Sites

known or suspected to be contaminated

by toxic chemicals or radioactive

materials include but are not limited to

sites: (i) listed on either an EPA

Superfund National Priorities List (NPL)

or CERCLA (Comprehensive

Environmental Response,

Compensation, and Liability Act) List,

or equivalent State list; (ii) located

within 3,000 feet of a toxic or solid

waste landfill site; or (iii) with an

underground storage tank (which is not

a residential fuel tank).

*Documentation: You are to select

either A or B for the condition that best

describes property and report the option

selected in item 2 of section G.

A. You are providing HUD with a

finding made by a qualified data source

stating that the proposed Youthbuild

property and any neighboring properties

do not contain any sites known or

suspected to be contaminated with toxic

chemicals and radioactive materials.

B. You are providing any site

contamination data by a qualified data

source in your letter for HUD’s

evaluation of contamination and/or

suspicion of any contamination of a

proposed property or any neighboring

properties.

3. Site affecting a floodplain:

Threshold: A property located within a

floodplain and proposed for funding is

subject to Executive Order 11988,

Floodplain Management. The Executive

Order directs HUD to avoid, where

practicable, proposed financial support

for any floodplain property, whenever

HUD has options to approve properties

in flood-free locations. The Order does

not apply to existing single-family

properties proposed for purchase or

lease except for: (i) Property that is

located within a floodway or coastal

high hazard area; and (ii) substantial

improvement. Substantial improvement

for flood hazard purposes means any

property rehabilitation which: (a)

Increases the unit density of the

property; or (b) equals or exceeds 50

percent of the market value of the

property before rehabilitation, but

excluding the costs for correcting

health, sanitary, and safety code

violations. Note: Proposed funding for

substantial improvement and new

construction are subject to the Executive

Order decision making process. This

may result in a disqualification of your

application (refer above to number 7

under ‘‘Instructions to Applicants’’).

*Documentation: You are to select A

or B for the condition that best describes

your property and report the option

selected in item 3 of section G.

A. You are providing HUD with a

finding made by a qualified data source

stating that the property is not located

within the Special Flood Hazard Area

(SFHA).

B. You are providing HUD with a

finding made by a qualified data source

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12065

that the property is located within the

Special Flood Hazard Area (SFHA) and

indicating if whether the property is

located within a floodway or coastal

high hazard area.

The information for A and B must

provide HUD with the flood map panel

number obtained either from the official

maps issued for the National Flood

Insurance Program or from the property

appraisal report used to make the

finding.

For all proposed rehabilitation of

properties that are located within a

SFHA, you must provide HUD with

estimates of: (i) The property value

before rehabilitation, and (ii) the cost of

the proposed rehabilitation. Provide the

estimates in section F.

If the property is found to be located

within a SFHA, proceed to item 4 on

flood insurance protection. Otherwise

proceed to item 5.

4. Building requiring flood insurance

protection: Threshold: HUD will

estimate the amount and period of flood

insurance coverage that is to be made a

condition of approval of any HUD

financial assistance for a building

located within a Special Flood Hazard

Area (SFHA). The Flood Disaster

Protection Act of 1973 requires owners

of HUD-assisted buildings to purchase

and maintain flood insurance protection

as a condition of approval of any HUD

financial assistance for the proposed

purchase, rehabilitation, or new

construction of any SFHA building. The

law prescribes the coverage period and

dollar amount of flood insurance

protection.

Proof of Purchase of Flood Insurance

Protection: You must provide HUD with

proof of purchase of flood insurance

protection for any proposed Youthbuild

building located within the SFHA,

whenever HUD funding is being used

for property purchase, rehabilitation, or

new construction. The standard

documentation for compliance is the

Policy Declarations form issued by the

National Flood Insurance Program

(NFIP) or issued by any property

insurance company offering coverage

under the NFIP. Whenever the

requirement applies to coverage which

extends to future years, the grant

agreement will require that the insured

has its insurer automatically forward to

HUD, in the same manner as to the

insured, an information copy of the

Policy Declarations form, which is used

to verify compliance. The Youthbuild

applicants responsibility ceases in cases

where a mortgage loan is approved

requiring flood insurance as condition

of loan approval by a lender (other than

the Youthbuild applicant), whose

responsibility is to assure flood

insurance coverage for the loan.

*Documentation: You are to select

either A or B for the condition that best

describes your property and report the

option selected in item 4 of section G.

A. You already own the property and

attach a copy of the Policy Declarations

form confirming that a current flood

insurance policy is in effect and the

policy provides adequate coverage for

the building proposed for the

Youthbuild project located within the

Special Flood Hazard Area.

B. After you have purchased (or

constructed, in the case of proposed

new construction) the Youthbuild

property, you must obtain and maintain

flood insurance protection. For the term

and amount of coverage prescribed by

law, you must provide HUD with a copy

of the Policy Declarations form

confirming that the flood insurance

policy is in effect and the policy

provides adequate coverage for the

Youthbuild building located within the

Special Flood Hazard Area.

5. Site within clear zones or accident

potential zones of airports and airfields:

Threshold: HUD policy as described in

24 CFR part 51, subpart D applies to

HUD approval of financial assistance to:

(a) properties located within clear

zones; and (b) in the case of new

construction or major rehabilitation,

properties located within accident

potential zones.

(a) Clear zones: New construction and

major rehabilitation of a property that is

located on a clear zone site is

prohibited. HUD financial assistance in

a clear zone is allowed only for the

proposed lease, purchase, or minor

rehabilitation of properties (24 CFR

51.302(a)). For HUD funding approval

for any property in a clear zone: (a) HUD

will give advance written notice to the

prospective property buyer in accord

with 24 CFR 51.303(a)(3); and (b) a copy

of the HUD notice signed by the

prospective property buyer will be

placed in the property file. The written

notice informs the prospective property

buyer of: (i) The potential hazards from

airplane accidents which studies have

shown more likely to occur within clear

zones than in other areas around the

airport/airfield; and (ii) the potential

acquisition by airport or airfield

operators, who may wish to buy the

property at some future date as part of

a clear zone acquisition program.

(b) Accident potential zones: For

properties located within the accident

potential zone (APZ), HUD shall

determine whether the use of the

property is generally consistent with

Department of Defense ‘‘Land Use

Compatibility Guidelines for Accident

Potential Zones.’’

*Documentation: You are to select

either A or B for the condition that best

describes your property and report the

option selected in item 5 of section G.

A. The property is not located within

3,000 feet of a civil airport or military

airfield.

B. If your property is located within

3,000 feet of a civil airport or military

airfield, you must provide HUD with a

finding from the airport operator stating

whether or not the property is located

within a runway clear zone at a civil

airport, or a clear zone or accident

potential zone at a military airfield.

For properties that are located within

a runway clear zone or a clear zone or

accident potential zone, if you propose

to rehabilitate such a property you must

provide HUD with estimates of: (i) The

cost of the proposed rehabilitation, and

(ii) the property value after completion

of the rehabilitation. The estimates are

to be provided in section F.

6. Site is or affects an historic

property: Threshold: Only if a property

is proposed for rehabilitation or new

construction must HUD in consultation

with the State Historic Preservation

Officer (SHPO), and following the

Department of the Interiors Standards

and Guidelines for Evaluation, make a

determination whether the property is:

(a) Listed on or formally determined

to be eligible for listing on the National

Register of Historic Places;

(b) Located within or directly adjacent

to an historic district; or

(c) A property whose area of potential

effects includes an historic district or

property.

Historic properties and districts are

subject by law to special protection and

historic preservation processing which

HUD must perform to comply with the

regulations of the Advisory Council on

Historic Preservation (ACHP: 36 CFR

part 800). Note: If you are using

information from the SHPO as a

qualified data source you need to allow

sufficient time to obtain the information

from the SHPO. You may wish to make

special arrangements with the SHPO for

rapid review of the proposed property

where this is practicable. In addition,

for properties determined to be historic

properties, HUD will require 30 to 90

days in most cases for HUD to perform

historic preservation compliance with

the ACHP regulations. This may result

in a disqualification of the application

(refer above to number 7 under

‘‘Instructions to Applicants’’).

*Documentation: You are to select

one of the following options that best

describes the condition of your property

12066 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

and report the option selected in item 6

of section G.

A. You propose financial assistance

for rehabilitation or new construction,

and are providing HUD with a SHPO’s

finding that the proposed Youthbuild

activity:

1. Is located within an area where

there are no historic properties; or

2. Will have no effect on historic

properties; or

3. Will have an effect on historic

properties not considered adverse.

B. You propose financial assistance

for rehabilitation or new construction,

and are providing HUD with a SHPO’s

finding that the proposed Youthbuild

activity will have an adverse effect on

historic properties.

C. You are providing HUD with a

copy of a letter from the SHPO stating

any reasons for not being able to provide

you with the requested information and

finding.

7. Site near hazardous industrial

operations: Threshold: Properties that

are located near hazardous industrial

operations handling fuels or chemicals

of an explosive or flammable nature are

subject to HUD safety standards (24 CFR

51, Subpart C). However, under the

Youthbuild program, these standards

would apply only if you propose: (i)

Construction of a building; (ii)

conversion of a non-residential land use

to a residential land use including

making habitable a building condemned

for habitation; or (iii) rehabilitation that

increases the density of a residential

structure by increasing the number of

dwelling or rooming units. In the case

of tanks containing common liquid

fuels, the requirement for an acceptable

separation distance (ASD) calculation

only applies to storage tanks that have

a capacity of more than 100 gallons.

*Documentation: You are to select

one of the following options that best

describe the condition of the property,

and report the option selected in item 7

of section G.

A. The proposed project does not

include: (i) Construction of a building;

(ii) conversion of a non-residential land

use to a residential land use including

making habitable a building condemned

for habitation; or (iii) rehabilitation that

increases the density of a residential

structure by increasing the number of

dwelling or rooming units.

B. The proposed project includes: (i)

Construction of a building; (ii)

conversion of a non-residential land use

to a residential land use including

making habitable a building condemned

for habitation; or (iii) rehabilitation that

increases the density of a residential

structure by increasing the number of

dwelling or rooming units; and you are

providing HUD with a finding by a

qualified data source that the proposed

property is not located within the

immediate vicinity of hazardous

industrial operations handling fuel or

chemicals of an explosive or flammable

nature by citing data used and the maps

used.

C. The applicant proposes: (i)

Construction of a building; (ii)

conversion of a non-residential land use

to a residential land use including

making habitable a building condemned

for habitation; or (iii) rehabilitation that

increases the density of a residential

structure by increasing the number of

dwelling or rooming units; and the

grantee provides HUD a finding made

by a qualified data source stating: (1)

That the proposed property is located

within the immediate vicinity of

hazardous industrial operations

handling fuel or chemicals of an

explosive or flammable nature; (2) the

type and scale of such hazardous

industrial operations; (3) the distance of

such operations from the proposed

property; (4) a preliminary calculation

of the acceptable separation distance

(ASD) between such operations and the

proposed property; and (5) a

recommendation as to whether it is safe

to use the property in accord with 24

CFR 51, Subpart C.

8. Site near high noise source:

Threshold: For new construction which

is to occur in high noise areas (i.e.

exceeding 65 decibels), applicants shall

incorporate noise attenuation features to

the extent required by HUD

environmental criteria and standards

contained in Subpart B (Noise

Abatement and Control) of 24 CFR part

51. Approvals in a Normally

unacceptable noise zone require a

minimum of 5 decibels additional

sound attenuation for buildings having

noise-sensitive uses if the day-night

average sound level is greater than 65

decibels but does not exceed 70

decibels, or a minimum of 10 decibels

of additional sound attenuation if the

day-night average sound level is greater

than 70 decibels but does not exceed 75

decibels.

Proposed housing sites with above 75

decibels are unacceptable and the noise

attenuation measures require the

approval of the Assistant Secretary for

Community Planning and Development.

In Unacceptable noise zones, HUD

strongly encourages conversion of noiseexposed sites to non-housing land uses

compatible with the high noise levels.

For major rehabilitation projects

involving five or more dwelling units

located in the ‘‘Normally Unacceptable’’

and ‘‘Unacceptable’’ noise zones, HUD

actively seeks to have project sponsors

incorporate noise attenuation features,

given the extent and nature of the

rehabilitation being undertaken and the

level of exterior noise exposure.

Documentation: You are to select A or

B for the condition that best describes

their project and report the option

selected in item 8 of section G.

A. You are providing HUD with a

finding made by a qualified data source

stating that the property proposed by

the applicant for a major rehabilitation

or new construction project involving

five or more dwelling units is not

located within: (I) 1,000 feet of a major

noise source, road, or highway; (ii)

3,000 feet of a railroad; or (iii) 1 mile of

a civil or 5 miles of a military airfield.

B. The applicant provides HUD with

a finding made by a qualified data

source: (i) stating that the plans for the

property proposed by the applicant for

a major rehabilitation or new

construction project involving five or

more dwelling units will incorporate

noise attenuation features in accord

with HUD environmental criteria and

standards contained in Subpart B (Noise

Abatement and Control) of 24 CFR part

51; (ii) stating whether the property is

located within a ‘‘Normally

Unacceptable’’ or ‘‘Unacceptable’’ noise

zone; and (iii) providing HUD plans and

a statement of the anticipated interior

noise levels.

9. Site affecting coastal zone

management: Threshold: Only for

proposed activities involving new

construction or major rehabilitation of

multifamily housing does the Coastal

Zone Management (CZM) authority

apply. Projects which can affect the

coastal zone must be carried out in a

manner consistent with the approved

State coastal zone management program

under Sec. 307 of the Coastal Zone

Management Act of 1972, as amended.

* Documentation: You are to select

either A or B for the condition that best

describes the project and report the

option selected in item 9 of section G.

A. You state that your project is not

located within a coastal zone, as defined

by the States Coastal Zone Management

Plan.

B. If your project is located within a

coastal zone, you are providing HUD

with a finding made by the State CZM

agency that the project proposed by the

applicant is consistent with the

approved State coastal zone

management program.

10. Site affecting a sole source aquifer:

Threshold: The sole source aquifer

authority applies primarily to activities

involving proposed new construction or

conversion to housing of non-residential

property. Projects which can affect

aquifers designated by the

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Environmental Protection Agency (EPA)

must be reviewed for impact on such

designated aquifer sources. The Safe

Drinking Water Act of 1974 requires

protection of drinking water systems

which are the sole or principal drinking

water source for an area and which, if

contaminated, would create a significant

hazard to public health.

*Documentation: You are to select

either A or B for the condition that best

describes their project and report the

option selected in item 10 of section G.

A. You are providing HUD with a

finding made by a qualified data source

stating that the proposed property is not

located on nor does it affect a sole

source aquifer designated by EPA.

B. If your project proposes new

construction or conversion activities

that are located on or may affect any

sole source aquifer designated by the

EPA, you are identifying the aquifer and

providing HUD with an explanation of

the effect on the aquifer from a qualified

data source, and/or a copy of any

comments on the proposed project that

have been received from the EPA

Regional Office as well as from any

State or local agency with jurisdiction

for protecting the drinking water

system.

11. Site affecting endangered species:

Threshold: The Endangered Species

Protection (ESP) authority applies

primarily to activities involving

proposed new construction or

conversion to housing of a nonresidential property. Projects which can

affect listed or proposed endangered or

threatened species or critical habitats

require consultation with the

Department of the Interior in

compliance with the procedure of

Section 7 of the Endangered Species Act

of 1973, as amended.

*Documentation: You are to select

either A or B for the condition that best

describes the property and report the

option selected in item 11 of section G.

A. If your project proposes new

construction or conversion activities,

you are providing HUD with a finding

made by a qualified data source that the

project is not likely to affect any listed

or proposed endangered or threatened

species or critical habitat. The finding

shall indicate whether the project is

located within a critical habitat, and if

so, explain why the project is not likely

to affect the species or habitat.

B. If your project proposes new

construction or conversion activities

that are likely to affect listed or

proposed endangered or threatened

species or critical habitat, you are

providing HUD with a statement from a

qualified data source explaining the

likely affect, and/or a finding made by

the Fish and Wildlife Service of the

Department of the Interior stating as

acceptable the proposed mitigation that

you will provide to protect any affected

endangered or threatened species or

critical habitat.

12. Site affecting a designated

wetland: Threshold: New construction

or conversion to housing of a nonresidential property located within a

designated wetland is subject to

Executive Order 11990, Protection of

Wetlands. This Executive Order directs

HUD to avoid, where practicable,

financial support for new construction

on wetland property. Note: Proposed

funding for new construction or

conversion is subject to the Executive

Order decision making process. This

may result in a disqualification of the

application (refer above to number 7

under ‘‘Instructions to Applicants’’).

* Documentation: You are to select A

or B for the condition that best describes

the property and report the option

selected in item 12 of section G.

A. You are providing HUD with a

finding made by a qualified data source

stating that the property is not located

within a designated wetland where new

construction or conversion is proposed.

B. You are providing HUD with a

finding made by a qualified data source

that the property is located within a

designated wetland, which applies only

to property where new construction or

conversion is proposed.

The information for A and B must

provide HUD with the wetland panel

number obtained from official maps

issued by the Department of the Interior

on the basis of which the finding was

made, or where DOI has not mapped the

area, a letter or other documentation

from the Army Corps of Engineers or

other Federal agency.

13. Significant impact to the human

environment: Threshold: HUD must

perform an environmental assessment of

any property proposed for major

rehabilitation or new construction

except for a single-family property

having one-to-four dwelling units. It is

the policy of the Department to reject

proposals which have significant

adverse environmental impacts and to

encourage the modification of projects

in order to enhance environmental

quality and minimize environmental

harm. This policy is authorized by the

National Environmental Policy Act

(NEPA) and the implementing

regulations of the Council on

Environmental Quality and HUD’s

Environmental Rule at 24 CFR part 50.

*Documentation: You are to provide

HUD with any information on any

adverse environmental impacts that

affect the property or that the project

would create. You are to report this data

on a separate sheet and attach it to

Exhibit 2C(15). Examples of adverse

impacts are: soil instability and

erodibility; natural or person-made

hazards and nuisances; air pollution;

inadequate infrastructure (e.g., water

supply, waste water treatment, storm

water management, solid waste

collection), inadequate public services

(i.e., fire, police, health care, social

services, schools, parks) and

transportation; and encroachment on

prime farmlands and wild and scenic

river areas. You are to identify any

significant impacts to the human

environment.

Appendix B

The non-standard forms, which follow, are

required for your Youthbuild application.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR

PUBLIC HOUSING RESIDENT

OPPORTUNITIES AND SELF

SUFFICIENCY (ROSS) PROGRAM

Program Overview

Purpose of Program. The purpose of

the Public Housing Resident

Opportunities and Self Sufficiency

(ROSS) Program is to link services to

public housing residents by providing

grants for supportive services, resident

empowerment activities and activities to

assist residents in becoming

economically self-sufficient.

Available Funds. Approximately $55

million.

Eligible Applicants. Public Housing

Agencies (PHAs), resident management

corporations, resident councils, resident

organizations, Intermediary Resident

Organizations (IROs), City-Wide

Resident Organizations (CWROs) and

nonprofit entities supported by

residents. Indian Tribes (Tribes) and

Tribally Designated Housing Entities

(TDHEs) are eligible for grants under the

Technical Assistance/Training Support

for resident organizations and Resident

Service Delivery Models (RSDM)

funding categories.

Application Deadline. May 24, 2001,

for Resident Management and Business

Development;

May 24, 2001, for Capacity Building

or Conflict Resolution;

June 26, 2001, for Resident Service

Delivery Models; and

After publication of this SuperNOFA,

Service Coordinator grant renewals

under the Service Coordinator category

will be accepted until all funds are

awarded or June 28, 2001, whichever

occurs first.

Match. At least 25% of the grant

amount. This match does not have to be

a cash match. The match can be in-kind

and/or cash contributions.

Additional Information

If you are interested in applying for

funding under any of these programs,

please review carefully the General

Section of this SuperNOFA and the

following additional information.

I. Application Due Date, Application

Kits, Further Information and

Technical Assistance

Application Due Date. Your

completed application (one original and

two copies) is due on or before 12:00

midnight, Eastern time, on the following

application due dates to HUD

Headquarters at the address shown

below.

May 24, 2001, for Resident

Management and Business

Development;

May 24, 2001, for Capacity Building

or Conflict Resolution;

June 26, 2001, for Resident Service

Delivery Models; and

After publication of this SuperNOFA

Service Coordinator grant renewals

under the Service Coordinator Category

will be accepted until all funds are

awarded or June 28, 2001, whichever

occurs first.

See the General Section of this

SuperNOFA for specific procedures

governing the form of application

submission (e.g., mail application,

express mail, overnight delivery, or

hand-carried).

Address for Submitting Applications.

Submit your completed application (the

original and one copy) to Grants

Management Center (GMC), 501 School

Street, SW, Suite 800, Washington, DC

20024.

In the case of tribes/TDHEs, please

submit your completed application (the

original and one copy) to ONAP, Denver

Program Office, 1999 Broadway, Suite

3390, Denver, CO 80202.

Submit your second copy of your

application to the local HUD Field

Office with delegated public or assisted

housing responsibilities attention:

Director, Office of Public Housing. See

Appendix A of the SuperNOFA for a list

of HUD offices with delegated

responsibility. The original application

and one copy must be sent to the GMC.

You may also call the SuperNOFA

Information Center at 1–800–HUD–8929

if you have a question regarding where

you should submit your application.

Persons with hearing or speech

impairments may call the Center’s TTY

number at 1–800–HUD–2209.

On the application due date, hand

carried applications will be accepted

until 12:00 midnight in the South Lobby

at HUD Headquarters, 451 Seventh

Street, SW, Washington DC 20410.

In the case of tribes/TDHEs, please

submit your completed application (the

original and one copy) to ONAP, Denver

Program Office, 1999 Broadway, Suite

3390, Denver, CO 80202. All

applications must be received and

postmarked by the specific program

application due date to the ONAP

Denver Program Office before 12:00

midnight, Mountain Standard Time.

For Application Kits. For an

application kit and any supplemental

material, 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. When

requesting an application kit, please

refer to the ROSS Program, and provide

your name, address (including zip code)

and telephone number (including area

code). An application kit is also

available on the Internet through the

HUD web site at http://www.hud.gov/

grants.

For Further Information and

Technical Assistance. You may contact

the local HUD field office where you

will be submitting your application or

you may call the Public and Indian

Housing Information and Resource

Center at 1–800–955–2232. In the case

of tribes/TDHEs, please contact the

Local Area ONAP or Tracy Outlaw,

ONAP, Denver Program Office at 1–800–

561–5913 or (303)675–1600 (this is not

a toll free number).

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov/grants.

II. Amount Allocated

(A) Total Amount. For FY 2001,

approximately $55 million is available

for the Resident Opportunities and Self

Sufficiency Program.

(B) Allocation. To the extent that there

are a sufficient number of qualified

applications, not less than 25 percent of

funds available for ROSS shall be

provided directly to resident councils,

resident organizations, resident

management corporations, Intermediary

Resident Organizations (IROs), Tribes/

TDHEs on behalf of Tribal residents and

City-Wide Resident Organizations

(CWROs). This requirement will be

implemented by the awards made to

resident organizations for the Technical

Assistance/Training Support for

Resident Organizations and the Resident

Service Delivery Models funding

categories.

(C) Funding Categories and Funds

Allocated to Each Category. There are

three funding categories under ROSS.

The funding categories and the amount

allocated for each funding category and

any subcategories are as follows:

(1) Technical Assistance/Training

Support for Resident Organizations. A

total of $11 million is allocated for this

first funding category.

(a) Resident Management and

Business Development (RMBD). A total

of $6 million is allocated for this

funding subcategory of which $500,000

is for Tribes/TDHEs that partner with

Tribal ROs and Tribal RMCs.

(i) Grants will be made directly to

site-based resident associations,

Resident Management Corporations

(RMCs), CWROs, and to Tribes/TDHEs

that partner with Tribal resident

organizations (ROs) and Tribal resident

12082 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

management corporations (RMCs) to:

increase resident involvement and

participation in their housing

developments; develop resident

management opportunities; provide

resident-led business or cooperative

development opportunities; and obtain

necessary supportive services for selfsufficiency.

(ii) The maximum grant award for this

funding category is $100,000 per

applicant.

(b) Capacity Building or Conflict

Resolution (CB/CR). A total of $5

million is allocated for this funding

subcategory, of which $400,000 is for

Tribes or TDHEs These are two separate

funding categories that are described

below:

(i) Capacity Building (CB). Grants to

Intermediary Resident Organizations

(IROs) and Tribes/TDHEs on behalf of

tribal housing residents, Tribal ROs,

Tribal RMCs and non-profits which

operate associations and networks that

administer programs benefiting resident

organizations. These grants provide or

assistance to site-based resident

associations who do not yet have the

capacity to administer a welfare-to-work

program or conduct management

activities. You may apply for funding

that will be used to assist public and

Tribal housing residents in establishing

a new resident organization or you may

apply for funds to help or enhance the

capacity of existing resident

organizations to enable residents to

participate in housing agency decisionmaking, manage all or a portion of their

housing developments, and/or apply for

and administer grants.

(ii) Conflict Resolution (CR). This

funding category is designed to provide

grants to Intermediary Resident

Organizations (IROs), Tribes/TDHEs on

behalf of tribal housing residents, Tribal

ROs, Tribal RMCs and non-profits

which operate associations and

networks administering programs that

benefit public housing residents, or

resident organizations, and to partner

with professional mediators or groups

with grass roots intervention experience

to resolve conflicts involving public

housing residents, and/or site-based

resident associations. (See Section IV of

this ROSS competition for specific

requirements for this funding category).

(iii) The maximum amounts for CB/

CR are as follows: $100,000 for CityWide Resident Organizations (CWROs)

per applicant, and $240,000 per

applicant for all other eligible

applicants in these funding categories.

Applicants are required to allocate at

least two-thirds of the total grant to

direct funding of CB or CR activities for

Site-Based Resident Associations (RAs)

and/or Tribal ROs. CWROs are required

to serve a minimum of 3 RAs and/or

Tribal ROs. All other applicants are

required to serve a minimum of 10 RAs

and/or Tribal ROs.

(2) Resident Service Delivery Models

(RSDM). A total of $24 million is

allocated for this second category of

funding of which $1,200,000 is for

Tribes/TDHEs.

(i) The Resident Service Delivery

Models (RSDM) funding category

provides grants to Public Housing

Agencies (PHAs), Tribes/TDHEs or

directly to resident management

corporations, resident councils, or

resident organizations, and nonprofit

entities supported by residents. There

are two sub-categories of grants under

this funding category: Family Grants for

program-related activities and

supportive services to establish and

implement comprehensive programs

that achieve resident self-sufficiency for

families; and Elderly and Persons with

Disabilities Grants for independent

living for the elderly and persons with

disabilities.

(iii) For RSDM, the maximum grant

amounts are as follows:

For PHAs applying for family grants,

the maximum grant application award

will be based on the number of

occupied family conventional public

housing units. For PHAs applying for

elderly and persons with disabilities

grants, the maximum grant application

award will be based on the number of

occupied elderly and persons with

disabilities conventional public housing

units.

(B) For the RSDM family category,

PHAs must use the number of occupied

conventional family public housing

units to determine the maximum grant

amount in accordance with the

categories listed below for families:

—For PHAs with 1 to 780 occupied

family units, the maximum grant

award is $250,000.

—For PHAs with 781 to 7,300 occupied

family units, the maximum grant

award is $500,000.

—For PHAs with 7,301 or more

occupied family units, the maximum

grant award is $1,000,000.

(C) For the Elderly and Persons with

Disabilities RSDM Category, PHAs must

use the number of occupied elderly

conventional public housing units to

determine the maximum awards listed

below:

—For 1 to 217 units occupied by elderly

residents and persons with

disabilities, the maximum grant

award is $100,000.

—For 218 to 1,155 units occupied by

elderly residents and persons with

disabilities, the maximum grant

award is $200,000.

—For 1,156 or more units occupied by

elderly residents and persons with

disabilities, the maximum grant

award is $300,000.

(D) The maximum grant award is

$100,000 for each RA.

(E) Nonprofit entities supported by

residents or RAs/ROs are limited to

$100,000 for each RA/RO. A non-profit

may submit a single application for no

more than three different RAs for a

maximum grant award of $300,000.

(F) Tribes/TDHEs should use the

number of units counted as Formula

Current Assisted Stock for Fiscal Year

1999 as defined in 24 CFR 1000.316.

Tribes who have not previously

received funds from the Department

under the 1937 Housing Act should

count housing units under management

that are owned and operated by the

Tribe and are identified in their housing

inventory as of September 30, 1998.

(3) Service Coordinator Renewals. A

total of $20 million is allocated for this

third funding category.

(i) The Service Coordinator Renewal

category provides grants to PHAs to

address the needs of public housing

residents who are elderly and persons

with disabilities. Service coordinators

help residents obtain supportive

services that are needed to maintain

independent living. Only renewals of

prior FY 1995 Public Housing Elderly

and Persons with Disabilities Service

Coordinator grants will be funded under

this ROSS competition; no applications

for new Service Coordinator grants will

be accepted.

(ii) These funds may only be used as

follows:

—Renewal of existing Service

Coordinator (SC) grants from prior

years. This limitation is imposed to

achieve Congressional intent to renew

all service coordinator and congregate

services grants. No applications for

new elderly Service Coordinator

grants will be accepted under this

funding category.

—For the Elderly and Persons with

Disabilities Service Coordinators

category, award amounts cannot be

higher than your highest funding and

staffing level for any one-year period

that was approved for their last

funded Service Coordinator Grant. An

increase of up to 2 percent over this

amount will be allowed if supported

by a narrative justification.

(iii) The Service Coordinator renewal

application will be accepted until all

funds are awarded under this Service

Coordinator Category or until June 28,

2001, whichever occurs first. No new

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12083

Service Coordinator renewal

applications will be accepted after June

28, 2001.

(F) Transfer of Funds. If all funds are

not awarded in one funding category,

funds are transferable to other ROSS

funding categories in this competition.

(G) Number of Applications

Permitted. You may submit no more

than one application under this ROSS

competition. The only exception is that

PHAs applying for Service Coordinator

Renewal grants under this program

section of the SuperNOFA may apply

for one renewal grant and one

additional grant in another category. A

PHA, RA, RO or nonprofit may not

submit an application to serve the same

development. Please read each funding

category carefully for additional

limitations.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. The purpose

of ROSS is to assist residents to become

economically self sufficient by

providing supportive services and

resident empowerment activities. This

program is consistent with the

Department’s goal to most effectively

focus resources on ‘‘welfare to work’’

and on independent living for the

elderly and persons with disabilities.

HUD is looking for applications which

implement practical solutions within

the grant term, and result in improved

economic self-sufficiency for public or

tribal housing residents. HUD seeks

holistic solutions that involve the

support of the entire community in

providing self sufficiency opportunities

for residents. Therefore, HUD

encourages you to involve elderly and

persons with disabilities in activities

which support self sufficiency, such as

child care, mentoring, or after school

care. This philosophy should be

reflected in your proposed grant

activities for all funding categories

within this ROSS competition. A

description of each of the funding

categories was provided in Section II of

this program section. This section

describes the eligible applicants and

eligible activities of each funding

category.

(B) Definitions.

City-Wide Resident Organization

consists of members from Resident

Councils, Resident Management

Corporations, and Resident

Organizations who reside in housing

developments that are owned and

operated by the same PHA within a city.

Community Facility means a nondwelling structure that provides space

for multiple supportive services for the

benefit of public housing residents and

others eligible for the services provided.

Services that may include but are not

limited to:

(1) Child care;

(2) After-school activities for youth;

(3) Job training;

(4) Twenty/20 Education

Communities (TECs) (formerly Campus

of Learners) activities; and

(5) 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. A signed Contractor

Administrator Partnership Agreement

must be included in your application.

This agreement may be contingent upon

you receiving a grant award and

adherence to PHA procurement policies.

The contract administrator must assure

that the financial management system

and procurement procedures fully

comply with 24 CFR part 84. The

Contract Administrator may be: Local

Housing Agencies; community-based

organizations such as Community

Development Corporations (CDC),

churches; non-profits; State/Regional

associations and organizations.

Troubled PHAs are not eligible to be

Contract Administrators.

Firmly Committed means the amount

of resources and their dedication to

ROSS-funded activities must be explicit

and in writing. The writing must be

signed by a person authorized to make

the commitment or certify the

commitment by an authorized body or

person. This written agreement may be

contingent upon 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 agency;

(2) There are no incorporated

Resident Councils or Resident

Management Corporations within the

jurisdiction of the single housing

agency;

(3) It has experience in providing

start-up and capacity-building training

to residents and resident organizations;

and

Public housing residents representing

unincorporated Resident Councils

within the jurisdiction of the single

housing agency must comprise the

majority of the board of directors.

Tribally Designated Housing Entity

(TDHEs) is an entity authorized or

established by one or more Indian tribes

to act on behalf of each such tribe

authorizing or establishing the housing

entity.

Indian Tribe means a tribe that is a

federally recognized tribe or a State

recognized tribe or a Federally

recognized tribe means any tribe, band,

nation, or other organized group for a

community of Indians, including any

Alaska native village or regional or

village corporation as defined in or

established pursuant to the Alaska

Native Claims Settlement Act, that is

recognized as eligible for the special

programs and services provided by the

United States to Indians because of their

status as Indians pursuant to the Indian

Self Determination and Education Act of

1975.

Intermediary Resident Organizations

means Jurisdiction-Wide Resident

Organizations, City-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 a

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; or

(3) Is determined to have a physical,

mental, or emotional impairment which:

(a) Is expected to be of long-continued

and indefinite duration;

(b) Substantially impedes his or her

ability to live independently; and

(c) Is of such a nature that such ability

could be improved by more suitable

housing conditions.

The term ‘‘person with disabilities’’

does not exclude persons who have the

disease of acquired immunodeficiency

syndrome or any conditions arising

from the etiologic agent for acquired

immunodeficiency syndrome. In

addition, no individual shall be

considered a person with disabilities,

for purposes of eligibility for lowVerDate 11<MAY>2000 17:37 Feb 24, 2001 Jkt 194001 PO 00000 Frm 00447 Fmt 4701 Sfmt 4701 E:\FR\FM\26FEN2.SGM pfrm01 PsN: 26FEN2
12084 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

income housing, solely on the basis of

any drug or alcohol dependence.

The definition provided above for

persons with disabilities is the proper

definition for determining program

qualifications. However, the definition

of a person with disabilities contained

in section 504 of the Rehabilitation Act

of 1973 and its implementing

regulations must be used for purposes of

reasonable accommodations.

Program Coordinator is a person who

is responsible for coordinating various

proposed activities to ensure that their

accomplishment will assist in achieving

the overall grant goals and objectives.

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

PHA/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 ROSS

grants to be registered with the State at

the time of application submission.) The

following also applies to resident

councils:

(1) The RC 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 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) The RC 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) The RC may represent residents

residing in:

(a) Scattered site buildings in areas of

contiguous row houses;

(b) One or more contiguous buildings;

(c) A development; or

(d) 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) The RRO is regional (i.e., not

limited by HUD Areas);

(2) The RRO 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 PHA and

HUD:

(1) The RMC shall be a nonprofit

organization that is validly incorporated

under the laws of the State in which it

is located;

(2) The RMC may be established by

more than one RC, so long as each such

council:

(a) Approves the establishment of the

corporation; and

(b) Has representation on the Board of

Directors of the corporation.

(3) The RMC shall have an elected

Board of Directors, and elections must

be held at least once every 3 years;

(4) The RMC’s 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) The RMC’s voting members shall

be heads of households (any age) and

other residents at least 18 years of age

and whose name appears 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) The RMC may serve as both the

RMC and the RC, so long as the

corporation meets the requirements of

24 CFR part 964 for an RC.

Resident Organization (RO) for tribal

entities means an incorporated or

nonprofit tribal organization or

association that meets each of the

following criteria: (1) It shall consist of

residents only, and only residents may

vote; (2) If it represents residents in

more that one development or in all of

the developments of the tribal/TDHE

community, it shall fairly represent

residents from each development that it

represents; (3) It shall adopt written

procedures providing for the election of

specific officers on a regular basis; (4) It

shall have democratically elected a

governing board. The voting

membership of the board shall consist

solely of the residents of the

development or developments that the

tribal RO represents.

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) The SRO is Statewide;

(2) The SRO 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.

(C) Resident Management and

Business Development (RMBD).

(1) Eligible applicants. Site-Based

Resident Associations (RAs), Tribes/

TDHEs that partner with Tribal ROs or

Tribal RMCs and City-Wide Resident

Organizations (CWROs). If you are an

RA/RO that is a beneficiary or recipient

of proposed grant activities by a CWRO/

TDHE, then you cannot also apply

under this category. You may only

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12085

submit one application under this

funding category.

(2) Eligible participants. Program

participants must be residents of

conventional public housing. You must

provide a certification that at least 51

percent of those served by your

proposed activities are residents

affected by welfare reform.

(3) Eligible Activities. Funding is

limited to the following activities below:

(a) Training related to resident-owned

business or cooperative development

and technical assistance for job training

and placement in housing

developments;

(b) 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 residentmanaged business entity or cooperative.

Revolving loan funds can not be used

for acquisition, disposition, or physical

development;

(c) Establishing and funding revolving

loan funds. Revolving loan funds can

not be used for acquisition, disposition,

or physical development;

(d) Training residents, as potential

employees of an RMC, in skills directly

related to the operation, management,

maintenance and financial systems of a

development;

(e) Training residents with respect to

fair housing requirements; and

(f) Gaining assistance in negotiating

management contracts and designing a

long-range planning system.

(g) Providing social support needs

(such as self sufficiency and youth

initiatives) including:

(h) Feasibility studies to determine

training and social services needs;

(i) Training in management-related

trade skills, computer skills, and similar

skills;

(j) Management-related employment

training and counseling including job

search assistance, job development

assistance, job placement assistance,

and follow up assistance;

(k) Supportive services including:

child care services; educational services,

remedial education, literacy training,

ESL instruction, 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;

(l) Training for programs such as child

care, early childhood development,

parent involvement, volunteer services,

parenting skills, before and after school

programs;

(m) Training programs on health,

nutrition, safety and substance abuse;

Food costs that are directly attributable

to the nutrition and health training are

eligible grant expenditures. These are

not food costs associated with

entertainment.

(n) 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 can 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;

(o) Training in the development of

strategies to successfully implement a

youth program. For example, assessing

the needs and problems of youth,

improving youth initiatives that are

currently active, and training youth,

housing agency staff, resident

management corporations and resident

councils or resident organizations on

youth initiatives and program activities;

(p) Physical improvements to

facilities at public or tribal housing

developments to provide space for selfsufficiency activities for residents, i.e. to

provide cosmetic improvements and

repairs to space to conduct community

activities; or to expand existing

community space for your proposed

ROSS activities or modifications for

accessibility for persons with

disabilities. Your physical

improvements may not exceed 50% of

the total grant amount and must be

directly related to providing space for

self-sufficiency activities for residents.

Refer to Office of Management and

Budget (OMB) Circular A–87, Cost

Principles for State, Local and Indian

Tribal Governments;

(i) Renovation, conversion, and repair

costs may be essential parts of physical

improvements. In addition,

architectural, engineering, and related

professional services required to prepare

architectural plans or drawings, writeups, specifications or inspections may

also be part of the cost components to

implement physical improvements.

(ii) The renovation, conversion, or

combination of vacant dwelling units in

a PHA or tribal development to create

common areas to accommodate the

provision of supportive services is an

eligible activity for physical

improvements.

(iii) The renovation of existing

common areas in a PHA or tribal

development to accommodate the

provision of supportive services.

(iv) The renovation or repair of

facilities located near the premises of

one or more PHA or tribal developments

to accommodate the provision of

supportive services.

(v) If renovation, conversion, or repair

is done off-site, the PHA, tribe or owner

must provide documentation that it has

control of the proposed property for not

less than 2 years and preferably for 4

years or more. Control can be evidenced

through a lease agreement, ownership

documentation, or other appropriate

documentation.

(vi) All renovations must meet

appropriate accessibility requirements,

including Section 504 requirements at

24 CFR 8, Architectural Barriers Act at

24 CFR 40, the Americans with

Disabilities Act and the Fair Housing

Act.

(q) Establishing and operating

Neighborhood Networks Centers that

use computer technology and

telecommunications for job training,

after-school youth programs,

educational, and health activities.

(4) Ineligible Resident Management

and Business Development Activities

and Costs.

(a) Entertainment, including

associated costs such as food and

beverages, except normal per diem for

meals related to travel performed in

connection with implementing the

Work Plan. (See HUD Travel Notice 99–

24 for more specific guidance.)

(b) Purchase or rental of land.

(c) 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).

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

bus, etc.).

(e) Payment of salaries for routine

project operations, such as security and

maintenance, or for applicant staff,

except that a reasonable amount of grant

funds may be used to hire a person to

coordinate the Resident Management

and Business Development grant

activities or coordinate on-site social

services.

(f) Payment of fees for lobbying

services.

(g) Any expenditures that are

fraudulent, wasteful or otherwise

incurred contrary to HUD or OMB

directives.

(h) Any cost otherwise eligible under

this program section of the SuperNOFA

12086 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

for which funds are being provided from

any other source.

(i) Entertainment equipment such as

televisions, radios, stereos, and VCRs.

An exception to this item may be

granted by the HUD Field Office or Area

ONAP Office if funding is being utilized

specifically for the purposes of

establishing a business directly related

to radio, television or film or some other

form of technical communication, and

equipment is being utilized for training

of residents, ROs or RAs. All such

exceptions must be authorized in

writing by the HUD Field Office or Area

ONAP Office before purchases may be

made.

(j) The cost of application preparation

is not eligible.

(5) Supporting Information. The

following information may be useful in

developing proposed grant activities

and costs:

(a) Training. Training activities may

include training on HUD regulations

and policies governing the operation of

low-income public housing including

contracting/procurement regulations;

financial management; job and business

development training; 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.

Resident grantees must ensure that all

training is provided by a qualified

public housing or management

specialist (Consultant/Trainer), HUD

Headquarters, Field or ONAP staff, or

the local PHA or tribe /TDHE. To ensure

the successful implementation of the

grant Work Plan activities, you are

required to determine the need to

contract for outside consulting/training

services. You and the PHA or tribe/

TDHE must jointly select and approve

the consultant/trainer. Your application

should make maximum use of your

PHA, non profit, 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 exceed 30% of your total grant

amount or $30,000, whichever is less.

The amount available for all consultants

and contracts should not exceed 50% of

your grant amount or $50,000

whichever is less. HUD Field or ONAP

Offices will monitor this process to

ensure compliance with program and

OMB requirements, and particularly the

requirement for competitive bidding.

Where it is necessary to exceed the 50%

limitation you must use performance

based contracting. Performance based

contracts require that fees be paid in

exchange for goods and services actually

delivered. For example, a trainer would

be paid for the number of residents that

were trained, i.e. performance,

regardless of the maximum dollar

amount quoted in the contract.

(c) Stipends. Trainees and program

participants of an RA, RO or CWRO,

may receive stipends for participating in

or receiving training under Resident

Management to cover reasonable costs

related to participation in training and

other activities in your 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 Field Office

authorization.

(d) Reimbursement of Reasonable

Expenses. 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. Travel directly related to

the successful completion of your

required Work Plan. You must adhere to

the travel policy established by HUD

Notice 99–24. This policy sets travel

costs at a maximum amount of $5,000

per RA or RO without special HUD

approval.

(f) Child-Care Expenses. 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 your grant activities.

(g) Costs incurred by a RA or RO in

applying for 501(c) tax exempt status

with Internal Revenue Service. Please

refer to the Internal Revenue Service

(IRS) Publication 557, which describes

the requirements for section 501(c) tax

exempt organizations and list the

applicable forms required.

(h) Administrative costs. These costs

are necessary for the implementation of

your grant activities. Administrative

costs are not to exceed 20% of the grant.

Appropriate administrative costs

include, but are not limited to, the

following reasonable costs or activities:

(i) Space and equipment.

Maintenance, utility costs, postage,

building lease/rental costs, purchase or

lease of telephone, computer, printing,

copying, and sundry non-dwelling

equipment (such as office supplies,

software, and furniture). You must

justify the need for this equipment or

space based on services being delivered

in relationship to implementing your

approved grant activities.

(ii) Rental or lease of vehicles. Rental

or lease of a car, van, or bus by resident

grantees to attend training;

(6) Grant term. The grant term for

Resident Management and Business

Development grants is thirty-six months

from the execution date of your grant

agreement.

(D) Capacity Building or Conflict

Resolution.

(1) Eligible applicants. (a)

Intermediary Resident Organizations

(IROs) on behalf of public or Indian

housing residents, which include Public

Housing Site-Based Resident Councils ,

Resident Organizations and Resident

Management Corporations may apply

for Capacity Building and/or Conflict

Resolution grants. IROs include

National Resident Organizations,

Statewide Resident Organizations,

Regional Resident Organizations, CityWide Resident Organizations, and

Jurisdiction-Wide Resident

Organizations.

(b) Eligible applicants cited above

may submit either one application for

conflict resolution or one application for

capacity building under this funding

category.

(c) Non-profits that operate as

associations or networks that administer

programs that benefit public or Indian

housing resident organizations are also

eligible for this funding category.

(2) Eligible activities. (a) Conflict

resolution. Conflict resolution grant

activities may include, but are not

limited to:

(i) Establishing violence-free zones to

enhance the quality of living

environment for public housing

residents. The eligible activities for your

proposed program must address one or

more of the following areas: violent

crime, youth violence, and/or violent

gang activity in your housing

development or living environment.

These areas must be addressed in your

application. You must at a minimum

focus on one of these areas, but may

include the others where appropriate.

Your grant application must include

specific processes or techniques to

prevent and reduce violent crime that

are measurable within the grant term.

Implementation strategies may include

training at the grass roots level, resident

employment; resident partnership with

local law enforcement; personal skillbuilding to strengthen individual

character development; and

management techniques for preventing

violence. You must identify the public

housing development(s) that will serve

as the focus for proposed grant

activities. Any other areas, (e.g.,

negatively impacted neighborhoods and

assisted/insured housing developments)

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12087

which benefit from your proposed grant

activities must be adjacent to the public

housing development;

(ii) Training programs on mediation

and communication skills;

(iii) Training programs on dispute

resolution and reconciliation, including

training addressing racial, ethnic and

other forms of diversity;

(iv) Workshops for youth services

including: child abuse and neglect

prevention, tutorial services, youth

leadership skills, youth mentoring, peer

pressure reversal, life skills, social

skills, goal planning, health, wellness

and nutrition. The workshops may be

held in partnership with communitybased organizations such as local Boys

and Girls Clubs, YMCA/YWCA, Boy/

Girl Scouts, Campfire and Big Brother/

Big Sisters, etc. Food costs that are

directly attributable to the actual

nutrition, wellness and health training

are an eligible grant expenditure. These

are not food costs associated with

entertainment.

(v) Training in the development of

strategies to successfully implement a

youth program. For example, assessing

the needs and problems of youth,

improving youth initiatives that are

currently active, and training youth,

housing agency staff, resident

management corporations resident

organizations and resident councils on

youth initiatives and program activities.

(b) Capacity Building. Eligible

activities for CB grants may include, but

are not limited to:

(i) Training Board members in

community organizing, Board

development, and leadership training;

(ii) Conducting the feasibility of

training existing resident groups for

resident management or for a specific

resident management project;

(iii) Assisting in the creation of an

RMC, such as consulting and legal

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

(iv) Developing the management

capabilities of existing resident

organizations;

(v) Determining the feasibility of

homeownership by residents, including

assessing the feasibility of other housing

(including HUD-owned or held single or

multi-family) affordable for purchase by

residents.

(3) Ineligible Activities. Ineligible

activities are the same as those listed in

Section III(C)(4) of this program section

of the SuperNOFA, above.

(a) In addition, physical development

activities are not eligible for funding

under CB or CR grants.

(b) The cost of application preparation

is not eligible.

(4) Administrative costs may include,

but are not limited to, purchase of

furniture, office equipment and

supplies, training, quality assurance,

travel, and utilities. Administrative

costs must not exceed 20% of the total

grant costs.

(5) Grant term. The grant term for

both Conflict Resolution and Capacity

Building grants is thirty-six months

from the execution date of the grant

agreement.

(E) Resident Service Delivery Models

(RSDM).

(1) Eligible Applicants. (a) Family.

This funding category provides grants to

PHAs, Tribes/TDHEs, resident

management corporations, resident

councils, resident organizations, and

nonprofit entities supported by

residents, to enable them to establish

and implement comprehensive

programs that assist residents in

becoming self-sufficient

(b) Elderly and Persons with

Disabilities. PHAs, Tribes/TDHEs and

non-profits supported by a duly elected

resident council are the only eligible

applicants in providing supportive

services for the elderly and persons with

disabilities.

(c) IROs with 501(c)status may apply

as non-profit entities under this funding

category.

(2) Number of RSDM Applications

Permitted. (a) General. PHAs must

submit an application either for a family

or an elderly grant. ROs or RCs must

submit one application for a family

grant; and non-profits may submit one

application for a family or elderly grant

representing up to three public or

Indian housing resident groups.

(b) Joint applications. Two or more

applicants may join together to submit

a joint application for proposed grant

activities. Joint applications must

designate a lead applicant. All parties in

a joint application (lead or non-lead) are

considered to be applying for ROSS and

are therefore subject to the limit of one

ROSS application per applicant, with

the exception of those Public Housing

Service Coordinator renewal applicants

that may also apply in one additional

ROSS category. Both lead and non-lead

applicants are subject to threshold

requirements. Joint applications may

include PHAs, RAs, IROs, Tribes/

TDHEs, and nonprofit entities on behalf

of residents organizations. Joint

applications must also provide evidence

of resident support. The maximum

funding for joint applications cannot

exceed the sum of the individual grants

as specified above. Any eligible

applicant can serve as a lead applicant.

(3) Eligible participants. Program

participants must be residents of

conventional public or Indian housing.

You must provide a certification that at

least 51 percent of those served by your

proposed activities are residents

affected by welfare reform.

(4) Eligible Activities. Funds may be

used for the activities described below

for the family category.

(a) Program Coordinator. You are

encouraged to include a Program

Coordinator for either proposed family

or elderly RSDM activities for the entire

term of your grant. A Program

Coordinator is a person who is

responsible for coordinating various

proposed activities to ensure that their

accomplishment will assist in achieving

overall grant goals and objectives.

(b) Physical improvements. Physical

improvements to provide space for selfsufficiency activities for residents (i.e. to

provide cosmetic repairs for space to

conduct community activities; or to

expand existing community space for

proposed ROSS activities) or

modification for accessibility for

persons with disabilities. Physical

improvements may not exceed 50% of

the total grant amount and must be

directly related to providing space for

self-sufficiency activities for residents.

Physical improvements include the

following:

(i) Renovation, conversion, and repair

costs may be essential parts of physical

improvements. In addition,

architectural, engineering, and related

professional services required to prepare

architectural plans or drawings, writeups, specifications or inspections may

also be part of the cost components to

implement physical improvements;

(ii) The renovation, conversion, or

combination of vacant dwelling units in

a housing development to create

common areas to accommodate the

provision of supportive services is an

eligible activity for physical

improvement;

(iii) The renovation of existing

common areas in a housing

development to accommodate the

provision of supportive services is an

eligible activity for physical

improvements;

(iv) The renovation or repair of

facilities located near the premises of

one or more housing developments to

accommodate the provision of

supportive services is an eligible

activity for physical improvements;

(v) If renovation, conversion, or repair

is done off-site, you must provide

documentation that you have control of

the proposed property for not less than

2 years and preferably for 4 years or

more. Control can be evidenced through

a lease agreement, ownership

12088 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

documentation or other appropriate

documentation.

(vi) All renovations must meet

appropriate section 504 accessibility

requirements.

(c) Entrepreneurship training.

Entrepreneurship training includes

literacy training, computer skills

training, business development

planning.

(d) Entrepreneurship development.

Entrepreneurship development includes

entrepreneurship training curriculum,

entrepreneurship courses.

(e) Micro/Loan fund. Developing a

strategy for establishing a revolving

micro/loan fund and/or capitalizing a

loan fund, including licensing, bonding,

and insurance needed to operate a

business. Revolving loan funds can not

be used for acquisition, disposition, or

physical development;

(f) Developing credit unions.

Developing a strategy to establish and/

or create on-site credit union(s) to

provide financial and economic

development initiatives to PHA

residents. (RSDM grant funds cannot be

used to capitalize a credit union.) The

credit union can support the normal

financial management needs of the

community (i.e., check cashing, savings,

consumer loans, micro-businesses

money management, home buyer

counseling, educational loans, and other

revolving loans).

(g) Individual development accounts.

Activities or programs that encourage

residents to contribute to matched

savings accounts known as Individual

Development Accounts (IDAs). These

programs include financial counseling

and education activities. (RSDM funds

cannot be used as matching funds for

the actual savings account).

(h) Employment training and

counseling (e.g., job training,

establishing registered apprenticeship

programs, preparation and counseling,

job search assistance, job development

and placement, and supportive services

to support job training and

apprenticeship activities.

(i) Employer linkage and job

placement.

(j) Family only—supportive services

activities. 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. Eligible

supportive services may include, but are

not limited to:

(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;

computer skills training; career

counseling; 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, and goal planning). Academic

support shall not be limited to TANF

recipients.

(v) Youth mentoring of a type that

mobilizes a potential pool of role

models to serve as mentors to public

housing youth. Mentor activities may

include after-school tutoring, help with

problem resolution issues, illegal drugs

avoidance, job counseling, or mental

health counseling.

(vi) 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.

(vii) Personal well-being (e.g., family/

parental development counseling,

parenting skills training for adult and

teenage parents, self-development

counseling, support groups/counseling

for victims of domestic violence, and/or

families with a mentally ill member,

etc.).

(viii) Supportive health care services

(e.g., outreach and referral services to

substance and alcohol abuse treatment

and counseling, mental health services,

wellness programs). Food costs that are

directly attributable to the actual

nutrition and health training are an

eligible grant expenditures. These are

not food costs associated with

entertainment.

(ix) Contracting for case management

services or employment of case

managers, which must ensure

confidentiality about resident’s

disabilities.

(x) Establishing and/or operating

Neighborhood Network Centers that use

computer technology and

telecommunications for job training,

after-school youth programs,

educational, and health activities .

(xi) Administrative costs may include,

but are not limited to, purchase of

furniture, office equipment and

supplies, quality assurance, travel, and

utilities. Administrative costs must not

exceed 20% of the total grant costs.

(xii) Stipends. No more than $200 per

participant per month of the grant

award may be used for stipends for

active trainees and program participants

to cover the reasonable costs related to

participation in training and other

activities.

(5) Elderly and persons with

disabilities—supportive services

activities may include, but are not

limited to:

(i) A Program Coordinator (See

Section III(E) for a description);

(ii) Meal service adequate to meet

nutritional need;

(iii) Assistance with daily activities;

(iv) Housekeeping aid;

(v) Transportation services;

(vi) Wellness programs, preventive

health education, referral to community

resources;

(vii) Personal emergency response;

(viii) Congregate services—includes

supportive services that are provided in

a congregate setting at a conventional

public housing development; and

(viii) Case management.

(h) Administrative costs.

Administrative costs may include, but

are not limited to, purchase of furniture,

office equipment and supplies, training,

quality assurance, travel, and utilities.

Administrative costs must not exceed

20% of the total grant costs.

(5) Ineligible Activities. Activities for

which costs are ineligible for funding

under the RSDM funding category

include:

(i) Elderly Service Coordinator salary

funding;

(ii) Payment of wages and/or salaries

to participants receiving supportive

services and/or training programs,

except that grant funds under family

RSDM may be used to hire a resident(s)

as a Program Coordinator or to provide

training program activities;

(iii) Purchase or rental of land;

(iv) New construction, materials,

costs;

(v) Purchase of vehicles; and

(vi) Cost of application preparation is

not eligible.

(6) Grant term. The grant term for

Resident Service Delivery Models grants

is thirty-six months from the execution

date of the grant agreement.

(F) Service Coordinators for Elderly

and Persons with Disabilities. (1)

Eligible Applicants. This funding

category provides grants to PHAs with

developments designated for the elderly

and persons with disabilities which

were initially awarded in FY 1995.

(2) Joint Applications. Two or more

PHAs may join together to share a

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12089

service coordinator and so submit joint

applications. Joint applicants must

designate a lead applicant. All joint

applicants must be existing service

coordinator grantees.

(3) Eligible developments. To be

eligible, a development must have

elderly residents and/or non-elderly

residents with disabilities who together

total at least 25 percent of the building’s

residents.

(4) Eligible Activities. Under this

funding category, funds may be used for

the following activities:

(a) Service Coordinator. To pay for the

salary, fringe benefits, and related

administrative costs for employing a

service coordinator. A service

coordinator is a social service staff

person hired or contracted by the PHA.

The coordinator is responsible for

assuring that elderly residents,

especially those who are frail or at risk,

and those non-elderly residents with

disabilities are linked to the supportive

services they need to continue living

independently in that development. The

service coordinator, however, may not

require any elderly person or person

with disabilities to accept the

supportive services. For the purposes of

this program, a service coordinator is

any person who is responsible for one

or more of the following functions:

(i) Working with community service

providers to coordinate the provision of

services and to tailor the services to the

needs and characteristics of eligible

residents;

(ii) Establishing a system to monitor

and evaluate the delivery, impact,

effectiveness and outcomes of

supportive services under this program;

(iii) Coordinating this program with

other independent living or selfsufficiency, education and employment

programs;

(iv) Performing other duties and

functions to assist residents to remain

independent, and to prevent

unnecessary institutionalization; and

(v) Mobilizing other national and

local public/private resources and

partnerships.

(b) Administrative costs.

Administrative costs may include, but

are not limited to, purchase of furniture,

office equipment and supplies, training,

quality assurance, travel, and utilities.

Administrative costs must not exceed

20% of the total grant costs.

(5) Ineligible Activities/Costs. (a)

Applicants may not use these monies to

replace current funding from other

sources for a Service Coordinator or for

some other staff person who performs

service coordinator functions; and

(b) The cost of application preparation

is not eligible.

(6) Grant term. The grant term for

Elderly or Persons with Disabilities

Service Coordinator grants is 12 months.

IV. Program Requirements

The requirements of this section are

applicable to all applicants, and

grantees under this announcing of

funding availability.

(A) Compliance with Fair Housing

and Civil Rights Laws. Your application

must meet all the applicable threshold

requirements found in Section II(B) of

the General Section of the SuperNOFA,

as well as the following requirements.

(B) Affirmatively Furthering Fair

Housing. You must adhere to the

requirement as provided in Section II(D)

of the General Section of the

SuperNOFA.

(C) Section 109. In addition to the fair

housing and other civil rights

assurances described under Section II(B)

of the General Section of the

SuperNOFA, applicants for ROSS must

provide assurance that they will comply

with section 109 of the Housing and

Community Development Act of 1974,

as amended. Implementing regulations

for section 109 are found under 24 CFR

part 6 and part 570, including , but not

limited to, reporting and record-keeping

requirements under 24 CFR 570.506 and

570.507.

(D) Certifications and Assurances.

You must comply with the certifications

and assurances contained in Section

II(G) of the General Section of the

SuperNOFA.

(E) Applicant Internet Access. Prior to

the initial draw down, all grantees must

have secured online access to the

Internet as a means to communicate

with HUD on grant matters.

(F) ROSS Evaluation and Assessment.

All applicants selected for award must

be willing to participate in the

evaluation and assessment that HUD

intends to conduct for the ROSS

Program. At grant award HUD will

provide additional information on the

evaluation and assessment for

applicants who receive awards.

V. Application Selection Process

(A) Application Selection Process for

Resident Management and Business

Development. Applicants for Resident

Management and Business Development

grants are required to address

application submission requirements,

but are not required to address selection

factors. Eligibility will be determined by

applications that meet the threshold

requirements of Section VI of this

program section of the SuperNOFA.

HUD will accept for funding the first

five eligible applications from each of

the ten federal regions and ONAP on a

first-come, first-serve basis for this

SuperNOFA. Any funds remaining after

making awards to the first five eligible

applications from each region and

ONAP will be awarded to the next

eligible application from each region,

then the next, and so forth until funds

are exhausted. If sufficient funds are not

available in any round to fund an

eligible application from each region,

the eligible applications will then be

funded in the order in which they were

received regardless of region. Where

physical development activities are

proposed, HUD will perform an

environmental review, to the extent

required by 24 CFR part 50, prior to

award. The results of the environmental

review may require that proposed

activities be modified or proposed sites

rejected. If all funds are not awarded in

one funding category, funds are

transferable to other ROSS funding

categories in this ROSS competition.

(B) Application Selection Process for

Capacity Building or Conflict

Resolution. Applicants for Conflict

Resolution or Capacity Building grants

are required to address application

submission requirements but are not

required to address selection factors.

Eligibility will be determined by

applications that meet the threshold

requirements of Section VI of this

program section of the SuperNOFA.

HUD will accept for funding the first

two eligible applications from each of

the ten federal regions and ONAP on a

first-come, first-serve basis for this

SuperNOFA. Any funds remaining after

making awards to the first two eligible

applications from each region and

ONAP will be awarded to the next

eligible application from each region,

then the next, and so forth until funds

are exhausted. If sufficient funds are not

available in any round to fund an

eligible application from each region,

the eligible applications will then be

funded in the order in which they were

received regardless of region. If all funds

are not awarded in one funding

category, funds are transferable to the

other ROSS funding categories in this

ROSS competition.

(C) Application Selection Process for

Resident Service Delivery Models. (1)

Three types of reviews will be

conducted: a screening to determine if

your application submission is complete

and on time; a threshold review to

determine applicant eligibility; and a

technical review to rate your application

based on the five rating factors provided

in this section. A minimum score of 70

is required to be considered for funding.

If you are not the PHA, where physical

development activities are proposed,

HUD will perform an environmental

12090 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

review, to the extent required by 24 CFR

part 50, prior to award. The results of

the environmental review may require

that proposed activities be modified or

proposed sites rejected.

(2) The selection process is designed

to achieve geographic diversity of grant

awards throughout the country. HUD

will first select the highest ranked

application from each of the ten federal

regions and ONAP for funding. After

this ‘‘round,’’ HUD will select the

second highest ranked application in

each of the ten federal regions and

ONAP for funding (the second round).

HUD will continue this process with the

third, fourth, and so on, highest ranked

applications in each federal region until

the last complete round is selected for

funding. If available funds exist to fund

some but not all eligible applications in

the next round, HUD will make awards

to those remaining applications in rank

order regardless of region and will fully

fund as many as possible with

remaining funds. In addition, if all

funds are not awarded in this funding

category, funds are transferable to other

funding categories in this ROSS

Competition.

(D) Factors for Award Used to

Evaluate and Rate RSDM Applications.

The factors for rating and ranking

applicants and maximum points for

each factor are provided below. The

maximum number of points available

for this program is 104. This includes

two EZ/EC bonus points and two bonus

points for apprenticeship programs, as

described in the General Section of the

SuperNOFA. The application kit

contains a certification that must be

completed for the applicant to be

considered for EZ/EC and

apprenticeship program bonus points

and a listing of federally designated EZs

and ECs. A RSDM application must

receive a total of 70 points out of 100

to be eligible for funding.

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)

(a) Experience. (4 Points) The

knowledge and experience of your

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. Your

experience will be judged in terms of

recent, relevant and successful

experience to undertake eligible

program activities.

(b) Sufficiency. (3 Points) You and

your 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 your readiness and ability to

immediately begin the proposed work

program. To demonstrate sufficiency,

you must submit the proposed number

of staff years to be allocated to your

program by employees and experts, the

titles and relevant professional

background and experience of each

employee and expert proposed to be

assigned to your program, 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 your proposed RSDM

program. To receive a high score, you

must provide a comprehensive

description of your project management

structure. Your narrative must provide a

description of how any co-applicants,

sub-grantees, and other partner agencies

relate to the program administrator as

well as the lines of authority and

accountability among all components of

your proposed program.

(b) Fiscal Management. (3 Points) The

soundness of your proposed fiscal

management. To receive a high score

you must provide a 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) To receive a high

score, you must demonstrate your (or

your proposed Administrator’s) program

compliance and successful

implementation of any resident selfsufficiency, security or independence

oriented grants (including those listed

below) awarded to you or overseen by

your Administrator. If you or your

Administrator has no prior experience

in operating programs that foster

resident self-sufficiency, security or

independence you will receive a score

of 0 on this factor. Your past experience

may include, but is not limited to,

administering the following grants:

Family Investment Center Program;

Youth Development Initiative under

Family Investment Center Program;

Youth Apprenticeship Program;

Apprenticeship Demonstration in the

Construction Trades Program; Urban

Youth Corps Program; HOPE I Program;

Public Housing Service Coordinator

Program; Public Housing Drug

Elimination Program; Tenant

Opportunities Program; Economic

Development and Supportive Services;

and Youth Sports Program.

Rating Factor 2: Need/Extent of the

Problem (20 Points)

This factor addresses the extent to

which there is a need for funding your

proposed program activities to address a

documented problem in the target area.

You will be evaluated on the extent to

which they document a critical level of

need in the development or your

proposed activities in the area where

activities will be carried out. In

responding to this factor, you 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.

(a) To obtain maximum points for

Family RSDM applications, this

document must contain statistical data

which provides:

(i) A thorough socioeconomic profile

of the eligible residents to be served by

your program, in relationship to PHAwide and national public and assisted

housing data on residents who are on

TANF, SSI benefits, or other fixed

income arrangements; in job training,

entrepreneurship, or community service

programs; and employed;

(ii) Specific information on training,

contracting, and employment through

the PHA.

(iii) 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;

(iv) A description of the goals,

objectives, and program strategies that

will result in the successful transition of

residents from welfare-to-work.

(b) In order to obtain maximum points

for Elderly and Persons with Disabilities

RSDM applications, the needs

assessment document should contain

statistical data that provide:

(i) The numbers of residents needing

assistance for activities of daily living.

(ii) 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.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12091

(iii) 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. You 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. If you address needs that are in

your community’s Consolidated Plan,

AI, or a court decision, or identify and

substantiate needs in addition to those

in the AI, you will receive a greater

number of points than applicants who

do not relate their proposed program to

the approved Consolidated Plan or AI or

court action. There must be a clear

relationship between your proposed

activities, community needs and the

purpose of the program funding for you

to receive points for this factor.

Rating Factor 3: Soundness of

Approach (40 Points)

This factor addresses the quality and

cost-effectiveness of your proposed

work plan. In rating this factor HUD will

consider: the viability and

comprehensiveness of your strategies to

address the needs of residents; budget

appropriateness/efficient use of grant;

the speed at which you can realistically

accomplish the goals of the proposed

RSDM program; the soundness of your

plan to evaluate the success of your

proposed RSDM 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 (21 Points) The score under

this subfactor will be based on the

viability and comprehensiveness of your

strategies to address the needs of

residents.

(a) Services. (18 Points for Family

RSDM applicants and 21 Points for

Elderly and Persons with Disabilities

RSDM applicants. More points are

awarded in the Elderly and Persons

with Disabilities RSDM applications to

balance other sections of the rating

criteria where points are not applicable

to an Elderly and Persons with

Disabilities RSDM applicant) The score

under this subfactor will be based on

the following:

(i) For Family RSDM applications, the

extent to which your plan provides

services that specifically address the

successful transition from welfare to

work of non-elderly families. To receive

a high score, your plan must include

case Management/counseling, job

training/development/placement (and/

or business training/development/

startup), child care, and transportation

services. If you are not proposing to use

RSDM funding for these activities, you

must show that you will provide these

services with other funds or through

specific commitments from partners.

(ii) In order to receive maximum

points, the goals and objectives of your

proposed plan must represent

significant achievements related to

welfare-to-work and other selfsufficiency/independence goals.

Specifically for those residents affected

by welfare reform, we are interested in

achievements that are performance

outcomes such as the number of

residents employed or business started,

in addition to, process descriptions,

such as the number of residents

receiving training.

(iii) For Elderly and/or Persons with

Disabilities RSDM applications, services

in your plan should include case

management, health care, congregate

services and transportation. To obtain

maximum points, you must describe the

goals, objectives, and program strategies

that will result in increased

independence for proposed program

participants; your services must be

located in a community facility; and

must 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 your contracts with

resident-owned businesses and through

resident employment. A high score will

be awarded where there is

documentation (a letter or resolution

from your governing body) describing

your commitment to hire or contract

with at least 15% of residents and a

narrative describing the number of

resident jobs or contracts involved, as

well as the training processes related to

the comprehensive plan of your

application. Elderly and Persons with

Disabilities RSDM applications will not

be scored on the criterion in this

subcategory.

(2) Budget Appropriateness/Efficient

Use of Grant. (5 Points) The score in this

factor will be based on the following:

(a) Detailed Budget Break-Out. The

extent to which your application

includes a detailed budget break-out for

each budget category in the SF–424A.

(b) Reasonable Administrative Costs.

The extent to which your application

includes administrative costs at or

below the 20% administrative cost

ceiling.

(c) Budget Efficiency. The extent to

which your application requests funds

commensurate with the level of effort

necessary to accomplish your goals and

anticipated results.

(3) Reasonableness of the Timetable.

(2 Points for Family RSDM applicants

and 4 Points for Elderly and Persons

with Disabilities RSDM applicants.

More points are awarded in Elderly and

Persons with Disabilities RSDM

applications in order to balance other

sections of the rating criteria where

points are not applicable to an Elderly

and Persons with Disabilities RSDM

applicant)

The score in this factor will be based

on a reasonable response that you can

accomplish the goals of your proposed

RSDM program. To receive a high score,

you must demonstrate that it will make

substantial program implementation

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, you must

demonstrate that your proposed

timetable for all components of the

proposed program is feasible

considering the size of your award and

activities and results that can be

accomplished within the 36-month time

limit.

(4) Program Assessment. (3 Points for

Family RSDM and Elderly and Persons

with Disabilities RSDM) The score in

this factor will be based on the

soundness of your plan to evaluate the

success of your proposed RSDM

program both at the completion of your

program and during program

implementation. At a minimum, you

must track the goals and objectives of

your proposed work plan program,

which must include, if applicable, a

plan for monitoring your Contract

Administrator’s performance. Your

application should 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, number of

elderly or persons with disabilities

residents receiving supportive services,

and number of persons receiving

certificates for successful completion of

training in careers such as computer

technology.

(5) Resident and Other Partnerships (9

Points for Family RSDM applicants and

7 Points for Elderly and Persons with

Disabilities RSDM applicants)

12092 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(a) Resident Involvement in RSDM

Activities (3 Points for Family RSDM

applicants and 4 Points for Elderly and

Persons with Disabilities RSDM

applicants. More points are awarded in

Elderly and Persons with Disabilities

RSDM applications in order to balance

other sections of the rating criteria

where points are not applicable to an

Elderly and Persons with Disabilities

RSDM applicant): The score in this

factor will be based on the extent of

resident involvement in developing

your proposed RSDM program as well

as the extent of proposed resident

involvement in implementing your

proposed RSDM program. To receive a

high score on this factor, you must

describe the involvement of residents in

the planning phase for this program,

and a commitment to provide continued

involvement in grant implementation.

For applicants to receive the maximum

number of points, a work plan, 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 RSDM

program. To receive a high score, you

must provide a signed Memorandum of

Understanding (MOU) or other

equivalent signed documentation that

delineates the roles and responsibilities

of each of the parties in your program

and the benefits they will receive. In

assessing this subfactor, HUD will

examine a number of aspects of the

proposed partnership, including:

(i) The division of responsibilities/

management structure of your proposed

partnership relative to the expertise and

resources of your partners;

(ii) The extent to which the

partnership as a whole addresses the

unmet resident needs; and

(iii) The extent to which the addition

of the partners provides the ability to

meet needs that the applicant could not

meet without the partner(s).

(c) Overall Relationship/Coordination.

(3 Points for Family RSDM only) For

Family RSDM applicants, the score in

this factor will be based on the extent

of coordination between your proposed

RSDM program and any existing or

proposed programs within your

jurisdiction. To receive a high score,

you must contain an MOU that

describes collaboration between the

applicant and residents on all of the

specific components related to the work

plan of the proposed RSDM program. To

receive points, at a minimum, you must

have a narrative description of this

collaboration. Elderly and Persons with

Disabilities RSDM applications will not

be scored on this criterion.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses your ability to

secure community resources (note:

financing is a community resource) that

can be combined with HUD’s program

resources to achieve program purposes.

You must have at least a 25% cash or

in-kind match to receive points under

this rating factor. Leveraging in excess

of the 25% of the grant amount will

receive a higher point value. In

evaluating this factor HUD will

consider:

The extent to which you have

partnered with other entities to secure

additional resources to increase the

effectiveness of your proposed program

activities. The budget, the work plan,

and commitments for additional

resources and services, other than the

grant, must show 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 at least 25% of the RSDM grant

amount proposed in this application.

‘‘Firmly committed’’ means there must

be a written agreement with the

provider of resources, signed by an

official legally able to make

commitments on behalf of the

organization. The signed, written

agreement may be contingent upon you

receiving a grant award. Other resources

and services may include: the value of

in-kind services, contributions or

administrative costs provided to the

applicant; funds from Federal sources

(not including RSDM funds); funds from

any State or local government sources;

and funds from private contributions.

You may also partner with other

program funding recipients to

coordinate the use of resources in your

target area.

You 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 with the provider of

resources signed by an official legally

able to make commitments on behalf of

the organization. This agreement may be

contingent upon you 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.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

This factor addresses the extent to

which your 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 your

application addresses:

(1) Coordination with the

Consolidated Plan (2 Points for Family

RSDM applicants and 6 points for

Elderly and Persons with Disabilities

RSDM applicants. More points are

awarded for Elderly and Persons with

Disabilities RSDM applications in order

to balance other sections of the rating

criteria where points are not applicable

to an Elderly and Persons with

Disabilities RSDM applicant.)

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 furthers fair

housing choice in the community.

(2) For Family RSDM Applications,

Coordination with the State and/or

Local Welfare Plan (4 Points): Provides

evidence that your proposed RSDM

program has been coordinated with and

supports the PHA’s, efforts to increase

resident self-sufficiency and is

coordinated and consistent with the

State, or local Welfare Plan.

(3) Coordination with Other Activities

(4 Points) Demonstrates that in carrying

out your program activities, you will

develop linkages with: other HUDfunded 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.

(D) Application Selection Process for

Service Coordinators

Applicants for Service Coordinators

are required to address application

submission requirements but are not

required to address selection factors.

Eligibility will be determined by

applications that meet the threshold

requirements of Section IV of this

program section of the SuperNOFA.

VI. Application Submission

Requirements

(A) All Applications. All applications

for assistance under the ROSS

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12093

competition for all funding categories

must include the forms, certifications

and assurances listed in Section IV of

the General Section of the SuperNOFA

(collectively referred to as the ‘‘standard

forms’’). These forms are:

SF–424, Application Federal

Assistance;

HUD–424M, Federal Assistance

Funding Matrix;

SF–424A, Federal Assistance Budget

Information—Non Construction;

SF–424B, Assurances for NonConstruction Programs;

HUD Form 50070, Drug-Free

Workplace Certification;

HUD Form 50071, Certification of

Payments to Influence Federal

Transactions, and if applicable SF–LLL,

Disclosure of Lobbying Activities;

HUD Form 2880, Applicant/Recipient

Disclosure/Update Report;

HUD Form 2992, Certification of

Debarment and Suspension;

HUD Form 2993, Acknowledgment of

Application Receipt.

The standard forms can be found in

Appendix B to the General Section of

the SuperNOFA. The remaining

application items that are forms (i.e.,

excluding such items as narratives),

referred to as the ‘‘non-standard forms’’

can be found as Appendix A to this

program section of the SuperNOFA.

All applicants must include the

following information regardless of the

category under which they are applying

for funds.

(1) ROSS Application Cover Sheet;

(2) ROSS Fact Sheet;

(3) ROSS Program Summary;

(4) Certification of Consistency and

Compliance with threshold

requirements of General Section of the

SuperNOFA;

(5) You must provide assurance that

you will comply under section 109 of

the Housing and Community

Development Act of 1974 and that you

have resolved to the satisfaction of the

Department before the application

deadline any letter of noncompliance

findings under section 109.

(6) Match Requirement. (a) You must

supplement grant funds with an in-kind

and/or cash match of not less than 25%

of the grant amount. This match does

not have to be a cash match. The match

may include: the value of in-kind

services, contributions or administrative

costs provided to the applicant; funds

from Federal sources (but not ROSS

funds); funds from any State or local

government sources; and funds from

private contributions. Any services,

such as child care or mentoring,

conducted by elderly or persons with

disabilities residents who are not TANF

participants, will not be counted toward

your match requirement. You may also

satisfy the match requirement by

establishing the in-kind value of

computer and office equipment,

software and space used for training in

computer technology, education/

employment and skills development for

self sufficiency training programs such

as Twenty/20 Education Communities

(TEC Centers) or Neighborhood

Networks Centers.

(b) You must demonstrate that the

cash or in-kind resources and services,

which you will use as match amounts

(including resources from a

Comprehensive Grant, other

governmental units/agencies of any

type, and/or private sources, whether

for-profit or not-for-profit), are firmly

committed and will support the

proposed grant activities. ‘‘Firmly

committed’’ means there must be a

written agreement to provide the

resources and services signed by an

official legally able to make

commitments on behalf of the

organization and specifies the cash and/

or in-kind assistance to be provided. If

offering in-kind assistance, the letter

should provide an estimated dollar

value for the in-kind services. The

written agreement may be contingent

upon your receiving a grant award. The

following are guidelines for valuing

certain types of in-kind contributions:

(c) 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 services

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 activity is located; and

(d) 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 activity is located, as

appropriate. You may also satisfy the

match requirement by establishing the

in-kind value of computer and office

equipment, software and space used for

training in computer technology,

education/employment and skills

development for sufficiency training

programs such as Twenty/20 Education

Communities (TEC Centers) or

Neighborhood Networks Centers.

(B) RMBD Applications. Applicants

for Resident Management and Business

Development grants are required to

address application submission

requirements, but are not required to

address selection factors. A threshold

review, and not application submission

requirements, will be used for

determining eligibility for first-come

first serve funding.

All applications for funding under

this funding category must contain the

following documents and information

(Please note that items 1–9 are threshold

requirements used to determine awards

for this category; items 10–13 will be

used for grant administration):

(1) Your application must contain a

written certification that at least 51

percent of the public housing residents

to be included in the proposed program

are currently eligible to receive, are

currently receiving, or have received

within the preceding four years,

assistance or services funded under the

TANF, SSI, or food stamp programs.

(2) Your application must contain a

signed Memorandum of Understanding

(MOU) between the RA and the PHA or

the RO/RMC and the Tribe/TDHE which

describes the specific roles,

responsibilities and activities to be

undertaken by all parties to the MOU.

Your MOU, at a minimum must identify

the principal parties (i.e. the name of

the PHA or tribe/TDHE and RA or RO,

the terms of agreement), expectations or

terms for each party, and indicate that

the agreement pertains to the support of

your grant application. This document

is the basis for the foundation of the

relationship between the RA or RO and

PHA or tribe/TDHE. The MOU 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 or

RO and PHA or tribe/TDHE upon

submission of the application.

(3) Accessible Community Facility.

You must provide written evidence (e.g.

through an executed use agreement if

the facility is to be provided by an entity

other than the PHA or 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 transportation of the property

represented by the PHA or tribe/TDHE.

The written agreement must certify that

community facilities meet the structural

accessibility requirement of section 504

of the Rehabilitation Act of 1973 and the

Americans With Disabilities Act of

1990.

(4) Your application must contain

letter(s) of support indicating

supplemental grant funds of not less

than 25% of the grant amount. See

Section VI(A)(5) of the program section

of this SuperNOFA.

12094 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(5) For applicants other than Tribes/

TDHEs, you must provide either a

signed certification from HUD or an

Independent Public Accountant that

your financial management system and

procurement procedures fully comply

with 24 CFR part 84, or your application

must contain a signed Contract

Administrator Partnership Agreement

that you will use the services of a

Contract Administrator in administering

your grant. Applicants that are troubled

PHAs or tribes/TDHEs are required to

provide written agreement that a

Contract Administrator has been

retained for the term of the grant. In

cases where the Contract Administrator

is the PHA or tribe/TDHE, the Contract

Administration responsibilities can be

incorporated into the MOU discussed

above.

(6) Except for Tribes/TDHEs, if you

are a RA/RC/RMC/CWRO you must

include evidence that your organization

is registered with the State as a

nonprofit corporation at the time of

application submission or has section

501(c) status with the United States

Internal Revenue Service at the time of

application. Evidence of State

registration shall be a copy of the

certificate of incorporation or certificate

of good standing from the State

Government (i.e. Secretary of State or

Secretary of Corporations). Evidence of

501 (c) status shall be a copy of the IRS

501 (c) designation.

(7) Certification of Resident Council

Board Elections. If you are a Resident

Organization, you must submit

certifications of the RA ROs board

election as required by HUD, signed by

the local PHA or tribe/TDHE and/or an

independent third party monitor and

notarized;

(8) List of RAs or ROs participating

with the City-Wide Resident

Organization (CWRO). You must list in

your application, the name(s) of RAs or

ROs that will receive services and you

must submit letters of support from each

RA or RO identified in your application;

(9) Physical Improvements. You must

submit a description of the renovation

or conversion to be conducted along

with a budget and timetable for those

activities. You must demonstrate a firm

commitment of assistance from one or

more sources ensuring that supportive

services will be provided for not less

that 2 years following the completion of

renovation, conversion, or repair

activities funded under this ROSS

competition.

The following are application

submission requirements and will not

be used for determining eligibility for

first-come first serve funding.

(10) Explanations for proposed grant

activities must be provided by narrative

statements or descriptions;

(11) Resident Management and

Business Development grant

applications must include a narrative

description (two page limit) describing

the activities that you will carry out

with RMBD grant funds. Your

description must include specific goals,

objectives and program strategies that

will result in successful transition of

residents from welfare to work or other

proposed grant activities;

(12) Your RMBD application must

provide information about the RA or

RO, including its history, staff

qualifications, and its previous

experience (two page limit). For

proposed grant staffing, you must

include a resume or summary of

qualifications for all proposed grant

staff:

Chart A—RMBD Program Staffing

Chart B—RMBD Applicant/

Administrator Track Record

Chart C—Summary RMBD Budget

line Items

(13) You must provide a summary of

a proposed work plan to carry out

proposed grant activities. This work

plan must include tasks, budgeted

amounts, and dates for all activities

during the grant period.

Chart D—Budget Workplan Summary

(C) Applications for Capacity Building

or Conflict Resolution. All applications

for funding under this funding category

must contain the following documents

and information. Only threshold

requirements, an not application

submission requirements, will be used

for determining eligibility for funding.

(Please note that items 1–8 are threshold

requirements for a threshold review that

will be used to determine awards for

this category; items 9–13 will not be

used to select awardees):

(1) Written Agreement with Mediator.

Only conflict Resolution applicants

must develop a work plan with a

professional mediator or ‘‘grass roots’’

mediation organization (mediation/

partner) that outlines the roles and

responsibilities of each party. The work

plan must specify that the mediation/

partner will train grantee staff and/or

volunteers such that the grantee will be

capable of providing mediation

assistance independently by the end of

the grant term.

(2) Mediation Experience/Referral

Agreement. Only conflict Resolution

applicants must provide evidence that

their mediator/partner has at least one

year of experience in providing

mediation services and at least one year

of mediation training. Include either one

referral agreement with a judicial, law

enforcement, or social service agency

such as the court system or Welfare

Department for mediation of public

housing residents, or a narrative

description of direct experience with

public or assisted housing residents.

(3) Except for Tribes/TDHEs,

applicant Nonprofit Status. You must

provide evidence that your organization

has registered with the State as a

nonprofit corporation or has 501(c)

nonprofit corporation status with the

United States Internal Revenue Service

at the time of application submission.

(4) Your application must contain

letter(s) of support indicating

supplemental grant funds of not less

than 25% of the grant amount. See

Section VI(A)(5) of this program section

of the SuperNOFA.

(5) List of RAs or ROs Receiving

Support. In CB and CR applications, you

must list in your application the name

of the RAs or ROs that will receive

training, technical assistance and/or

coordinated supportive services and you

must submit letters of support from each

entity identified in your application.

(6) For applicants other than Tribes/

TDHEs, you must provide either a

signed certification from HUD or an

Independent Public Accountant that

your financial management system and

procurement procedures fully comply

with 24 CFR part 84 or part 85, or your

application must contain a signed

Contract Administrator Partnership

Agreement that you will use the services

of a Contract Administrator in

administering your grant. Applicants

that are troubled PHAs are required to

provide written agreement that a

Contract Administrator has been

retained for the term of the grant. In

cases where the Contract Administrator

is the PHA the Contract Administration

responsibilities can be incorporated into

the MOU discussed below.

(7) Your application must contain a

signed Memorandum of Understanding

(MOU) between the RA or RO and PHA

or tribe/TDHE which describes the

specific roles, responsibilities and

activities to be undertaken by all parties

to the MOU. Your MOU, at a minimum

must identify the principal parties (i.e.

the name of the PHA or tribe/TDHE and

IRO/nonprofit, the terms of agreement),

expectations or terms for each party,

and indicate that the agreement pertains

to the support of your grant application.

This document is the basis for the

foundation of the relationship between

the IRO/nonprofit and PHA or tribe/

TDHE. The MOU must be precise and

outline the specific duties and

objectives to be accomplished under the

grant. All MOUs must be finalized,

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12095

dated and signed by duly authorized

officials of both the IRO/nonprofit and

PHA or tribe/TDHE upon submission of

the application.

(8) You must provide written

evidence (e.g., through an executed

space use agreement if the facility is to

be provided by an entity other than the

PHA or tribe/TDHE) that proposed CB/

CR activities or training will take place.

The community facilities must be

within easy transportation access (i.e.,

walking or by direct (no transfers

required), convenient, inexpensive and

reliable transportation of the property

represented by the PHA or tribe/TDHE.

The written agreement must certify that

community facilities meet the structural

accessibility requirement of section 504

of the Rehabilitation Act of 1973 and the

Americans With Disabilities Act of

1990.

The following are application

submission requirements. Only

threshold requirements, and not

application submission requirements,

will be used to determine eligibility for

first-come first serve funding.

(9) Explanations for proposed grant

activities must be provided by narrative

statements or descriptions as well as the

forms indicated below:

(10) Needs Assessment. For the CB

and CR grant applications you must

provide a narrative description of

proposed activities that addresses the

following information:

(i) A description of the geographic

boundaries of the RAs, ROs or RMCs

included in the application;

(ii) A description of the public

housing community;

(iii) A detailed description of the

issues or problems involved with each

RA or RO to be served by the grant; and

(iv) The resources that are currently

being devoted to the problem or issue

under consideration.

(11) Proposed Program Activities. CB/

CR grant applications must include a

narrative description describing the

activities that you will carry out with

CB/CR grant funds. Your description

must include specific goals, objectives

and program strategies that will result in

successful proposed grant activities;

(12) Experience and Staffing. Your

CB/CR grant application must provide

information about the your organization,

including its history, staff qualifications,

and its previous experience (two page

limit). For proposed grant staffing, you

must include a resume or summary of

qualifications for all proposed grant

staff:

Chart A—CB/CR Program Staffing

Chart B—CB/CR Applicant/

Administrator Track Record

Chart C—Summary CB/CR Budget

Line Items

(13) Budget and Cost Information.

You must provide a summary of your

proposed work plan to carry out your

proposed grant activities. The work plan

must include tasks/activities, budgeted

amounts, and start and end dates for all

activities during the grant period.

Chart D—Budget Workplan Summary

(D) Application Submission

Requirements for Resident Service

Delivery Models. All applications for

funding under this funding category

must contain the following documents

and information (Please note that items

1–10 are threshold requirements for a

threshold review will be used to

determine scoring of rating and ranking

factors for this category):

(1) Your application must contain a

written certification that at least 51

percent of the public housing residents

to be included in the proposed program

are currently eligible to receive, are

currently receiving, or have received

within the preceding four years,

assistance or services funded under the

TANF, SSI, or food stamp programs.

(2) Elderly and/or Persons with

Disabilities Housing Development

Certification. A certification that at least

25% of the residents of the

development(s) proposed for grant

activities are elderly and/or non-elderly

people with disabilities at the time of

application.

(3) Accessible Community Facility.

You must provide evidence (e.g.,

through an executed use agreement if

the facility is to be provided by an entity

other than the PHA or 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 transportation of the property

represented by the PHA or tribe/TDHE.

The written agreement must certify that

the community facilities meet the

structural accessibility requirements of

section 504 of the Rehabilitation Act of

1973 and the Americans With

Disabilities Act of 1990.

(4) Your application must contain

letter(s) of support indicating

supplemental grant funds of not less

than 25% of the grant amount. See

Section VI(A)(5) of this program section

of the SuperNOFA.

(5) Physical Improvements. You must

submit a description of the renovation

or conversion to be conducted along

with a budget and timetable for those

activities. You must demonstrate a firm

commitment of assistance from one or

more sources ensuring that supportive

services will be provided for not less

that 2 years following the completion of

renovation, conversion, or repair

activities funded under this ROSS

competition.

(6) Except for PHA’s or tribes/TDHEs,

you must provide either a signed

certification from HUD or an

Independent Public Accountant that

your financial management system and

procurement procedures fully comply

with 24 CFR part 84 or 85, or your

application must contain a signed

Contract Administrator Partnership

Agreement that you will use the services

of a Contract Administrator in

administering your grant. Applicants

that are troubled PHAs are required to

provide evidence that a Contract

Administrator has been retained for the

term of the grant. In cases where the

Contract Administrator is the PHA the

Contract Administration responsibilities

can be incorporated into the MOU

discussed below.

(7) Applicant Non-Profit Status.

Except for PHAs or tribes/TDHEs, you

must provide evidence that the

applicant is registered with the State as

a nonprofit corporation or has 501(c)

status with the United States Internal

Revenue Service at the time of

application submission. Evidence of

State registration shall be a copy of the

certificate of incorporation or certificate

of good standing from the State

Government (i.e. Secretary of State or

Secretary of Corporations). Evidence of

501(c) status shall be a copy of the IRS

501(c) designation.

(8) Certification of Resident Council

Board Elections;

(9) List of RAs or ROs Receiving

Support. In RSDM applications you

must list in your application the name

of the RAs or ROs that will receive

training, technical assistance and/or

coordinated supportive services and

must submit letters of support from each

entity identified in your application.

(10) Responses to Factors of Award

may be narrative statements or

descriptions and the forms indicated

below:

Factor 1—Capacity of the Applicant and

Relevant Organizational Experience;

Chart A—Program Staffing

Chart B—Applicant/Administrator

Track Record

Factor 2—Need/Extent of the Problem;

Chart C—Summary Budget line Items

Chart D—Budget Workplan Summary

Factor 3—Soundness of Approach;

Factor 4—Leveraging Resources; and

Factor 5—Comprehensiveness and

Coordination.

Certification of Consistency with the

Consolidated Plan

12096 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Bonus Points

Certification of Consistency with the

EZ/EC Strategic Plan

Certification of an Apprenticeship

Program

(E) Application Submission

Requirements for Service Coordinators

for the Elderly and Persons with

Disabilities. All applications for funding

under this funding category must

contain the following documents and

information (Please note that items 1–4

are threshold requirements for a

threshold review to be used to

determine renewal funding for this

category):

(1) Elderly Housing Development

Certification. A certification that at least

25% of the residents of the

development(s) proposed for grant

activities are elderly and/or non-elderly

people with disabilities at the time of

application.;

(2) Accessible Community Facility.

The application must provide evidence

(e.g., through an executed use agreement

or MOU if the facility is to be provided

by an entity other than the PHA. The

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 transportation, to the property

represented by the PHA. Your executed

use agreement or MOU must specifically

state that the community facilities meet

the structural accessibility requirements

of section 504 of the Rehabilitation Act

of 1973 and the Americans With

Disabilities Act of 1990.

(3) Your application must contain

letter(s) of support indicating

supplemental grant funds of not less

than 25% of the grant amount. See

Section VI(A)(5) of this program section

of the SuperNOFA.

(4) SC Request Letter Format;

The following are application

submission requirements. Only

threshold requirements, and not

application submission requirements,

will be used for determining eligibility

for renewal funding.

(5) Evidence of comparable salaries in

local area;

(6) Lead Agency letter format (if

appropriate);

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

It is anticipated that most activities

under this ROSS funding will be

categorically excluded under 24 CFR

58.34(a)(3) or (a)(9), 58.35(b)(2) or (b)

(4), 50.19(b)(3), (b)(9), (b)(12), or (b)(14).

An applicant proposing any acquisition,

including long-term leasing, disposition,

or physical development activities is

prohibited from rehabilitating,

converting, leasing, repairing or

constructing property, or committing or

expending HUD or non-HUD funds for

these types of program activities, until

one of the following has occurred:

(1) If the grantee is not a PHA or

tribes/TDHEs, HUD has completed an

environmental review to the extent

required by 24 CFR part 50, prior to

grant award.

(2) If the grantee is a PHA or tribe/

TDHE, HUD has approved the grantee’s

Request for Release of Funds (HUD

Form 7015.15) following a Responsible

Entity’s completion of an environmental

review under 24 CFR part 58, where

required, or if HUD has determined in

accordance with § 58.11 to perform the

environmental review itself under part

50, HUD has completed the

environmental review.

IX. Authority

Section 34 of the U.S. Housing Act of

1937 and 24 CFR 964.

Appendix A

The non-standard forms, which follow, are

required for the ROSS application.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR THE

RURAL HOUSING AND ECONOMIC

DEVELOPMENT PROGRAM

Program Overview

Purpose of Program: The purpose of

the Rural Housing and Economic

Development (RHED) program is to

build capacity at the State and local

level for rural housing and economic

development and to support innovative

housing and economic development

activities in rural areas. The funds made

available under this program will be

awarded competitively, through a

selection process conducted by HUD in

consultation with the United States

Department of Agriculture (USDA).

Available Funds: Approximately $24

million in Fiscal Year (FY) 2001

funding. Adjustments to Funding. HUD

reserves the right to utilize this year’s

funding to fund previous year’s errors

prior to rating and ranking this year’s

applications. HUD reserves the right to

reallocate funds between categories to

achieve the maximum allocation of

funds in both categories.

Eligible Applicants: Local rural nonprofit organizations, community

development corporations, Indian

tribes, State housing finance agencies,

and State economic development or

community development agencies.

Application Deadline: April 6, 2001.

Match: None.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and application

submission requirements. You should

note that the total narrative response to

all rating factors described under

Section V(C) should not exceed 15

pages, and must be submitted on 8.5′′ by

11′′ paper using a 12 point size, with

lines double spaced and printed only on

one side. Please note that although

submitting pages in excess of the page

limit will not disqualify your

application, HUD will not consider the

information on any excess pages, which

may result in a lower score or failure to

meet a threshold. In addition, please

review the following information:

I. Application Due Date, Further

Information and Technical Assistance

Application Due Date: Completed

applications (one original and two

copies) must be submitted on or before

12:00 midnight, Eastern time, on April

6, 2001, to the HUD Headquarters

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).

Address for Submitting Applications:

Completed applications (one original

and two copies) 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; ATTN: Office of Rural Housing

and Economic Development. When

submitting your application, please

include your name, mailing address

(including zip code), telephone number,

and fax number (including area code).

For Application Kits. An application

kit is not necessary for submitting an

application in response to this

announcement. This announcement

contains all the information necessary

for the submission of your application

for the Rural Housing and Economic

Development Program.

For Further Information and

Technical Assistance. All information

and materials required to submit an

application for funding under the HUD

Rural Housing and Economic

Development program are included in

the Appendix to this NOFA.

For information concerning the HUD

Rural Housing and Economic

Development program, contact Mr.

Marty Horwath, Community Planning

and Development Specialist, Office of

Rural Housing and Economic

Development (RHED), Office of

Economic Development, Office of

Community Planning and Development

(CPD), Department of Housing and

Urban Development, 451 7th Street, SW,

Room 7136, Washington, DC 20410;

telephone (202) 708–2035 (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.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of an

application. For more information about

the date and time of this broadcast, you

should consult the HUD web site at

http://www.hud.gov.

Prior to the application deadline,

HUD staff at the numbers above and

local CPD field office Economic

Development (ED) Specialists will be

available to provide general guidance,

but not guidance in actually preparing

the application. Following selection, but

prior to award, HUD staff will be

available to assist in clarifying or

confirming information that is a

prerequisite to the offer of an award by

HUD.

II. Amount Allocated

(A) Available Funds. Approximately

$24 million in Fiscal Year (FY) 2001

funding is being made available through

this program section of the SuperNOFA.

The breakdown for this funding is

discussed below.

(B) The FY 2001 HUD Appropriations

Act. The Departments of Veterans

Affairs and Housing and Urban

Development, and Independent

Agencies Appropriations Act, 2001

(Pub. L. 106–377 approved October 27,

2000 ) (the ‘‘FY 2001 HUD

Appropriations Act’’) made $25 million

in FY 2001 funds available under the

Rural Housing and Economic

Development program.

(C) Funding Categories/ Maximum

Award Amounts. HUD will award up to

approximately $24 million on a

competitive basis in the following

funding categories.

(1) Capacity Building. HUD will

award up to approximately $12 million

to build capacity. This amount will go

directly to local rural nonprofits,

community development corporations

(CDCs) and Indian tribes to support

innovative housing and economic

development activities to increase

capacity. The maximum amount

awarded to a successful applicant in

this category will be $150,000. If you

received a RHED grant in either FY 1999

or FY 2000 for capacity building, the

maximum amount you can receive in

this category will be $100,000.

(2) Support for Innovative Housing

and Economic Development Activities.

HUD will award up to approximately

$12 million to Indian tribes, State

Housing Finance Agencies (HFA)s, state

community and/or economic

development agencies, local rural nonprofits and CDCs to support innovative

housing and economic development

activities in rural areas. The maximum

amount awarded to a successful

applicant in this category will be

$400,000.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. (1)

Background. There is a great need for

expanding the supply of housing in

rural America, particularly affordable

housing for low income families and

individuals. There are a number of rural

areas which have experienced rapid inmigration as a result of a growth in

employment opportunities, but which

have a shortage of affordable housing. In

addition, because of out-migration from

rural areas, and other factors causing

12190 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

economic dislocation, many rural areas

suffer from severe economic distress.

There has been a growing national

recognition of the need to enhance the

capacity of Indian tribes, local rural

nonprofits, CDCs, and State community

and economic development agencies to

expand the supply of affordable housing

and to engage in economic development

activities in rural areas.

A number of resources are available

from the Federal government to address

these problems, including programs of

the United States Department of

Agriculture (USDA), the Economic

Development Administration (EDA), the

Appalachian Regional Commission

(ARC), the Department of Interior (for

Indian Tribes) and HUD. The Rural

Housing and Economic Development

program has been developed to

supplement these resources and to focus

specifically on capacity building and

innovative approaches to housing and

economic development in rural areas. In

administering these funds, HUD will

encourage coordination between all

Federal agencies in support of the

program objectives.

(2) Definitions. Appalachia’s

Distressed Counties means those

counties in Appalachia that the

Appalachian Regional Commission

(ARC) has determined to have

unemployment and poverty rates that

are 150 percent of the respective U.S.

rates and per capita income that is less

than 67 percent of the U.S. per capita

income, and counties with 200 percent

of the U.S. poverty rate and one other

indicator. Appendix B to this notice

identifies the ARC’s list of distressed

counties.

Colonia means any identifiable

community that:

(i) Is located in the State of Arizona,

California, New Mexico, or Texas;

(ii) Is located in the U.S.-Mexico

border region (that is, within 150 miles

of the border between the U.S. and

Mexico);

(iii) Meets objective criteria, including

lack of potable water supply, lack of

adequate sewage systems, and lack of

decent, safe, sanitary, and accessible

housing

Farmworker means a farm employee

of an owner, tenant, labor contractor, or

other operator raising or harvesting

agricultural or aquacultural

commodities; or a worker in the

employment of a farm operator,

handling, planting, drying, packing,

grading, storing, delivering to storage or

market, or carrying to market

agricultural or aquacultural

commodities produced by the operator.

Seasonal farmworkers are those farm

employees who typically do not have a

constant year round salary. Migrant

farmworkers are those farm employees

whose work requires travel that

prevents the employee from returning to

his or her permanent place of residence

within the same day.

A firm commitment means the

agreement by which an applicant’s

partner agrees to perform an activity

specified in the application and

demonstrates the financial capacity to

deliver the resources necessary to carry

out the activity, and commits the

resources to the activity either in cash

or through in-kind contributions and is

irrevocable, subject only to approval

and receipt of a FY 2001 RHED grant.

Each letter of commitment should

include the organization’s name, the

applicant’s name, the proposed

program, the proposed total level of

commitment and responsibilities as they

relate to the proposed program. The

commitment must also be signed by an

official of the organization legally able

to make commitments on behalf of the

organization and dated not earlier than

the date of publication of this NOFA. In

documenting a firm commitment, the

applicant’s partner must:

(i) Specify the authority by which the

commitment is made, the amount of the

commitment and the use of funds. If the

committed activity is to be selffinanced, the applicant’s partner must

evidence its financial capability through

a corporate or personal financial

statement or other appropriate means. If

any portion of it is to be financed

through a lending institution, the

participant must evidence the

institution’s commitment to fund the

loan;

(ii) State the amount and use of the

commitment, and the relationship of the

commitment to the proposed

investment; and

(iii) Affirm that the commitment is

not contingent upon another program or

other pending commitments, and state a

willingness on the part of the signatory

to sign a legally binding commitment

(conditioned on HUD environmental

review and approval of a property,

where applicable) upon award of the

grant.

Indian tribe means any entity eligible

to apply for funding under the Indian

Community Development Block Grant

(ICDBG) program (see 24 CFR 1003.5(a)).

The list of federally recognized Indian

tribes can be found notice published by

the Department of the Interior on March

13, 2000, at 65 FR 13299, and is also

available from HUD.

Innovative housing activities means

projects, techniques, methods,

combinations of assistance, construction

materials, and financing institutions or

sources new to the eligible area, or its

population. The innovative activities

can also build upon and enhance a

model that already exists.

Local rural non-profit or community

development corporation means either:

(i) Any private entity with tax exempt

status recognized by the Internal

Revenue Service (IRS) which serves the

eligible rural area involved in the

application (including local affiliates of

national organizations that provide

technical and capacity building

assistance in rural areas); or

(ii) Any public non-profit such as a

Council of Governments that will serve

specific local non-profit organizations in

the eligible area.

Lower Mississippi Delta Region means

the seven state, 219 county/parish

region defined by Congress in the Lower

Mississippi Delta Development Act,

Pub.L. 100–460. Appendix C to this

notice identifies the counties referenced

in the Act.

Rural area may be defined in one of

five ways:

(i) A place having fewer than 2,500

inhabitants (within or outside of

metropolitan areas).

(ii) A county with no urban

population of 20,000 inhabitants or

more.

(iii) Territory, persons, and housing

units in the rural portions of ‘‘extended

cities.’’ The U.S. Census Bureau

identifies the rural portions of extended

cities in the United States.

(iv) Open country which is not part of

or associated with an urban area. The

United States Department of Agriculture

(USDA) describes ‘‘open country’’as a

site separated by open space from any

adjacent densely populated urban area.

Open space includes undeveloped land,

agricultural land, or sparsely settled

areas, but does not include physical

barriers (such as rivers and canals),

public parks, commercial and industrial

developments, small areas reserved for

recreational purposes, and open space

set aside for future development.

(v) Any place with a population not

in excess of 20,000 and not located in

a Metropolitan Statistical Area.

State economic development or

community development agency means

any state agency which has promotion

of statewide or local community/

economic development as its primary

purpose.

State Housing Finance Agency means

any state agency created to assist local

communities and housing providers

with financing assistance for

development of housing in rural areas,

particularly for low and moderate

income people.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12191

(3) Eligible applicants. Eligible

applicants for each of the funding

categories are as follows:

(a) For capacity building funding. If

you are a local rural non-profit, CDC, or

Indian tribe, you are eligible for capacity

building funding to carry out innovative

housing and economic development

activities which may also enable an

applicant to become self-sustaining in

the future.

(b) For support for innovative housing

and economic development activities

funding. If you are a local rural nonprofit, CDC, Indian tribe, State HFA, or

State economic development or

community development agency, you

may apply for funding to support

innovative housing and economic

development activities in rural areas.

(4) Eligible activities. The following

are examples of eligible activities under

the Rural Housing and Economic

Development program. These examples

are illustrative and are not meant to

limit the activities that you may propose

in your application. Any activity that

meets the objective of the Rural Housing

and Economic Development program

will be considered eligible.

(a) For capacity building funding.

Capacity building for innovative rural

housing and economic development

involves the enhancement of existing

organizations to carry out new functions

and/or perform more effectively existing

functions. For organizations, this could

also include ‘‘up front’’ money for

acquiring space and support facilities,

as well as other types of administrative

expenses. This should also focus on

activities which enable the applicant to

become self-sustaining in the future.

Activities in connection with

strengthening existing organizations

include hiring qualified staff,

supporting and training existing staff,

providing software and other tools to

provide networking and research

capability, and obtaining expertise from

outside sources. They also include

training to improve management

capability, including development of

accounting systems, Management

Information Systems (MIS) support,

apprenticeship programs and related

activities. Eligible activities also include

arranging for technical assistance to

conduct need assessments, conduct

asset inventories, and develop strategic

plans. These activities also include the

promotion of fair housing by training

specific local organizations and

residents in fair housing issues, and by

helping them to file fair housing

complaints with HUD, when warranted.

(b) For support of innovative housing

and economic development activities. (i)

This category is intended to support, but

not be limited to, other costs for

innovative housing and economic

development activities. Eligible

activities include preparation of plans,

architectural and engineering drawings

and reports, financial assistance for

acquisition of land and buildings,

demolition, provision of infrastructure,

purchase of materials, construction

costs, the use of local labor markets, and

job training.

Additionally, eligible activities

include homeownership counseling,

application of innovative construction

methods encouraging building design

which reflects terrain, weather, and

availability of indigenous materials.

Besides meeting applicable civil rights

requirements such as the Americans

with Disabilities Act, section 504 of the

Rehabilitation Act of 1973, and the

Federal Fair Housing Act (42 U.S.C.

3601 et seq.), HUD also strongly

recommends that all housing designs be

made ‘‘accessible and visitable.’’ In

addition, HUD encourages the use of

universal design in designing and

constructing units so that the housing

can meet the needs of the largest

number of individuals.

(ii) Other eligible activities include

establishing Community Development

Financial Institutions (CDFIs), lines of

credit, revolving loan funds,

microenterprises, small business

incubators, provision of direct financial

assistance to homeowners/businesses/

developers, etc. This can be in the form

of establishing default reserves, pooling/

securitization mechanisms, loans,

grants, etc. Grantees should demonstrate

that their activities will continue to

serve the populations that are in need

and that beneficiaries will have a choice

of innovative housing and economic

development opportunities as a result of

these activities.

IV. Program Requirements

(A) General. To be eligible for funding

under this program section of this

SuperNOFA, you must meet the

requirements and procedures applicable

to all programs set forth in Section II of

the General Section of the SuperNOFA,

and particularly the civil rights

threshold requirements set forth in

Section II(B) of the General Section. In

addition to these general requirements,

you must meet the following program

specific requirements.

(B) Accounting System Requirements.

RHED requires that successful

applicants have in place an accounting

system that meets the policies,

guidance, and requirements as

described in the following applicable

OMB Circulars and Code of Federal

Regulations:

(1) OMB Circular No. A–87 (Cost

Principles Applicable to Grants,

Contracts and Other Agreements with

State and Local Governments);

(2) OMB Circular No. A–122 (Cost

Principles for Nonprofit Organizations),

OMB Circular No. A–133 (Audits of

States, Local Governments, and NonProfit Organizations);

(3) 24 CFR part 84 (Grants and

Agreements with Institutions of Higher

Education, Hospitals, and other NonProfit Organizations); and

(4) 24 CFR part 85 (Administrative

Requirements for Grants and

Cooperative Agreements to State, Local,

and Federally recognized Indian tribal

governments).

These documents apply to the award,

acceptance and use of assistance under

the Rural Housing and Economic

Development program NOFA, and to the

remedies for noncompliance, except

when inconsistent with the provisions

of the FY 2001 HUD Appropriations

Act, other Federal statutes or the

provisions of this NOFA.

(C) Environmental Review. Selection

for award does not constitute approval

of any proposed sites. Following

selection for award, HUD will perform

an environmental review of activities

proposed for assistance under this part,

in accordance with 24 CFR part 50. The

results of the environmental review may

require that proposed activities be

modified or that proposed sites be

rejected. Applicants are particularly

cautioned not to undertake or commit

funds for acquisition or development of

proposed properties (including

establishing lines of credit that permit

financing of such activities or making

commitments for loans that would

finance such activities from a revolving

loan fund capitalized from funds under

this NOFA) prior to HUD approval of

specific properties or areas. Each

application shall contain an assurance

that you, the applicant, will assist HUD

to comply with part 50; will supply

HUD with all available, relevant

information to perform an

environmental review for each proposed

property; will carry out mitigating

measures required by HUD or select

alternate property; and will not acquire,

rehabilitate, convert, lease, repair or

construct property, not commit or

expend HUD or local funds for these

program activities with respect to any

eligible property, until HUD approval of

the property is received. In supplying

HUD with environmental information,

grantees are to use the same guidance as

provided in the HUD Handbook entitled

‘‘Field Environmental Review

Processing for HUD Colonias Initiative

(HCI) grants’’ issued January 27, 1998.

12192 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(D) Grant Period. Recipients will have

36 months from the date of funding to

complete all project activities except the

final evaluation and reporting,

fulfillment and audit requirements and

final project close-out.

(E) Lead-Based Paint Hazard Control.

All property assisted under the Rural

Housing and Economic Development

program is covered by the Lead-Based

Paint Poisoning Prevention Act (42

U.S.C. 4821–4846) and HUD’s

implementing regulations at 24 CFR part

35.

V. Application Selection Process

(A) Rating and Ranking. (1) General.

To review and rate applications, HUD

may establish panels including outside

experts or consultants to obtain certain

expertise and outside points of view,

including views from other Federal

agencies.

(2) Rating. All applicants for funding

will be evaluated against the criteria

below.

(3) Ranking. Applicants will be

ranked separately within each of the

two funding categories. Applicants will

be selected for funding in accordance

with their rank order in each category.

If two or more applications are rated

fundable and have the same score, but

there are insufficient funds to fund all

of them, the applications(s) with the

highest score for Rating Factor 2 (Need

and Extent of the Problem) shall be

selected. If applications still have the

same score, the highest score in the

following factors will be selected

sequentially until one highest score can

be determined, Rating Factor 3

(Soundness of Approach), Rating Factor

1 (Capacity and Experience), Rating

Factor 5 (Comprehensiveness and

Coordination) and Rating Factor 4

(Leveraging of Resources). To be eligible

for funding in the Innovative category,

an application must have a minimum

score of 25 points for the total combined

number of points for Rating Factors 1

and 3. To be eligible for funding in the

Capacity Building category, an

application must have a minimum score

of 20 points for Rating Factor 3.

(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 (including applicants and

subrecipients that do not meet the fair

housing and civil rights threshold

requirement described in Section II(B)

of the General Section of the

SuperNOFA);

(2) Do not serve an eligible rural area;

or

(3) Propose a program for which

significant activities are ineligible. Such

activities may include, but are not

limited to, use of RHED grant funds for

income payments to subsidize

individuals or families, political

activities, or general governmental

expenses other than expenses related to

the administrative cost of the grant.

(C) Rating 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 102. This

includes two EZ/EC bonus points, as

described in the General Section of the

SuperNOFA.

(D) Notification of Approval and

Disapproval. HUD will notify you

whether or not you have been selected

for an award. If you are selected, HUD’s

notice to you of the amount of the grant

award based on the approved

application will constitute HUD’s

preliminary approval, subject to

negotiation and execution of the grant

agreement by HUD.

Rating Factor 1—Capacity of the

Applicant and Relevant Organizational

Experience (15 points)

This rating factor addresses the extent

to which you have the organizational

resources necessary to successfully

implement your proposed work plan as

further described in Rating Factor 3 in

a timely manner within the 36 month

award period.

Rating standards applicable to

individual funding categories. The two

funding categories have different

objectives. Accordingly, in addition to

the generally applicable rating standard

discussed above, different standards

will be used to judge the experience and

qualifications of the applicants and any

partners for each of the two funding

categories. HUD fully supports emerging

organizations who desire to develop

internal capacity. Therefore, the

following categories will be evaluated:

(1) For Capacity Building. (15 points)

Team members, composition,

experience, organizational structure and

management capacity. HUD will

evaluate the experience of your project

director, core staff, any outside

consultants, contractors, subrecipients,

and members of coalitions to implement

all of the work activities in your

workplan as they relate to innovative

housing and economic development

activities. In evaluating your capacity to

do the work, HUD will assess the recent

and relevancy of the prior work

experience of each of the parties listed

above to execute the prescribed

activities; the services the consultants or

other parties will provide which fill

gaps in your staffing structure to enable

you to carry out the proposed workplan;

the experience of your project director

in managing projects of similar size,

scope, and dollar amount; the lines of

authority and procedures that you have

in place for ensuring that consultants

and workplan goals and objectives are

being met and that beneficiaries are

being adequately served. In judging your

response to this factor, HUD will only

consider work experience gained within

the last 3 years. When responding,

please be sure to provide the dates, job

titles and relevancy of the past

experience to work undertaken by the

employee or contractor under your

proposed RHED application. The more

recent, relevant, and successful the

experience is of your team members in

relationship to the workplan activities,

the greater the number of points that

you will receive.

(2) For Support for Innovative Rural

Housing and Economic Development

Activities. (15 points)

(a) (5 points) Team members,

composition, and experience. HUD will

evaluate the experience of your project

director, core staff, any outside

consultants, contractors, subrecipients,

and members of coalitions to implement

all of the work activities in your

workplan. In evaluating your capacity to

do the work, HUD will assess the recent

and relevancy of the prior work

experience of each of the parties listed

above, to execute the prescribed

activities; the services the consultants or

other parties will provide which fill

gaps in your staffing structure to enable

you to carry out the proposed workplan;

the experience of your project director

in managing projects of similar size,

scope, and dollar amount; the lines of

authority and procedures that you have

in place for ensuring that consultants

and workplan goals and objectives are

being met and that beneficiaries are

being adequately served. In judging your

response to this factor, HUD will only

consider work experience gained within

the last 7 years. When responding,

please be sure to provide the dates, job

titles and relevancy of the past

experience to work undertaken by the

employee or contractor under your

proposed RHED application. The more

recent, relevant, and successful the

experience is of your team members in

relationship to the workplan activities,

the greater the number of points that

you will receive.

(b) (5 points) Organizational structure

and management capacity. HUD will

evaluate the extent to which you can

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12193

demonstrate your ability to manage a

workforce composed of full time and/or

part-time staff as well as consultant staff

and your ability to work with

community-based groups or

organizations in resolving issues related

to affordable housing and economic

development. In evaluating this subfactor, HUD will take into account your

experience in working with communitybased organizations to design and

implement programs which address the

above housing and economic

development issues. The more recent,

relevant, and successful the experience

is of your organization and any

participating entities, the greater the

number of points that you will receive.

(c) (5 points) Experience with

performance based funding

requirements. HUD will evaluate your

experience in producing timely

products and reports in any previous

grant programs undertaken with HUD

funds or other Federal, state, local or

non-profit or for-profit organization

funds. In assessing points for this subfactor, HUD reserves the right to take

into account your past performance in

meeting performance and reporting

goals on any previous HUD awards.

Specific outcomes will be measured in

terms of the number of living wage jobs

created or retained, housing units

rehabilitated or constructed and made

available for low and moderate income

persons, or other relevant objective

performance measures related to your

previous job experience and/or grant

programs. Applicants that can

demonstrate a closer and greater linkage

between the expected outcomes and the

previously generated outcomes will

receive higher points for this sub-factor.

Rating Factor 2—Need and Extent of

the Problem (40 points)

The Rural Housing and Economic

Development program has been

designed to address the problems of

rural poverty, inadequate housing and

lack of economic opportunity. This

Factor addresses the extent to which

there is need for funding the proposed

activities based on levels of distress, and

an indication of the urgency of meeting

the need/distress in the applicant’s

target area. In responding to this Factor,

applications will be evaluated on the

extent to which the level of need for the

proposed activity and the urgency in

meeting the need are documented and

compared, vis-a`-vis, the target area, the

county(ies) and national data.

(1) In applying this Factor, HUD will

compare current levels of need for the

following areas affected by the project:

first, in the area (i.e. Census Tract(s) or

Block Groups), immediately

surrounding the project site or the target

area to be served by the proposed

project; second, in the county in which

the project is to be located, and third, in

the nation. This means that an

application that provides data that show

levels of need in the project area and the

county, expressed as a percent greater

than the national average, will be rated

higher under this Factor.

Notwithstanding the above, an applicant

proposing a project to be located outside

the target area could still receive points

under the Need Factor if a clear

rationale and linkage is provided

linking the proposed project location

and the benefits to be derived by

persons living in more distressed area(s)

of the applicant’s target area.

(2) Applicants should provide data

that address indicators of need as

follows:

(a) Poverty Rate (15 points)—data

should be provided in both absolute and

percentage form (i.e., whole numbers

and percents) for both the target area(s)

and the county; an application that

compares the local poverty rate in the

following manner to the national

average at the time of submission will

receive points under this section as

follows:

(i) Equal to but less than twice the

national average = 5 points;

(ii) Twice but less than three times the

national average = 10 points;

(iii) Three or more times the national

average = 15 points.

(b) Unemployment (10 points)—for

both the target area and county:

(i) Equal to but less than twice the

national average = 2 points;

(ii) Twice but less than three times the

national average = 4 points;

(iii) Three but less than four times the

national average = 6 points;

(iv) Four but less than five times the

national average = 8 points;

(v) Five or more times the national

average = 10 points.

(c) Other indicators of social and/or

economic decline that best capture the

applicant’s local situation (5 points)—

examples that could be provided under

this section are information on the

community’s stagnant or falling tax

base, including recent commercial or

industrial closings, housing conditions,

such as the number and percentage of

substandard and/or overcrowded units,

rent burden (defined as average housing

cost divided by average income) for both

the target area and county, local crime

statistics, etc. To the extent that the

applicant’s Consolidated Plan, its

Analysis of Impediments to Fair

Housing choice (AI), and/or its AntiPoverty Strategy identify the level of

distress in the community and the

neighborhood in which the project is to

be carried out, references to such

documents should be included in

preparing the response to this Factor.

(3) In rating applications under this

Factor, HUD reserves the right to

consider sources of available objective

data other than, or in addition to, those

provided by applicants, and to compare

such data to those provided by

applicants and local crime statistics for

both the project site and the county, etc.

(a) HUD requires use of sound and

reliable data (e.g., U.S. Census data,

State statistical reports, university

studies/reports that are verifiable) to

support distress levels cited in each

application. A source for all information

along with the publication or

origination date must also be provided.

(b) Updated Census data are available

as follows for the listed indicators:

(i) Unemployment rate—estimated

monthly for counties, with a two-month

lag;

(ii) Population—estimated for

incorporated places and counties,

through 1999;

(c) Poverty rate—estimated every two

years, with a three-year lag, with 1997

data being the most recent available.

(d) Demographics of Distress—Special

Factors (10 points). Because of the

concern of HUD with meeting the needs

of certain underserved areas, you will be

awarded a total of ten points if you are

located in or propose to serve one or

more of the following populations, your

application demonstrates that 100

percent of the beneficiaries as supported

by RHED funds are one or more of the

following populations, and you

specifically identify how they will be

served, provided that the proposed

service area meets the definition of

‘‘eligible rural area’’ as described in

Section III(A)(2) of this NOFA:

(i) Areas with very small populations

in non-urban areas (2,500 population or

less);

(ii) Migrant and seasonal

farmworkers;

(iii) Indian Tribes;

(iv) Colonias;

(v) Appalachia’s Distressed Counties;

or

(vi) the Lower Mississippi Delta

Region (7 States and 219 counties/

parishes). For these underserved areas,

you should ensure that the populations

that you serve and the documentation

that you provide is consistent with the

information described in the above

paragraphs under this rating factor.

Rating Factor 3—Soundness of

Approach (30 points)

This factor addresses the overall

quality of your proposed workplan,

12194 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

taking into account the project and the

activities proposed to be undertaken;

the cost-effectiveness of your proposed

program; and the linkages between

identified needs, the purposes of this

program and your proposed activities

and tasks. In addition, this factor

addresses your ability to ensure that a

clear linkage exists between innovative

rural housing and economic

development. In assessing costeffectiveness, HUD will take into

account staffing levels, beneficiaries to

be served, a timetable for delivery of

products and reports and anticipated

products. HUD is also interested in

applicants becoming self-sustaining so

that activities can continue in the future

without relying on further assistance

from the Department. You will receive

a greater number of points if your

workplan is consistent with the purpose

of the RHED program, your program

goals and the resources provided.

(a) (10 points) Management Plan. A

clearly defined management plan which

identifies each of the projects and

activities you will carry out to further

the objectives of this program; describes

the linkage between rural housing and

economic development activities; and

addresses the needs identified in Factor

2, including needs that had been

previously identified in a statewide or

local Analysis of Impediments to Fair

Housing Choice (AI) or Consolidated

Plan. The populations which were

described in demographics that

documented need should be the same

populations which will receive the

primary benefit of the activities, both

immediately and in the long run. You

should address the timetable with

measurable goals and objectives for

carrying out these activities; the method

you will use for evaluating and

monitoring program progress on the

activities and ensuring that the activities

will be completed on time and within

your proposed budget estimates.

Applicants that have a clearly defined

management plan and which can

produce results in less than 36 months

will receive higher rating points for this

sub-factor. Your management plan

should include the budget breakout for

each line item. You are required to

provide documented projected cost

estimates from outside sources.

Applicants should submit their

workplan on a spreadsheet showing

each project, activities under the

project, and tasks (to the extent

necessary or appropriate) in your

workplan with your associated budget

estimate per activity/task. Your

workplan should provide the rationale

for your proposed activities and any

assumptions used in determining your

project timeline and budget estimates.

Failure to provide your rationale may

result in an application receiving zero

points for lack of clarity in the proposed

management plan. Applicants that

propose as part of their workplan

activities that address and support

HUD’s policy priority areas for using

technology advances in the construction

or design of homes produced with these

funds, incorporates accessibility,

visitability and universal design

principles in the design, construction,

or rehabilitation of home produced with

these funds; or creates and uses

apprenticeship programs to create long

term career path opportunities for

community residents, will receive

higher rating points under this subfactor.

(b) (10 points) Expected Outcomes.

HUD will be assessing outcomes

resulting from your proposed workplan

for the likelihood it will result in

measurable and achievable outcomes

that will alleviate or address the needs

described in Rating Factor 2. You must

include in this sub-factor a qualitative

or quantitative description of estimated

outcomes in order to receive points for

this sub-factor. Outcomes may be

described in terms of the estimated

number of new units constructed or

units rehabilitated; jobs retained or

created with accompanying living

wages; loans financed; individuals

trained, counseled or assisted; and/or

number of persons on welfare or underemployed trained in a career path or

apprenticeship program. The exact

nature of the expected outcomes will

vary according to your proposed

workplan. Applicants that can

demonstrate clearly identified outcomes

and the means for ensuring that

outcomes will be tracked and are likely

to be achieved will receive a greater

number of points. Applicants that

propose activities to increase their

capacity to carry out innovative rural

housing and economic development

activities should include among their

projected outcomes performance

measures for maintaining the financial

health and integrity of the organization.

Your proposed workplan and budget

should demonstrate a decreasing

amount of RHED program funds over

the life of your program as a percentage

of the total operating budget and should

include alternate sources of funding for

producing desired outcomes. Applicants

that demonstrate a reduced dependence

on RHED funding over the life of their

award will receive a greater number of

rating points for this sub-factor.

(c) (10 points) Self-monitoring and

Program Evaluation. Your workplan

will be evaluated to ensure that you

have a mechanism for monitoring and

self-assessing your progress in meeting

program goals and objectives, ensuring

that the integrity of the use of funds is

in accordance with OMB Cost Principles

and record-keeping requirements and

the approved program budget.

Therefore, your workplan should

describe and identify the specific steps

that you will take to carry out a selfmonitoring function that meets these

requirements. Applicants that clearly

define roles and responsibilities and

steps to be taken to meet this

requirement will receive a greater

number of rating points in the

evaluation.

Rating Factor 4—Leveraging Resources

(10 points)

This factor addresses the extent to

which applicants for any of the two

funding categories have obtained firm

commitments of financial or in-kind

resources from other Federal, State,

local, and private sources in an amount

of at least fifty percent (50%) of the total

project budget. For every RHED dollar

anticipated, you should provide the

specific amount of dollars leveraged. In

assigning points for this criterion, HUD

will consider the level of outside

resources obtained for cash or in-kind

services that support activities proposed

in your application. Fewer points will

be awarded depending on the extent of

the percentage of leveraging in

comparison with the total project

budget. This criterion is applicable to

both funding categories under this

NOFA. The level of outside resources

for which commitments are obtained

will be evaluated based on their

importance to the total program. You

must provide evidence of leveraging by

including in the application letters of

firm commitment to participate from

any entity, including your own

organization, that will be providing

matching funds to the project. Each

commitment described in the narrative

of this factor must be in accordance

with the definition of ‘‘firm

commitment’’ as defined in Section

III(A)(2) of this NOFA.

Rating Factor 5—Comprehensiveness

and Coordination (5 points)

This factor addresses the extent to

which your proposed program is

coordinated with other ongoing and

related activities in the area you propose

to serve as well as your future strategy

for continuing this activity. The purpose

of this factor is to ensure that whenever

possible, activities are not operated in

isolation, but rather are linked with

related activities and organizations to

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improve the overall effectiveness of all

efforts being undertaken as part of your

total effort. In evaluating this factor,

HUD will consider the extent to which

you have coordinated your activities

with other known organizations, have

participated or promoted participation

in the state or relevant jurisdiction’s

Consolidated Planning process and/or a

statewide or local Analysis of

Impediments to Fair Housing Choice,

and have addressed your described need

in a holistic and comprehensive manner

through linkages with other activities in

the area or approved plans and

programs funded by other local

organizations, state or local

governments, national non-profits or

foundations. The more comprehensive

and relevant your activities are

coordinated with other ongoing and

related innovative rural housing and

economic development activities in

your service area, the more points you

will receive.

(a) (3 points) Describe the

coordination of your proposed plan of

activities or future strategies for this

proposed project with other groups or

organizations in order to best

complement and mutually support

others’ ongoing efforts or programs.

(b) (2 points) Identify specific actions

that have been taken or will be taken to

coordinate comprehensive solutions

through meetings, outreach efforts,

information networks, planning

processes and other mechanisms with:

(i) Other HUD funded projects/

activities; and

(ii) Other Federal, State or locally

funded activities, including those

proposed or ongoing in the area.

EZ/EC Bonus Points (2 points)

HUD will award two bonus points to

all applications that include

documentation stating that the proposed

eligible activities/projects will be

located in and serve Federally

designated Rural Empowerment Zones

or Enterprise Communities (Rural EZs/

ECs). A listing of Federally designated

Rural EZs and ECs is available on the

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

VI. Application Submission

Requirements

(A) Form of Application. You must

submit a separate and distinct

application for each funding category

for which you are applying under this

NOFA. All pages of the application shall

be numbered sequentially. Your

application must include an original

and two copies of the items listed

below.

(B) Application Items. Your

application must contain the items

listed in this section. These items

include the standard forms,

certifications, and assurances listed in

Section II(G) of the General Section of

the SuperNOFA that are applicable to

this funding (collectively, referred to as

the ‘‘standard forms’’). The remaining

application items are forms (i.e.,

excluding such items as narratives),

referred to as the ‘‘nonstandard’’ forms,

that can be found in the Appendices to

this program section of the SuperNOFA.

The items are as follows:

(1) A transmittal letter;

(2) A table of contents;

(3) A signed SF–424 (application

form);

(4) A budget for all funds (Federal and

Non-Federal) and a breakdown of all

Federal funds requested, in the format

provided in the Appendix to this NOFA;

(5) Documentation of funds pledged

in support of Rating Factor 4—

‘‘Leveraging Resources’’ (which will not

be counted in the 15 page limitation);

(6) The required certifications (signed,

as appropriate, and attached as an

Appendix);

(7) Acknowledgment of the

Application Receipt form (submitted

with application and returned to you as

verification of timely receipt).

(8) If you are a private nonprofit

organization, a copy of your

organization’s IRS ruling providing taxexempt status under section 501 of the

IRS Code of 1986, as amended.

(9) The attached forms specifying:

(a) Which category of funds, as

described in Section II(C), you are

applying for. You must submit a

separate and distinct application in each

category for which you applied;

(b) Which of the five definitions of the

term ‘‘rural area’’ set forth in Section

III(A)(2) of this NOFA applies to the

proposed service area and

accompanying documentation as

indicated on the form; and

(c) Which special populations, as set

forth in Rating Factor 2(d), you intend

to serve.

(10) The Environmental Review

Assurance.

(11) Narrative Response to Factors for

Award.

(a) You must describe your

organization and the assignment of

responsibilities for the work to be

carried out under the grant (Rating

Factor 1).

(b) You must describe the need and

extent of the problem (Rating Factor 2).

(i) If you propose to create a new

organization or institution under the

capacity building funding category, you

must provide evidence documenting

that no existing organization or

institution exists which serves the need

identified in the area.

(c) You must submit a workplan

which describes your soundness of

approach and the clear linkage between

rural housing and economic

development (Rating Factor 3). In

addressing this submission requirement,

you must:

(i) Describe the activities you propose

to undertake to address the needs which

have been identified, the linkage

between rural housing and economic

development, and describe the specific

outcomes you expect to achieve.

(ii) Include a management plan which

identifies the specific actions you will

take to complete the proposed activities

on time and a budget in the format

provided which explains the uses of

both Federal and non-Federal funds and

the period of performance under the

grant and your ability to be selfsustaining, should you not be funded by

HUD in future RHED competitions.

(iii) Include a discussion of the

process by which the work

accomplished with the grant will be

evaluated to determine if the objectives

of the grant were met. Be specific

regarding the qualifications of the

evaluator and the process to be used.

(d) You must identify the resources

which will be leveraged by the amount

of this grant’s funding that you are

requesting and explain their importance

to the program (Rating Factor 4). To

receive the maximum number of points

under Rating Factor 4 you must provide

evidence of firm commitments. The

commitment can be contingent upon

HUD site approval following

environmental review.

(e) You must describe the extent to

which your program reflects a

coordinated, community based process

of identifying needs and building a

system to address these needs (Rating

Factor 5).

The total narrative response to all

factors should not exceed 15 pages and

must be submitted on 8.5′′ by 11′′ paper,

using a 12 point size, with lines double

spaced and printed only on one side.

Please note that although submitting

pages in excess of the page limit will not

disqualify your application, HUD will

not consider or review the information

on any excess pages, which may result

in a lower score or failure to meet a

threshold.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

Applications under this program

NOFA are subject to the National

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Environmental Policy Act of 1969 and

applicable related Federal

environmental authorities. (See 24 CFR

part 50, as applicable). An

environmental review will be completed

by HUD before the award of any grant

under this program.

IX. Authority

The Departments of Veterans Affairs

and Housing and Urban Development,

and Independent Agencies

Appropriations Act, 2001 Pub. L. 106–

377, approved October 27, 2000).

Appendix A

The non-standard forms, which follow are

required for your RHED application.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR

CONTINUUM OF CARE HOMELESS

ASSISTANCE PROGRAMS—

SUPPORTIVE HOUSING PROGRAM

(SHP), SHELTER PLUS CARE (S+C),

SECTION 8 MODERATE

REHABILITATION SINGLE ROOM

OCCUPANCY PROGRAM FOR

HOMELESS INDIVIDUALS (SRO)

Program Overview

Purpose of the Programs. The purpose

of the Continuum of Care Homeless

Assistance Programs is to fund projects

that will fill gaps in locally developed

Continuum of Care systems to assist

homeless persons to move to selfsufficiency and permanent housing.

Available Funds. Approximately $850

million.

Eligible Applicants. The chart in the

Appendix A to this program section of

this SuperNOFA identifies the eligible

applicants for each of the three

programs under the Continuum of Care.

Application Deadline. May 31, 2001.

Match. Yes.

Additional Information

If you are interested in applying for

funding under any of the Continuum of

Care Homeless Assistance programs,

please review carefully the General

Section of the SuperNOFA and the

following additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application (an original

containing the signed documentation

and two copies) is due on or before

12:00 midnight, Eastern time, on May

31, 2001 to the addresses shown below.

See the General Section of this

SuperNOFA for specific procedures that

you must follow for the form of

application submissions (e.g., mailed

applications, express mail, overnight

delivery, or hand carried).

Addresses for Submitting

Applications. To HUD Headquarters.

Submit your original completed

application (the application with the

original signed documentation) to:

Room 7270, Office of Community

Planning and Development, Department

of Housing and Urban Development,

451 Seventh Street, SW, Washington,

DC 20410, Attention: Continuum of Care

Programs.

To the Appropriate CPD Field Office.

Also submit two copies of your

completed application to the

Community Planning and Development

Division of the appropriate HUD Field

Office for your jurisdiction. The HUD

Field Office must receive the two copies

of your application by the deadline date

as well. The determination, however,

that your application was received on

time will be made solely on receipt of

the application at HUD Headquarters in

Washington. Reviews will be based

upon the contents of the application

submitted to HUD Headquarters.

For Application Kits. For an

application kit, please call the

SuperNOFA Information Center at 1–

800–HUD–8929 (voice) or 1–800–HUD–

2209 (TTY), or you may download an

application by Internet at http://

www.HUD.gov.

For Further Information. You may

contact the HUD Field Office serving

your area, at the telephone number

shown in Appendix A to the General

Section of the SuperNOFA, or you may

contact the Community Connections

Information Center at 1–800–998–9999

(voice) or 1–800–HUD–2209 (TTY) or by

Internet at: http://www.comcon.org/

ccprog.html.

For Technical Assistance. Before the

application deadline, HUD staff will be

available to provide you with general

guidance. HUD staff, however, cannot

provide you with guidance in actually

preparing your application. HUD Field

Office staff also will be available to help

you identify organizations in your

community that are involved in

developing the Continuum of Care

system. Following conditional selection

of applications, HUD staff will be

available to assist selected applicants in

clarifying or confirming information

that is a prerequisite to the offer of a

grant agreement or Annual

Contributions Contract by HUD.

However, between the application

deadline and the announcement of

conditional selections, HUD will accept

no information that would improve the

substantive quality of your application

pertinent to HUD’s funding decision.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov.

II. Amount Allocated

Approximately $850 million is

available for this competition in FY

2001. Any unobligated funds from

previous competitions or additional

funds that may become available as a

result of deobligations or recaptures

from previous awards or budget

transfers may be used in addition to

2001 appropriations to fund

applications submitted in response to

this program section of this

SuperNOFA. The funds available for the

Continuum of Care program can be used

under any of three programs that can

assist in creating community systems for

combating homelessness. The three

programs are:

(1) Supportive Housing;

(2) Shelter Plus Care; and

(3) Section 8 Moderate Rehabilitation

for Single Room Occupancy Dwellings

for Homeless Individuals.

The chart in the Appendix A to this

program section of this SuperNOFA

summarizes key aspects of the

programs, and also provides the

citations for the statutes and regulations

that authorize these programs. The

regulations listed in the chart provide

more detailed descriptions of each of

the programs.

As in previous funding availability

announcements for the Continuum of

Care Homeless Assistance Programs,

HUD will not specify amounts for each

of the three programs this year. Instead,

the distribution of funds among the

three programs will depend largely on

locally determined priorities and overall

demand. Local priorities

notwithstanding, due to Congressional

action, not less than 30 percent of this

year’s total Homeless Assistance Grants

appropriation of $1.025 billion must be

used for permanent housing projects.

(See Sections V(A)(4)(b) and V(A)(7) of

this program section of the SuperNOFA

for additional information.) Since this

permanent housing set-aside

requirement is expected to continue to

be part of future competitions and may

affect project funding selections as

described below, you are strongly

encouraged to begin planning as soon as

possible for new permanent housing

projects to be included as part of your

submission in this and future

competitions.

In addition, Congress has established

a fund separate from the 2001 Homeless

Assistance Grants appropriation for the

purpose of renewing for one year

eligible Shelter Plus Care Program

grants whose five-year terms are

expiring in FY2002 and Shelter Plus

Care Program grants that have been

extended beyond their original five-year

terms but which are projected to run out

of funds in FY 2002. For Shelter Plus

Care Program renewal grants expiring

or, if having had its grant term

extended, running out of funds, during

the period October 1 through December

31, 2002 (the first quarter of FY 2003),

it is anticipated that the FY 2002 HUD

appropriation will again establish a

separate fund to renew them noncompetitively. However, if such a

separate fund is not established or is

insufficient, then some or all of these

12210 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

renewal grant requests will be included

in and subject to all rules pertaining to

this competition. In order to meet the

expressed Congressional intent not to

divorce these Shelter Plus Care renewals

from the accountability requirements

that are needed to preserve the financial

integrity of the projects, and to ensure

that these projects continue to meet the

needs of the homeless, all Shelter Plus

Care renewals must be submitted as part

of a community’s Continuum of Care

submission. However, these S+C

renewal projects will not count against

your continuum’s pro rata need amount.

On the other hand, no S+C renewal

adjustment will be made to a

Continuum of Care’s pro rata need

amount since these projects are being

funded outside of the competition.

Please be advised that Shelter Plus Care

renewal applications which are not

submitted as part of either a

‘‘consolidated’’ or ‘‘associated’’

Continuum of Care application will not

be considered as eligible for funding.

(See Section VI for a description of the

three options for submitting

applications.)

Should Congress pass and the

President sign legislation prior to this

year’s grant announcement permitting

eligible SHP permanent housing

component renewals selected for

funding in the 2001 competition to be

funded non-competitively, HUD

reserves the right to exercise this

authority. Should this authority be

exercised, HUD will skip over the SHP

permanent housing renewals in

choosing projects from Continuum of

Care priority lists for funding in this

year’s competition. These noncompetitively funded SHP permanent

housing renewals will not count against

your continuum’s pro rata need amount,

thus increasing the funds available for

other projects. You should plan for this

eventuality when developing your

Continuum of Care priority list. SHP

permanent housing renewal

applications which are not submitted as

part of either a ‘‘consolidated’’ or

‘‘associated’’ Continuum of Care

application will not be considered as

eligible for non-competitive funding

under this authority, should it be

exercised.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. (1)

Developing Continuum of Care Systems.

The purpose of the Continuum of Care

Homeless Assistance Programs is to

fund projects that will fill gaps in

locally developed Continuum of Care

systems to assist homeless persons to

move to self-sufficiency and permanent

housing. The process of developing a

Continuum of Care system to assist

homeless persons is part of the

community’s larger effort of developing

a Consolidated Plan. For a community

to successfully address its often

complex and interrelated problems,

including homelessness, the community

must marshall its varied resources—

community and economic development

resources, social service resources,

housing and homeless assistance

resources—and use them in a

coordinated and effective manner. The

Consolidated Plan, including the

Analysis of Impediments to Fair

Housing Choice, serves as the vehicle

for a community to comprehensively

identify each of its needs and to

coordinate a plan of action for

addressing them.

A Continuum of Care system consists

of four basic components:

(a) A system of outreach and

assessment for determining the needs

and conditions of an individual or

family who is homeless;

(b) Emergency shelters with

appropriate supportive services to help

ensure that homeless individuals and

families receive adequate emergency

shelter and referral to necessary service

providers or housing finders;

(c) Transitional housing with

appropriate supportive services to help

those homeless individuals and families

who are not prepared to make the

transition to permanent housing and

independent living; and

(d) Permanent housing, or permanent

supportive housing, to help meet the

long-term needs of homeless individuals

and families.

A Continuum of Care system is

developed through a community-wide

or region-wide process involving

nonprofit organizations (including those

representing persons with disabilities),

government agencies, other homeless

providers, housing developers and

service providers, private businesses

and foundations, and homeless or

formerly homeless persons. A

Continuum of Care system should

address the specific needs of each

homeless subpopulation: The jobless,

veterans, persons with serious mental

illnesses, persons with substance abuse

issues, persons with HIV/AIDS, persons

with multiple diagnoses, victims of

domestic violence, youth, and any

others. The term ‘‘multiple diagnoses’’

may include diagnoses of multiple

physical disabilities or multiple mental

disabilities or a combination of these

two types.

As an applicant, the community

process you use in developing a

Continuum of Care system should

include interested veteran service

organizations. To ensure that the

Continuum of Care system addresses the

needs of homeless veterans, it is

particularly important that you involve

veteran service organizations with

specific experience in serving homeless

veterans. In addition, given the large

number of youths aging out of the Foster

Care system each year who will be

homeless, you should seek to include

persons knowledgeable on this issue in

the planning process.

Your application is more likely to be

given a high score under the Continuum

of Care scoring factors if the application

demonstrates the achievement of three

basic goals:

• That you have provided maximum

participation by non-profit providers of

housing and services; homeless and

formerly homeless persons; state and

local governments and agencies; veteran

service organizations; organizations

representing persons with disabilities;

the private sector; housing developers;

foundations and other community

organizations.

• That you have created, maintained

and built upon a community-wide

inventory of housing and services for

homeless families and individuals;

identified the full spectrum of needs of

homeless families and individuals; and

coordinated efforts to fill gaps between

the current inventory and existing

needs. This coordinated effort must

appropriately address all aspects of the

continuum, especially permanent

housing.

• That you have instituted a

Continuum of Care-wide strategy to

coordinate homeless assistance with

mainstream health, social services and

employment programs for which

homeless individuals and families may

be eligible. These mainstream programs

include Medicaid, Children’s Health

Insurance Program, Temporary

Assistance for Needy Families, Food

Stamps, and services funding through

the Mental Health Block Grant and

Substance Abuse Block Grant,

Workforce Investment Act and the

Welfare-to-Work grant program.

Should HUD determine, in its sole

discretion, that sufficient evidence

exists to confirm that the entity

responsible for convening and managing

the Continuum of Care process in a

community has failed to follow locally

established or accepted procedures

governing the conduct of that process or

has failed to provide for a fair process,

including a project priority selection

process that gives equal consideration to

projects proposed by non profit

organizations, HUD reserves the

authority to impose sanctions up to and

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including a prohibition on that entity

and the individuals comprising that

entity from participating in that capacity

in the future. In making this

determination, HUD will consider as

evidence court proceedings and

decisions, or the determinations of other

independent and impartial review

bodies. This authority cannot be

exercised until after a description of

procedural safeguards, including an

opportunity for comment and appeal,

and the specific process and procedures

for imposing a prohibition or

debarment, have been published in the

Federal Register.

In deciding the geographic area you

will cover in your Continuum of Care

strategy, you should be aware that the

single most important factor in being

awarded funding under this competition

will be the strength of your Continuum

of Care strategy when measured against

the Continuum of Care rating factors

described in this SuperNOFA. When

you determine what jurisdictions to

include in your Continuum of Care

strategy area, include only those

jurisdictions that are involved in the

development and implementation of the

Continuum of Care strategy.

The more jurisdictions you include in

the Continuum of Care strategy area, the

larger the pro rata need share that will

be allocated to the strategy area (as

described in Section V(A)(4) of this

program section of the SuperNOFA).

However, it would be a mistake to

include jurisdictions that are not fully

involved in the development and

implementation of the Continuum of

Care strategy since this would adversely

affect the Continuum of Care score. If

you are a rural county, you may wish to

consider working with larger groups of

contiguous counties to develop a regionwide or multi-county Continuum of

Care strategy covering the combined

service areas of these counties.

Since the basic concept of a

Continuum of Care strategy is to create

a single, coordinated, inclusive

homeless assistance system for an area,

the areas covered by Continuum of Care

strategies should not overlap. If your

Continuum of Care strategy

geographically overlaps to the extent

that it essentially competes with

another, projects in the application/

Continuum of Care that receives the

highest score out of the possible 60

points for Continuum of Care will be

eligible for up to 40 points under Need.

Projects in the competing applications/

Continuum of Care with the less

effective Continuum of Care strategy

will be eligible for only 10 points under

Need. In no case will the same

geographical area be used more than one

time in assigning Need points. The local

HUD Field Office can help you

determine if any of the areas proposed

for inclusion by your Continuum of Care

system is also likely to be claimed under

another Continuum of Care system in

this competition.

(2) Prioritizing. In HUD’s view, project

priority decisions are best made through

a local process, which includes

nonprofit organizations, and are key to

the ultimate goal of reducing

homelessness. Again this year, you must

list all projects proposed for funding in

priority order from the highest priority

to the lowest. Generally, this priority

order will mean, for example, that if

HUD has funds available only to award

8 of 10 proposed projects, then it will

award funding to the first eight eligible

projects listed, except as may be

necessary to achieve the 30 percent

overall permanent housing

requirement—in which case higher

priority non-permanent housing projects

may be skipped over to fund lower

priority permanent housing projects.

Please be advised that since you are

now able to closely calculate your

Continuum of Care’s total pro rata need

amount using information provided to

you from HUD, and now that you no

longer need to carry the large cost

burden imposed by Shelter Plus Care

five-year renewals, the tiering of

projects (splitting into two or more

projects by year or by units) on your

priority list is no longer permitted.

To promote permanent housing, a

special incentive is being provided to

Continuum of Care systems that place

an eligible, new permanent housing

project in the number one priority slot

on the priority list. See Section

V(A)(4)(b) of this program section of the

SuperNOFA for a description of this

incentive.

HUD will use this priority list to

award up to 40 points per project under

the ‘‘Need’’ scoring factors. Higher

priority projects will receive more

points under Need than lower priority

projects. A project priority chart is

included in the application kit and you

should complete and submit it. If you

do not submit clear project priority

designations for the continuum, or if

HUD, at its sole discretion, cannot

determine priority designations, then

HUD will give all projects the lowest

score for Need.

Project renewals. If your Supportive

Housing or Shelter Plus Care grant will

be expiring in calendar year 2002, or if

your Shelter Plus Care Program grant

has been extended beyond its original

five-year term and is projected to run

out of funds in FY 2002, you must apply

under this Continuum of Care program

section of the SuperNOFA to get

continued funding.

Your local needs analysis process

must consider the need to continue

funding for projects expiring in calendar

year 2002, and you must assign a

priority to those SHP projects requesting

competitive renewal. HUD will not fund

competitive renewals out of order on the

priority list except as may be necessary

to achieve the 30 percent overall

permanent housing requirement. HUD

reserves the authority to use FY 2002

funds, if available, to conditionally

select for one year of funding lowerrated eligible SHP renewal projects that

are assigned 40 need points in

continuum of care systems that would

not otherwise receive funding for these

projects.

Regardless of the priority assigned to

expiring projects, you should fully

consider how persons currently being

served by those projects will continue to

be served, and address this issue in your

gaps analysis. To the extent your

community desires to have SHP projects

renewed, you should give them the top

priorities on the priority projects listing

in the application. It is also important

that they and Shelter Plus Care noncompetitive renewals meet minimum

project eligibility and capacity

standards identified in this program

section of the SuperNOFA or they will

be rejected from consideration for either

competitive or non-competitive funding.

For the renewal of a Supportive

Housing Program project, you may

request funding for one (1), two (2) or

three (3) years. For the renewal of a

Shelter Plus Care project, the grant term

will be one (1) year as specified by

Congress. For S+C renewals, you may

request up to the amount determined by

multiplying the number of units under

lease at the time of your application for

renewal funding by the applicable

current Fair Market Rent(s) by 12

months, except that for Shelter Plus

Care grants having been awarded oneyear of renewal funding in 2000, the

number of units requested for renewal

this year may not exceed the number of

units funded in 2000. While full

funding of existing grants may be

requested, there is no guarantee that the

entire amount will be awarded. As is the

case with SHP, HUD will recapture

Shelter Plus Care grant funds remaining

unspent at the end of the previous grant

period when it renews a grant. The oneyear term of non-competitively awarded

Shelter Plus Care renewal projects may

not be extended.

This program section of the

SuperNOFA is not applicable to the

renewal of funding under the SRO

program. For further guidance on SRO

12212 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

renewals, please contact your local HUD

Field Office.

As a project applicant, you are eligible

to apply for renewal of a grant only if

you have executed a grant agreement for

the project directly with HUD. If you are

a project sponsor or subrecipient who

has not signed such an agreement, you

are not eligible to apply for renewal of

these projects. HUD will reject

applications for renewal submitted by

ineligible applicants. If you have

questions about your eligibility to apply

for project renewal, contact the local

HUD field office. To be considered an

applicant when applying as part of a

‘‘consolidated’’ application, you must

submit an originally signed HUD Form

SF–424 and the necessary certifications

and assurances. (See Section VI for a

description of the three options for

submitting an application.) Only public

housing authorities and private

nonprofits are eligible applicants for the

Section 8 Moderate Rehabilitation for

Single Room Occupancy program. If you

are a unit of general local government

acting as an applicant for a consolidated

application and plan to include a

request for Section 8 SRO funds, you

must have a public housing authority or

nonprofit listed as the Section 8 SRO

applicant and they must submit a signed

HUD Form SF–424, along with all

necessary certifications and assurances

applicable to the Section 8 SRO project.

(B) Eligible Applicants. See Appendix

A.

(C) Eligible Activities. See Appendix

A.

IV. Program Requirements

(A) Statutory and Regulatory

Requirements. If your project is selected

for funding as a result of the

competition, you will be required to

coordinate and integrate your homeless

program with other mainstream health,

social services, and employment

programs for which homeless

populations may be eligible, including

Medicaid, Children’s Health Insurance

Program, Temporary Assistance for

Needy Families, Food Stamps, and

services funding through the Mental

Health Block Grant and Substance

Abuse Block Grant, Workforce

Investment Act and the Welfare-to-Work

grant program. In addition, as a

condition for award, any governmental

entity serving as an applicant must

agree to develop and implement, to the

maximum extent practicable and where

appropriate, policies and protocols for

the discharge of persons from publicly

funded institutions or systems of care

(such as health care facilities, foster care

or other youth facilities, or correction

programs and institutions) in order to

prevent such discharge from

immediately resulting in homelessness

for such persons. This condition for

award is intended to emphasize that

States and units of general local

government are primarily responsible

for the care of these individuals, and to

forestall attempts to use scarce

McKinney-Vento Act funds to assist

such persons in lieu of State and local

resources. Program specific

requirements follow:

(1) SRO Program. As an applicant,

you need know that the following

limitations apply to the Section 8 SRO

program:

• Under section 8(e)(2) of the United

States Housing Act of 1937, no single

project may contain more than 100

assisted units;

• Under 24 CFR 882.802, applicants

that are private nonprofit organizations

must subcontract with a Public Housing

Authority to administer the SRO

assistance;

• Under section 8(e)(2) of the United

States Housing Act of 1937 and 24 CFR

882.802, rehabilitation must involve a

minimum expenditure of $3,000 for a

unit, including its prorated share of

work to be accomplished on common

areas or systems, to upgrade conditions

to comply with the Housing Quality

Standards.

• Under section 441(e) of the

McKinney-Vento Act and 24 CFR

882.805(d)(1), HUD publishes the SRO

per unit rehabilitation cost limit each

year to take into account changes in

construction costs. This cost limitation

applies to rehabilitation that is

compensated for in a Housing

Assistance Payments Contract. For

purposes of Fiscal Year 2001 funding,

the cost limitation is raised from

$17,850 to $18,200 per unit to take into

account increases in construction costs

during the past 12-month period.

• The SRO Program is subject to the

Federal labor standards provisions at 24

CFR Part 882, subpart H.

• Individuals assisted through the

SRO Program must meet the definition

of homeless individual found at Section

103 of the McKinney-Vento Act.

(2) Shelter Plus Care/SRO

Component. With regard to the SRO

component of the Shelter Plus Care

program, if you are a State or a unit of

general local government, you must

subcontract with a Public Housing

Authority to administer the Shelter Plus

Care assistance. Also with regard to this

component, no single project may

contain more than 100 units.

(3) Supportive Housing Program.

Please be advised that where an

applicant for Supportive Housing

Program funding is a State or unit of

general local government that utilizes

one or more nonprofit organizations to

administer the homeless assistance

project(s), administrative funds

provided as part of the SHP grant must

be passed on to the nonprofit

organization(s) in proportion to the

administrative burden borne by them for

the SHP project(s). HUD will consider

States or units of general local

government that pass on at least 50

percent of the administrative funds

made available under the grant as

having met this requirement which was

contained in the congressional

committees’ report accompanying the

FY 2001 HUD Appropriations Act. This

requirement does not apply to either the

SRO Program, since no administrative

funds are provided as part of the grant,

or to the S+C Program, since paying the

costs associated with the administration

of these grants is ineligible by

regulation.

(B) Match. You must match

Supportive Housing Program funds

provided for acquisition, rehabilitation,

and new construction with an equal

amount of funds from other sources; for

operating costs, since by law SHP can

pay no more than 75% of the total

operating budget for supportive

housing, you must provide at least 25%

of the annual operating costs. In

addition, you must provide a 25%

match of all SHP funding for supportive

services. The cash source may be you,

the Federal Government, State and local

governments, or private resources. You

must match rental assistance provided

through the Shelter Plus Care Program

in the aggregate with supportive

services.

(C) Linking Housing and Supportive

Services. Many of the clients who will

be served by the HUD programs covered

by this Continuum of Care NOFA may

need services in addition to housing. It

is important that potential grantees

design programs which enhance access

to those needed services. While HUD

recognizes that there are many ways to

ensure that clients receive the services

they need, to the extent possible, the

Department encourages providers to

develop housing programs which do not

require participation in services as a

part of their occupancy requirements

while ensuring that, in the case of

Shelter Plus Care, the supportive service

match requirement is met.

(D) Timeliness Standards. As an

applicant, you are expected to initiate

your approved projects promptly. HUD

may take action if you fail to satisfy the

following timeliness standards:

(1) Supportive Housing Program

• HUD will deobligate SHP funds if

you have not demonstrated site control

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12213

within one (1) year after you were

initially notified of the grant award, as

provided in 24 CFR 583.320(a), subject

to the exceptions noted in that

regulation.

• Except where HUD finds that delay

was due to factors beyond your control,

HUD may deobligate SHP funds if you

do not meet the following additional

timeliness standards:

—You must begin construction

activities within eighteen (18) months

after initial notification of your grant

award and complete them within

thirty-six (36) months after that

notification.

—For activities that cannot begin until

construction activities are completed,

such as supportive service or

operating activities that will be

conducted within the building being

rehabilitated or newly constructed,

you must begin these activities within

three (3) months after you complete

construction.

—You must begin all activities that may

proceed independent of construction

activities within twelve (12) months

after initial notification of your grant

award.

(2) Shelter Plus Care Program

Components Except SRO Component.

Except where HUD finds that delay was

due to factors beyond your control, HUD

will deobligate S+C funds if you do not

meet the following timeliness standards:

• For Tenant-based Rental Assistance,

for Sponsor-based Rental Assistance,

and for Project-based Rental Assistance

without rehabilitation, you must start

the rental assistance within twelve (12)

months of the initial announcement of

the grant award.

• For Project-based Rental Assistance

with rehabilitation, you must complete

the rehabilitation within twelve (12)

months of initial notification of your

grant award.

(3) SRO Program and SRO

Component of the Shelter Plus Care

Program.

For projects carried out under the

SRO program and the SRO component

of the S+C program, the rehabilitation

work must be completed and the

Housing Assistance Payments contract

executed within twelve (12) months of

execution of the Annual Contributions

Contract. HUD may reduce the number

of units or the amount of the annual

contribution commitment if, in HUD’s

determination, the Public Housing

Authority fails to demonstrate a good

faith effort to adhere to this schedule.

V. Application Selection Process

(A) Review, Rating and Conditional

Selection. HUD will use the same

review, rating, and conditional selection

process for all three programs (S+C,

SRO, and SHP). The standard factors for

award identified in the General Section

of this SuperNOFA have been modified

in this program section as described

below. Only the factors described in this

program section—Continuum of Care

and Need—will be used to assign

points. To review and rate applications,

HUD may establish panels. In order to

obtain certain expertise and outside

points of view, including views from

other Federal agencies, these panels

may include persons not currently

employed by HUD. Two types of

reviews will be conducted. Paragraphs

(1) and (2) below describe threshold

reviews and paragraphs (3) and (4)

describe factors—Continuum of Care

and Need—that will be used to assign

points. Up to 104 points (including

bonus points and points for the courtordered consideration described in

Section III(C)(1) and (2) of the General

Section of the SuperNOFA) will be

assigned using these factors.

(1) Applicant and sponsor eligibility

and capacity. HUD will review your

capacity as the applicant and project

sponsor to ensure the eligibility and

capacity standards in this section are

met. If HUD determines these standards

are not met, the project will be rejected

from the competition. The eligibility

and capacity standards are:

• You must be eligible to apply for

the specific program;

• You must demonstrate ability to

carry out the project(s). With respect to

each proposed project, this means that

in addition to knowledge of and

experience with homelessness in

general, the organization carrying out

the project, its employees, or its

partners, must have the necessary

experience and knowledge to carry out

the specific activities proposed, such as

housing development, housing

management, and service delivery;

• If you or the project sponsors are

current or past recipients of assistance

under a HUD McKinney-Vento Act

program, there must have been no delay

in implementing projects exceeding

applicable program timeliness standards

that HUD determines is within your or

the project sponsor’s control,

unresolved HUD finding, or outstanding

audit finding of a material nature

regarding the administration of the

program; and

• You and the project sponsors must

be in compliance with applicable civil

rights laws and Executive Orders, and

must meet the threshold requirements of

Section II(B) of the General Section of

the SuperNOFA.

(2) Project eligibility and quality. HUD

will review projects to determine if they

meet the following eligibility and

quality standards. If HUD determines

the following standards are not met by

a specific project or activity, the project

or activity will be rejected from the

competition.

• The population to be served must

meet the eligibility requirements of the

specific program, as described in this

program section;

• At least one of the activities for

which assistance is requested must be

eligible under the specific program, as

described in the program regulations;

• The housing and services proposed

must be appropriate to the needs of the

persons to be served. HUD may find a

project to be inappropriate if:

—The type and scale of the housing or

services clearly does not fit the needs

of the proposed participants;

—Participant safety in the proposed

housing is not ensured;

—The housing or services are clearly

designed to principally meet

emergency needs rather than helping

participants achieve self-sufficiency;

—Transportation and community

amenities are not available and

accessible; or

—Housing accessibility for persons with

disabilities is not provided as

required by applicable laws;

An SHP or S+C project renewal will

be considered as having met this

requirement through its previously

approved grant application.

• The project must be cost-effective in

HUD’s opinion, including costs

associated with construction,

operations, and administration, with

such costs not deviating substantially

from the norm in that locale for the type

of structure or kind of activity;

• Supportive services only projects,

and all others, must show how

participants will be helped to access

permanent housing and achieve selfsufficiency. An SHP or S+C project

renewal will be considered as having

met this requirement through its

previously approved grant application;

• For the Section 8 SRO program, at

least 25 percent of the units to be

assisted at any one site must be vacant

at the time of application. Tenants

returning after having vacated their

units during the rehabilitation period

are not eligible to receive rental

assistance under the SRO Program since

they do not meet the McKinney-Vento

Act definition of homeless individual;

and

• For those projects proposed under

the SHP innovative category: Whether

or not a project is considered innovative

12214 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

will be determined on the basis that the

particular approach proposed is new

within its geographic area, and can be

replicated.

(3) Continuum of Care. HUD will

award up to 60 points as follows:

(a) Process and Strategy. HUD will

award up to 30 points based on the

extent to which your application

demonstrates:

• The existence of a coordinated and

inclusive community process, including

organizational structure(s), for

developing and implementing a

Continuum of Care strategy which

includes nonprofit organizations (such

as veterans service organizations,

organizations representing persons with

disabilities, and other groups serving

homeless persons), State and local

governmental agencies, other homeless

providers, housing developers and

service providers, private foundations,

local businesses and the banking

community, and homeless or formerly

homeless persons; and

• That a well-defined and

comprehensive strategy has been

developed which addresses the

components of a Continuum of Care

system (i.e., outreach, intake, and

assessment; emergency shelter;

transitional housing; permanent and

permanent supportive housing) and that

strategy has been designed to serve all

homeless subpopulations in the

community (e.g., seriously mentally ill,

persons with multiple diagnoses,

veterans, persons with HIV/AIDS),

including those persons living in

emergency shelters, supportive housing

for homeless persons, or in places not

designed for, or ordinarily used as, a

regular sleeping accommodation for

human beings.

(b) Gaps and Priorities. HUD will

award up to 20 points based on the

extent to which your application:

• Describes the gap analysis

performed, uses reliable information

and sources that are presented

completely and accurately, and

establishes the relative priority of

homeless needs identified in the

Continuum of Care strategy; and

• Proposes projects that are consistent

with the priority analysis described in

the Continuum of Care strategy,

describes a fair project selection

process, explains how gaps identified

through the analysis are being

addressed, and correctly completes the

priority chart.

When HUD reviews a community’s

Continuum of Care to determine the

points to assign, HUD will consider

whether the community took its renewal

needs into account in preparing its

project priority list. (See discussion on

renewals in Section III(A)(2) of this

NOFA.)

(c) Supplemental Resources. HUD

will award up to 10 points based on the

extent to which your application

incorporates mainstream resources and

demonstrates leveraging of funds

requested under this program section of

the SuperNOFA with other resources,

including private, other public, and

mainstream services and housing

programs. To achieve the highest rating

for this factor, applicants must evidence

explicit Continuum of Care-wide

strategies to coordinate homeless

assistance with mainstream health,

social services and employment

programs for which homeless

populations may be eligible. These

include Medicaid, Children’s Health

Insurance Program, Temporary

Assistance for Needy Families, Food

Stamps, and services funding through

the Mental Health Block Grant and

Substance Abuse Block Grant,

Workforce Investment Act and the

Welfare-to-Work grant program.

(d) EZ/EC bonus points. As provided

for in Section III(C)(1) of the General

Section of this SuperNOFA, HUD will

add a bonus of up to 2 points to the

Continuum of Care score when: (1) At

least one proposed homeless assistance

project will be located within the

boundaries and/or will principally serve

the residents of a federal Empowerment

Zone, Enterprise Community, Enhanced

Enterprise Community, or Strategic

Planning Communities (collectively

‘‘EZ/EC’’); and (2) if priority placement

will be given by the project(s) to

homeless persons living on the streets or

in shelters within the EZ/EC, or whose

last known address was within the EZ/

EC. In addition, and in order for a

Continuum of Care system to receive

any of the bonus points, the applicant

must specifically state how it meets the

requirements for the two EZ/EC bonus

points, and provide a narrative

describing the extent of the linkages and

coordination between proposed projects

and the EZ/EC. Examples of such

coordination include having common

board or committee membership (EZ/EC

and Continuum of Care), and having EZ/

EC resources directed toward

Continuum of Care activities. The

greater the extent of EZ/EC involvement

in and coordination with the

implementation strategy for the

Continuum of Care system and projects,

the greater the likelihood that bonus

points will be awarded.

(e) Court-ordered consideration.

Section III(C)(2) of the General Section

is applicable to this program.

(4) Need. HUD will award up to 40

points for need. There is a three-step

approach to determining the need scores

to be awarded to projects:

(a) Determining relative need: To

determine the homeless assistance need

of a particular jurisdiction, HUD will

use nationally available data, including

the following factors as used in the

Emergency Shelter Grants program: data

on poverty, housing overcrowding,

population, age of housing, and growth

lag. Applying those factors to a

particular jurisdiction provides an

estimate of the relative need index for

that jurisdiction compared to other

jurisdictions applying for assistance

under this program section of the

SuperNOFA.

(b) Applying relative need: HUD will

then apply that relative need index to

the total amount of funding estimated to

be available under this program section

of the SuperNOFA to determine a

jurisdiction’s pro rata need. However, in

order to promote permanent housing for

the homeless, if a Continuum of Care’s

number one priority project qualifies as

an eligible, new permanent housing

project, then the full amount of that

project’s eligible activities, up to

$500,000 will be added to the final pro

rata need amount for the Continuum.

HUD also reserves the right to adjust pro

rata need, if necessary, to address SHP

project renewals and any Shelter Plus

Care renewal projects funded under

competitive rules.

(c) Awarding need points to projects:

Once the pro rata need is established, it

is applied against the priority project

list in the application. Starting from the

highest priority project, HUD proceeds

down the list to award need points to

each project. An eligible project will

receive the full 40 points for need if at

least one half of its requested amount

falls within the pro rata need amount for

that Continuum of Care (COC).

Thereafter, HUD proceeds further down

the priority project list and awards 15

points for need to each project if at least

one half of its requested amount falls

within the ‘‘second tier’’ of pro rata

need amount for that Continuum of

Care. The ‘‘second tier’’ is the amount

between the pro rata need and twice the

pro rata need for the COC. Remaining

projects each receive 10 points. If

projects are not prioritized for the

Continuum, then all projects will

receive 10 points for Need.

In the case of competing applications

from a single jurisdiction or service

area, projects in the application that

received the highest score out of the

possible 60 points for Continuum of

Care are eligible for up to 40 points

under Need. Projects in the competing

applications with lower Continuum of

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12215

Care scores are eligible for only 10

points under Need.

(5) Ranking. HUD will add the score

for Continuum of Care to the Need score

and EZ/EC bonus points, if any, to

obtain a total score for each project. The

projects will then be ranked from

highest to lowest according to the total

combined score.

(6) Conditional Selection and

Adjustments to Funding.

(a) Conditional Selection. Whether a

project is conditionally selected, as

described in Section V(B) below, will

depend on its overall ranking compared

to others, except that HUD reserves the

right to select lower rated eligible

projects in order to meet the 30 percent

overall permanent housing requirement.

(See V(A)(7) for additional selection

information.)

When insufficient funds remain to

fund all projects in the competition

having the same total score, HUD will

first fund permanent housing projects if

necessary to achieve the 30 percent

overall permanent housing requirement.

HUD will then break ties among the

remaining projects with the same total

score by comparing scores received by

the projects for each of the following

scoring factors, in the order shown:

Need, Overall Continuum of Care (COC)

score, COC Process and Strategy, COC

Gaps and Priorities, and COC

Supplemental Resources. The final tiebreaking factor is the priority number of

the competing projects on the applicable

COC priority list(s).

(b) Adjustments to Funding. The

Secretary of HUD has determined that

geographic diversity is appropriate to

carrying out homeless assistance

programs in an effective manner. HUD

believes that geographic diversity can be

achieved best by awarding grants to as

many COCs as possible. To this end, in

instances where any of the 50 States, the

District of Columbia, the

Commonwealth of Puerto Rico, Guam,

the Northern Mariana Islands, the Virgin

Islands, and American Samoa does not

have at least one funded COC, HUD

reserves the right to fund eligible

project(s) receiving 40 Need points in

the COC with the highest total score in

that jurisdiction. To qualify for funding,

the total score for these first tier projects

on the COC priority list must be at least

70 points. In the case of two or more

COCs with the same total score, HUD

will use the tie-breaking rules described

above. In addition, if the highest priority

project passing threshold requirements

within a COC fails to meet the criteria

for receiving 40 Need points, HUD

reserves the right to reduce the total

requested amount for that project to

allow it to qualify for 40 Need points.

HUD may otherwise adjust funding of

applications in accordance with the

provisions of Section III(E) of the

General Section of the SuperNOFA. In

addition, HUD reserves the right to

ensure that a project that is applying for,

and eligible for, selection under this

competition is not awarded funds that

duplicate activities.

(7) Additional selection

considerations. HUD also will apply the

limitations on funding described below

in making conditional selections.

In accordance with the appropriation

for homeless assistance grants in the

Fiscal Year 2001 Appropriation Act for

HUD (Pub.L. 106–377, approved

October 27, 2000; 114 Stat. 1441), HUD

will use not less than 30 percent of the

total FY 2001 Homeless Assistance

Grants appropriation to fund projects

that meet the definition of permanent

housing. Projects meeting the definition

of permanent housing for this purpose

are: (1) New Shelter Plus Care projects,

(2) Section 8 SRO projects, and (3) new

and renewal projects designated as

permanent housing for homeless

persons with disabilities under the

Supportive Housing Program, that, in

addition, have been assigned at least 15

Need points, and which are submitted

as part of either a ‘‘consolidated’’ or

‘‘associated’’ Continuum of Care

application receiving at least 20 points

under the Continuum of Care scoring

factor. However, no Continuum of Care

application may receive more than 20

percent of its pro rata need, up to $3

million, for ‘‘second-tier’’ permanent

housing projects assigned 15 Need

points that are selected for funding

under this procedure. (See Section

V(A)(4)(c) for definition of ‘‘secondtier’’.) Since the FY 2001 Homeless

Assistance Grants appropriation is

$1.025 billion, not less than $307.5

million, plus carry over from the FY

2000 competition, must be awarded to

permanent housing projects unless an

insufficient number of approvable

permanent housing projects is

submitted. This permanent housing

funding requirement may result in

higher scoring non-permanent housing

projects being skipped over to fund

lower scoring permanent housing

projects or, within a continuum, higher

priority non-permanent housing projects

being skipped over to fund lower

priority permanent housing projects.

HUD will first skip over new nonpermanent housing projects when

making project selections in order to

meet the 30 percent requirement. If the

30 percent requirement has not been

met after skipping over the new nonpermanent housing projects, then HUD

will skip over non-permanent housing

renewal projects. In skipping over new

non-permanent housing projects, HUD

will begin with the lowest rated, eligible

new non-permanent project at the

funding line and continue up the

ranking until the 30 percent

requirement is met. If HUD is required

to skip over non-permanent housing

renewal projects, HUD will proceed in

the same way.

In accordance with section 429 of the

McKinney-Vento Act, HUD will award

Supportive Housing funds as follows:

not less than 25 percent for projects that

primarily serve homeless families with

children; not less than 25 percent for

projects that primarily serve homeless

persons with disabilities; and not less

than 10 percent for supportive services

not provided in conjunction with

supportive housing. After projects are

rated and ranked, based on the factors

described above, HUD will determine if

the conditionally selected projects

achieve these minimum percentages. If

not, HUD will skip higher-ranked

projects in order to achieve these

minimum percentages.

In accordance with section 463(a) of

the McKinney-Vento Act, as amended

by the Housing and Community

Development Act of 1992, at least 10

percent of Shelter Plus Care funds will

be awarded for each of the four

components of the program: Tenantbased Rental Assistance; Sponsor-based

Rental Assistance; Project-based Rental

Assistance; and Section 8 Moderate

Rehabilitation of Single Room

Occupancy Dwellings for Homeless

Individuals (provided there are

sufficient numbers of approvable

projects to achieve these percentages).

After projects are rated and ranked,

based on the factors described above,

HUD will determine if the conditionally

selected projects achieve these

minimum percentages. If necessary,

HUD will skip higher-ranked projects in

order to achieve these minimum

percentages.

In accordance with section 455(b) of

the McKinney-Vento Act, no more than

10 percent of the assistance made

available for Shelter Plus Care in any

fiscal year may be used for programs

located within any one unit of general

local government. In accordance with

section 441(c) of the McKinney-Vento

Act, no city or urban county may have

Section 8 SRO projects receiving a total

of more than 10 percent of the

assistance made available under this

program. HUD is defining the 10 percent

availability this fiscal year as $10

million for Shelter Plus Care and $10

million for Section 8 SRO. However, if

the amount awarded under either of

these two programs exceeds $100

12216 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

million, then the amount awarded to

any one unit of general local

government (for purposes of the Shelter

Plus Care program) or city or urban

county (for the purposes of the SRO

program) could be up to 10 percent of

the actual total amount awarded for that

program.

Lastly, HUD reserves the right to

reduce the amount of a grant if

necessary to ensure that no more than

10 percent of assistance made available

under this program section of the

SuperNOFA will be awarded for

projects located within any one unit of

general local government or within the

geographic area covered by any one

Continuum of Care. If HUD exercises a

right it has reserved under this program

section of the SuperNOFA, that right

will be exercised uniformly across all

applications received in response to this

program section of the SuperNOFA.

(B) Action on Conditionally Selected

Applications. HUD will notify

conditionally selected applicants in

writing. As necessary, HUD will

subsequently request them to submit

additional project information, which

may include documentation to show the

project is financially feasible;

documentation of firm commitments for

cash match; documentation showing

site control; information necessary for

HUD to perform an environmental

review, where applicable; and such

other documentation as specified by

HUD in writing to the applicant, that

confirms or clarifies information

provided in the application. HUD will

notify SHP, SRO, S+C and S+C/SRO

applicants of the deadline for

submission of such information. If an

applicant is unable to meet any

conditions for fund award within the

specified timeframe, HUD reserves the

right not to award funds to the

applicant, but instead to either: use

them to select the next highest ranked

application(s) from the original

competition for which there are

sufficient funds available; or add them

to funds available for the next

competition for the applicable program.

VI. Application Submission

Requirements

The application kit provides the

application materials, including Form

SF–424 and certifications, that must be

used in applying for homeless

assistance under this SuperNOFA.

These application materials substitute

for the forms, certifications, and

assurances listed in Section II(G) of the

General Section of the SuperNOFA

(collectively, the ‘‘standard’’ forms).

In addition to the required narratives,

the items that you must submit to HUD

as part of the application for homeless

assistance funding are the following:

1. 2001 Application Summary Form

2. Continuum of Care and Project

Exhibits

3. Gaps Analysis Form

4. Project Priorities Form

5. Project Leveraging Form

6. EZ/EC Certification

7. SF–424

8. Applicant Certifications

9. Consolidated Plan Certification(s)

The standard forms can be found in

Appendix B to the General Section of

the SuperNOFA. The remaining forms

(i.e., excluding such items as

narratives), referred to as the nonstandard forms, can be found in

Appendix B to this program section of

the SuperNOFA).

The application requires a description

of the Continuum of Care system and

the proposed project(s). To ensure that

no applicant is afforded an advantage in

the rating of the Continuum of Care

element (described in Section V(A)(3)

above), HUD is establishing a limitation

of 25 pages, excluding required multiple

page tables or charts but including any

attachments, on the length of Exhibit 1

of any application submitted in

response to this NOFA. HUD will not

consider the contents of any pages

exceeding this limit when rating the

Continuum of Care element of any

application. The application kit also

contains certifications that the applicant

will comply with fair housing and civil

rights requirements, program

regulations, and other Federal

requirements, and (where applicable)

that the proposed activities are

consistent with the HUD-approved

Consolidated Plan of the applicable

State or unit of general local

government, including the Analysis of

Impediments to Fair Housing Choice

and the Action Plan to address these

impediments. Projects funded under

this SuperNOFA shall operate in a

fashion that does not deprive any

individual of any right protected by the

Fair Housing Act (42 U.S.C. 3601–19),

section 504 of the Rehabilitation Act of

1973 (29 U.S.C. 794), the Americans

with Disabilities Act of 1990 (42 U.S.C.

12101 et seq.), Title VI of the Civil

Rights Act of 1964 (42 U.S.C. 2000d),

Section 109 of the Housing and

Community Development Act of 1974

(42 U.S.C. 5301) or the Age

Discrimination Act of 1974 (42 U.S.C.

6101). Section II(D) of the General

Section of this SuperNOFA regarding

Affirmatively Furthering Fair Housing

does not apply to the Continuum of Care

Homeless Assistance programs.

There are three options for submitting

an application under this program

section of the SuperNOFA.

One: A ‘‘Consolidated Application’’ is

submitted when a jurisdiction (or a

consortium of jurisdictions) submits a

single application encompassing a

Continuum of Care strategy and

containing all the projects within that

strategy for which funding is being

requested. Individual projects are

contained within the one consolidated

application. Grant funding may go to

one entity which then administers all

funded projects submitted in the

application, or under this option, grant

funding may go to all or any of the

projects individually. Your application

will specify the grantee for each project.

Two: ‘‘Associated Applications’’ are

submitted when applicants plan and

organize a single Continuum of Care

strategy which is adopted by project

sponsors or operators who choose to

submit separate applications for projects

while including the identical

Continuum of Care strategy. In this case,

project funding would go to each

successful applicant individually and

each would be responsible to HUD for

administering its separate grant.

Three: A ‘‘Solo Application’’ is

submitted when an applicant applies for

a project exclusive of participation in

any community-wide or region-wide

Continuum of Care development

process.

Options one and two are not

substantively different and will be

considered equally competitive.

Applicants are advised that projects that

are not a part of a Continuum of Care

strategy will receive few, if any, points

under the Continuum of Care rating

factors.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications

(See Section V of the General Section).

VIII. Environmental, Local Resident

Employment, and Relocation

Requirements

(A) Environmental Requirements. All

Continuum of Care assistance is subject

to the National Environmental Policy

Act and applicable related Federal

environmental authorities. Section 208

of Public Law 106–377 (114 Stat. 1441,

approved October 27, 2000) amended

Section 443 of the Stewart B. McKinneyVento Homeless Assistance Act to

provide that for purposes of

environmental review, Continuum of

Care projects shall be treated as

assistance for special projects that are

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12217

subject to Section 305(c) of the

Multifamily Housing Property

Disposition Reform Act of 1994, and

shall be subject to HUD’s regulations

implementing that section. The effect of

this provision is that environmental

reviews for Continuum of Care activities

are to be completed by responsible

entities (States or units of general local

government) in accordance with 24 CFR

Part 58, whether or not the applicant is

itself a State or a unit of general local

government. Applicants (such as PHAs

or nonprofit organizations) that are not

States or units of general local

government must request the unit of

general local government to perform the

environmental review. This statutory

provision supersedes those portions of

24 CFR 582.230 and 583.230 that

provide for automatic HUD

environmental review in the case of

application from such entities. With this

exception, conditional selection of

projects under the Continuum of Care

Program is subject to the environmental

review requirements of 24 CFR 582.230,

583.230, and 882.804(c), as applicable.

Recipients may not commit or expend

any Continuum of Care assistance or

nonfederal funds on project activities

(other than those listed in 24 CFR 58.34

or 58.35(b)) until HUD has approved a

Request for Release of Funds and

environmental certification from the

responsible entity. The expenditure or

commitment of Continuum of Care

assistance or nonfederal funds for such

activities prior to this HUD approval

may result in the denial of assistance for

the project under consideration.

(B) Local Resident Employment. To

the extent that any housing assistance

(including rental assistance) funded

through this program section of the

SuperNOFA is used for housing

rehabilitation (including reduction and

abatement of lead-based paint hazards,

but excluding routine maintenance,

repair, and replacement) or housing

construction, then it is subject to section

3 of the Housing and Urban

Rehabilitation Act of 1968, and the

implementing regulations at 24 CFR part

135. Section 3, as amended, requires

that economic opportunities generated

by certain HUD financial assistance for

housing and community development

programs shall, to the greatest extent

feasible, be given to low- and very lowincome persons, particularly those who

are recipients of government assistance

for housing, and to businesses that

provide economic opportunities for

these persons.

(C) Relocation. The SHP, S+C, and

SRO programs are subject to the

requirements of the Uniform Relocation

Assistance and Real Property

Acquisition Policies Act of 1970, as

amended (URA). These requirements are

explained in HUD Handbook 1378,

Tenant Assistance, Relocation and Real

Property Acquisition. Any person or

family that moves, even temporarily, as

a direct result of acquisition,

rehabilitation or demolition for a project

that is assisted through one of these

programs (whether or not HUD funded

the acquisition, rehabilitation or

demolition) is entitled to relocation

assistance. Displacement that results

from leasing a unit in a structure may

also trigger relocation requirements.

Relocation assistance can be expensive.

To avoid unnecessary costs, it is

important to provide occupants with

timely information notices, including a

general information notice to be sent at

the time the application is submitted to

HUD. HUD Handbook 1378 contains

guideform information notices. The

HUD field office can provide a copy of

the handbook and copies of appropriate

information booklets to be provided to

occupants. Accordingly, if the site is

occupied, the applicant should contact

the HUD field office in the planning

stage to obtain advice, including help in

estimating the cost of required

relocation assistance.

IX. Authority

The Supportive Housing Program is

authorized by title IV, subtitle C, of the

Stewart B. McKinney-Vento Homeless

Assistance Act (McKinney-Vento Act),

42 U.S.C. 11381. Funds made available

under this program section of the

SuperNOFA for the Supportive Housing

Program are subject to the program

regulations at 24 CFR part 583.

The Shelter Plus Care program is

authorized by title IV, subtitle F, of the

McKinney-Vento Act, 42 U.S.C. 11403.

Funds made available under this

program section of the SuperNOFA for

the Shelter Plus Care program are

subject to the program regulations at 24

CFR part 582.

The Section 8 Moderate

Rehabilitation Program for Single Room

Occupancy Dwellings for Homeless

Individuals (SRO) is authorized by

section 441 of the McKinney-Vento Act,

42 U.S.C. 11401. Funds made available

under this NOFA for the SRO program

are subject to the program regulations at

24 CFR part 882, subpart H.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR THE

HOUSING OPPORTUNITIES FOR

PERSONS WITH AIDS (HOPWA)

PROGRAM

Program Overview

Purpose of the Program. To provide

States and localities with the resources

and incentives to devise long-term

comprehensive strategies for meeting

the housing and related supportive

service needs of persons with HIV/AIDS

and their families.

Available funds. Approximately

$25,542,000 (and under a related part of

this SuperNOFA, up to $2,580,000 for

technical assistance for the HOPWA

program). As required by statute, the

renewal of existing grants that will be

expiring in 2001 or 2002, will be given

priority in selection for funding as

provided in Part A of the HOPWA

section of this notice; if funds remain,

new proposals will be selected under

Part B.

Eligible Applicants. (1) States, units of

general local government, and nonprofit

organizations for grants for Special

Projects of National Significance (SPNS)

grants.

(2) States and units of general local

government may apply for projects

under the Long-Term category of grants,

if activities will serve areas that were

not eligible for HOPWA formula

allocations in Fiscal Year 2001.

Appendix C in this program section of

the SuperNOFA identifies the formula

areas.

Application Deadline. April 24, 2001

for renewal requests under Part A; and

June 13, 2001 for new proposal under

Part B.

Match. None.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

Part A. Renewal of Existing Grants that

are Expiring

I. General Policies on Renewals—

Purpose

Under the provisions of the HUD

Appropriation Act for FY2001, the

Secretary is required to renew all

expiring grants that were funded under

prior HOPWA competitions, if the grant

meets all program requirements, before

awarding funds for new grants and

activities under the HOPWA

competition.

II. Eligibility of Applicants and

Activities

To implement this new requirement,

HUD provides the following guidance to

existing HOPWA competitive grantees:

(A) Eligible Applicant for Renewals.

To be eligible, the applicant must be the

same entity, State, local government or

nonprofit organization that was selected

for funding in the prior competition.

The project should also continue with

the same project sponsors, although

HUD will consider the merits for

changing a project sponsor if the new

sponsor evidences the capacity to

enhance the project operations or

improve responsiveness to clients. Such

examples for changing a project sponsor

may be that a new project sponsor has

greater capacity to conduct program

activities, a prior project sponsor is no

longer in operation or has merged with

another entity, or HUD approved such a

sponsor change through a grant

amendment.

(B) Definition of Expiring Grant. The

HOPWA grant must be expiring in the

Federal Fiscal Year 2001 or 2002 and

the project will not have sufficient

funds to continue activities in 2002, if

not awarded additional Federal funds.

All funds awarded in an existing

HOPWA competitive grant must be

expended during the Federal Fiscal Year

2001 or 2002 (as measured by

reimbursements filed with HUD under

the financial system, PAS). In addition,

if the grant expired in the Federal Fiscal

Year 2000 or earlier, i.e. all funds were

expended (as measured by PAS) by

September 30, 2000, or only a residual

amount that is less than one percent of

the amount of the prior grant remains,

you are not eligible to apply for renewal

funding under this notice.

(C) Eligible Renewal Activities. The

activities to be renewed must be ongoing forms of support for HOPWAeligible persons, such as rental

assistance, short-term rent, mortgage

and utility payments, operating costs for

housing facilities, such as community

residences and SRO dwellings, leasing,

maintenance costs, supportive service

costs, housing information services, and

resource identification/technical

assistance for community residences

activities. If a prior grant was awarded

funds for the acquisition of a site or

building, for new construction or for

rehabilitation costs, these capital

development activities are not on-going

or available for additional sites and

funding for these cannot be renewed

under Part A. Projects that seek to

undertake additional capital

development activities or to add

funding for new HOPWA activities,

such as operating costs and services,

must apply under Part B as a new

project.

(D) Amount of Renewals. Renewal

projects may only request renewal funds

for continuing a previously approved

project at the same level of housing and/

or services provided in the previous

grant. Proposals to expand or

significantly alter a funded-project must

apply under Part B for new projects for

the new activities or the expanded part

of the project. The level of renewal

funding must not exceed an amount that

is comparable (i.e. not more than 120%

of an activity) or may be less than the

amount originally awarded by HUD for

the HOPWA activity, including any

amendments affecting this amount that

were approved by HUD prior to FY2001.

As an applicant for renewal funding,

you must specify the annual amount

needed to continue each activity and

specify the number of years, up to three,

for your request by completing the

HOPWA Renewal Budget Form

(Appendix A). You should describe

your plan for continued operations in

the Executive Summary section of your

application, including any significant

reduction to your prior award level.

HUD will allow you to request up to the

same amount as previously awarded per

activity, with the allowance that

projects may add up to 20 percent more

by activity, except that activity costs

may not exceed $1,200,000 in total. The

limits on administrative costs, three

percent for grantees and seven percent

for project sponsors, continue to apply.

In addition, renewal grantees may add,

or HUD may add, up to $50,000 to the

renewal award for the purpose of the

collection of data on program outcomes.

(E) Ineligible Prior Grants. Grants

awarded under the 1992–1995 HOPWA

competitions are not eligible to seek

renewals as these projects were required

to operate and complete activities under

the requirement that funds be used

within three years of the grant

agreement. Grants selected in 1996 were

required to operate and complete

activities before the end of Fiscal Year

2000. Similarly, these 1996 grants are

not eligible for renewal, unless the

grantee documents that HUD approved

a grant extension of the project that

would allow for its continued

operations in the Federal Fiscal Year

2001 or 2002.

It is HUD’s expectation that Part A

renewals will be awarded to HOPWA

grants that were awarded funds in 1997,

1998 and 1999. Such projects should be

in operation and expect to complete

activities in the Federal Fiscal Year

2001 or 2002 to qualify for renewal.

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(F) Failing or Weak Performance.

Grantees that were subject to

deobligation or other sanctions by HUD

or that evidence weak performance in

carrying out activities will not be

eligible for renewal grants. HUD will

consider that weak performance is

evidenced if there are unresolved

monitoring findings during the active

competitive period, from the date of this

notice until the selection of grants, or

other HUD knowledge of unresolved

problems, for example, that planned

activities remain delayed in their

implementation, a significant number of

units are vacant, or annual progress

reports were not filed with HUD at the

time of the due date for renewals, or

significant citizen complaints are

unresolved or not responded to with

justified reasons. HUD will also

consider that weak performance is

evident if more than 50 percent of grant

funds remain unexpended at that

beginning of the month for the due date

for renewals (as measured by

reimbursements filed with HUD’s

financial system, PAS).

III. Selection Criteria and Process

(A) Selection Process. The Department

will select for funding all renewal

requests from applicants that meet

program requirements and pass a

threshold review for a need for renewal

to the degree that funds are available. In

the case that the amount requested for

renewal is less than the amount

available under this notice, HUD will

apply the remaining funds to new

projects that will be selected under Part

B. If the amount of the request for

renewal activities is greater than the

amount made available by this notice,

HUD will select all of the approvable

applications and allocate awards to each

based on a prorata reduction to the

amount available under this notice to

ensure that all eligible and performing

renewal projects receive funding that

allows their continued operation.

(B) Selection Criteria and Application

Contents. Renewal applicants must

comply with the requirements noted

above in Part A, Section II, for example

in establishing the amount of their

request to continue approved activities

for one to three additional years, and

meet the due date requirement.

Applicants must also use the Need for

Renewal narrative to demonstrate

program performance in carrying out

activities in a timely manner, in

response to client needs, in meeting

program requirements, such as filing

annual progress reports, and in meeting

benchmarks that were established by the

notice for their original grant. Further,

the applicant must provide the

documentation of any amendment or

other program adjustment that was

approved by HUD prior to 2001, in

carrying out the previously approved

activities. HUD will review all renewal

applications based on the following

criteria:

(1) Eligibility: HUD will review your

eligibility to apply for renewal funding

under this program as described above

under Part A, Section II, Eligibility of

Applicants and Activities.

(2) Organizational Capacity: If a new

project sponsor is added, HUD will

review the project sponsor’s capacity to

conduct program activities as described

under Rating Factor 1: Capacity of

Applicant and Project Sponsors and

Relevant Organizational Experience

(Part B, Section V).

(3) Need for Renewal: HUD will

conduct a threshold review on your

need for renewal, as described below in

Part A, Section III(D), and how this

project has operated with measurable

progress. A project will pass this

threshold if it demonstrates measurable

progress. Measurable progress is defined

as not failing or not evidencing weak

performance in (i) meeting performance

benchmarks, as appropriate, in program

development and operation, (ii) meeting

project goals and objectives, such as,

that the number of persons assisted is

comparable to the number that was

planned at the time of the application,

(iii) submitting timely performance

reports, and; (iv) expending over 50% of

prior funding at the beginning of the

month for the due date for renewals (as

measured by reimbursements filed with

HUD’s financial system, PAS.).

(4) Threshold Requirements: HUD

will also review your application to

ensure that your project meets the

standard eligibility threshold

requirements as described in Part B,

Section V(A) of this program NOFA.

Such as, completing the Consolidated

Plan Certification.

Applicants are requested to submit

the following information:

(1) The renewal application should

include the items A (SF–424) and F

(Statutory Certifications) as described

under Part B, Section VI, Application

Submission Requirements.

(2) Executive Summary and Synopsis:

On no more than five (5) double spaced

pages, please provide an Executive

Summary of the renewal project. In the

Executive Summary, please provide the

name of the grantee and any project

sponsors. Include at the beginning of the

Executive Summary a two to three

sentence synopsis of the renewal

project.

(3) Narrative Statements. Your

application must include the following

narrative statements:

(a) Organizational Capacity Narrative:

If a new project sponsor(s) is added to

the proposal, please describe the

capacity of the project sponsor(s) to

conduct program activities as described

under Rating Factor 1: Capacity of

Applicant and Project Sponsors and

Relevant Organizational Experience

(Part B, Section V). Please provide this

information on no more than three

double-spaced typed pages. If you are

adding more than one Project Sponsor,

you may add two (2) additional pages

per Project Sponsor.

(b) Need for Renewal Narrative: Please

address the following on no more than

five (5) double-spaced pages. Please

demonstrate the need for renewal

funding and how this project has

operated with measurable progress.

Measurable progress is defined as not

failing or not evidencing weak

performance in (i) meeting performance

benchmarks, as appropriate, in program

development and operation, (ii) meeting

project goals and objectives, such as,

that the number of persons assisted is

comparable to the number that was

planned at the time of the application,

(iii) submitting timely performance

reports; (iv) expending over 50% of

prior funding at the beginning of the

month for the due date for renewals (as

measured by reimbursements filed with

HUD’s financial system, PAS.).

Additionally, you should complete the

HOPWA Need for Renewal Chart, as

described below in Part A, Section III(C)

and found in Appendix A.

(4) HOPWA Renewal Budget: Please

complete the HOPWA Renewal Budget

Form (Appendix A). See Part A, Section

II(D), Amount of Renewals, for details

on renewal funding.

(5) HOPWA Renewal Project Form

(Appendix A). Complete the form

including the following:

(a) Project Sponsor: You must identify

any organization that will receive

HOPWA funds as a project sponsor and

the amount of funds to be received.

(b) Non-profit Status: If not previously

submitted to HUD through the prior

HOPWA application or if a change

occurred in non-profit status, non-profit

grantees or project sponsors must

submit documentation verifying your

non-profit status, as outlined under Part

B, Section III, Eligible Applicants and

Project Sponsors, in this program

section of the SuperNOFA.

(c) Service Areas. Your application

must identify the area(s) in which you

are proposing to offer housing and other

assistance.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12227

After your entire application is

assembled, please mark each exhibit

with an appropriately numbered tab and

number every page of the application

sequentially. Complete the HOPWA

Renewal Application Checklist found in

Appendix A to this program section of

the SuperNOFA. Attached the HOPWA

Renewal Application Checklist to the

front of your application.

(C) Need for Renewal. The application

must demonstrate that prior grant funds

will expire in the Federal Fiscal year

2001 or 2002. You must complete the

HOPWA Need for Renewal Chart

(Appendix A), as described below:

Line 1. Indicate the amount of the

prior HOPWA award: llll

Line 2. Indicate the amount expended

as of 9–30–00: llll

Line 3. Subtotal: subtract line 2 from

line 1: llll

Line 4. Indicate the amount to be

expended in FY2001: llll

Line 5. Indicate the amount to be

expended in FY2002: llll

Line 6. Subtotal: subtract lines 4 and

5 from line 3: llll

Notes: If the subtotal on Line 6 is greater

than zero, you are not eligible to apply for

renewal funding under this notice. Also note

that continued use of prior funds may require

that you file an extension request with the

area CPD Field Office. Further if the subtotal

on Line 3 is zero or a residual amount that

is less than one percent of the amount on

Line 1, you are not eligible to apply for

renewal funding under this notice. In

reviewing the information that you provide

in this chart, HUD will determine your

eligibility for renewal funding based on

financial records for reimbursement of

expenditures that are filed under HUD’s

financial system (PAS).

(D) Example of potential renewal

request, XYZ Nonprofit. In this case, a

1998 grant to the XYZ nonprofit

involved the award of HOPWA

competitive funds for a community

residence for persons living with AIDS

(PLWAs), with $300,000 for acquisition

of the residence, $200,000 for facility

operations, $250,000 for supportive

services and $100,000 planned for rental

assistance for clients who transition out

of the facility, and grant administration

$25,500 (total of $875,500). Under this

notice, the following is eligible for

renewal funding for XYZ: Facility

operations, supportive services, rental

assistance, grant administration, data

collection on project outcomes (added).

Funds for additional acquisition are not

eligible for renewal. Also, if the site now

needs rehabilitation, the grantee must

apply under Part B for a new project for

that activity or seek other public or

private funding. To calculate the

amount for this renewal request, XYZ

could ask for these maximum amounts

or less to continue for three more years:

Facility Operations—base of $200,000 +

20% for renewal grant = $240,000

Supportive Services—$250,000 + 20% =

300,000

Rental assistance—$100,000 + 20% =

120,000

Subtotal for renewal funding: 660,000

Grantee administrative costs (3%) based

on subtotal: 19,800

Data collection on outcomes—(added):

50,000

Total potential amount for renewal

request for XYZ: $729,800

Notes: Alternatively, XYZ may have found

that clients did not leave and the rental

assistance component is too large, based on

actual utilization. XYZ should have

requested HUD approval to reassign the

excess rental assistance amount to some

other eligible activity, such as maintenance

and repair costs, prior to FY2001 and provide

a copy of this documentation in its

application. If in this alternative example,

only $20,000 is needed, than the amendment

to move $80,000 to repair costs could have

been filed with the area HUD office. In this

alternative example, the XYZ request must be

adjusted downward based on the actual

experience of this grant and the subtotal,

administrative cost, and total would be

decreased, accordingly. The reassigned

$80,000 in repair costs would not be eligible

for a renewal request.

IV. Additional Renewal Information

(A) Application Kits, Further

Information, and Technical Assistance.

You must send your renewal

application on or before 12:00 midnight,

Eastern Time, consistent with the

specific due date for renewal

applications as stated in the Program

Overview section of this program

NOFA, to 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). In addition,

please see Part B, Section I for the

following information: address and

instructions for submitting renewal

applications, application kits, technical

assistance, and technical assistance

broadcasts. Please note HOPWA

renewal information will be provided

along with HOPWA competitive

program information in the HOPWA

Application Kit.

(B) Award Modifications. See Part B,

Section II(B) for a description of the

process for award modifications.

(C) Availability of Other Funds and

Use of Technical Assistance. Applicants

seeking renewal are encouraged to read

Part B, Section IV(D) on the availability

of formula funding. In addition, the

paragraphs addressing (E) the

availability of HOPWA technical

assistance and (F) the prohibition on the

use of TA funds to draft applications

apply to renewal applications.

(D) Applicable Provisions of Part B.

The following sections of Part B of this

program NOFA apply to applicants of

renewal funding: Part B, Section VII

(Corrections to Deficient Applications),

Section VIII (Other Requirements), and

Section IX (Authority).

Part B. New Projects

If funds remain after the selection of

renewal grants under Part A, HUD will

consider applications under this part.

I. Application Kits, Further

Information, and Technical Assistance

Where to Send Your Application. You

must send your application on or before

12:00 midnight, Eastern time, consistent

with the specific due date for new

projects as stated in the Program

Overview of this program NOFA, to

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.

Your completed application consists of

an original signed application and three

copies. Submit the original application

and one copy to: Department of Housing

and Urban Development, 451 Seventh

Street, SW, Room 7251, Washington, DC

20410. The original application

submitted to HUD headquarters is

considered the official application.

Submit the additional two (2) copies

of your application to the area CPD

Field Office or Offices that serve the

area in which activities are proposed.

For multi-state efforts you must submit

two copies of your application to the

Field Office that serves your main

office. The list of addresses for area CPD

Field Offices is provided as Appendix B

of this program section of this

SuperNOFA. If you propose nationwide

activities, you must send all copies to

the HUD headquarters office. When

submitting your applications, please

refer to HOPWA, and include your

name, mailing address (including zip

code), facsimile, email , and telephone

number (including area code).

For Application Kits. Although you

may begin working on your application

with the materials provided in this

program section of the SuperNOFA and

its appendixes, for an application kit,

please call the SuperNOFA Information

Center at 1–800–HUD–8929 (1–800–

483–8929). Persons with hearing or

speech impairments may call the

12228 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Center’s TTY number at 1–800–HUD–

2209 (1–800–483–2209). The

application kit also will be available on

the Internet through the HUD web site

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

For Further Information and

Technical Assistance. You may call the

HUD Field Office serving your area, at

the telephone number shown in the

application kit for this program, or you

may contact the Office of HIV/AIDS

Housing, HUD at (202) 708–1934. HUD

staff may assist with program questions,

but may not assist in preparing your

application.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov/grants.

II. Amount Allocated

Approximately $ 25,542,000 is being

made available for funding under this

program section of the SuperNOFA.

Additional funds may be awarded if

funds are recaptured, deobligated,

appropriated or otherwise made

available during the fiscal year.

(A) Maximum Grant Amounts. The

maximum amount that you may receive

is $1,200,000 for program activities (e.g.,

activities that directly benefit lowincome persons living with HIV/AIDS

and their families), irrespective of the

number of applications that you submit.

You may also add-on up to 3 percent of

this program activities amount for

grantee administrative costs and, if your

program involves project sponsors, addon up to 7 percent of the amount that

they receive for their administrative

costs. In addition, up to $50,000 may be

requested to collect data on project

outcomes. HUD reserves the right to

reduce the amount requested for data

collection on project outcomes in

relation the amount requested for

program activities. Additionally, after

rating each application HUD reserves

the right to add up to $50,000 to a

HOPWA application for the purposes of

the collection of data on program

outcomes, if an applicant fails to request

this level of funding for this activity.

(B) Award Modifications. See the

General Section of this SuperNOFA for

information with regard to adjustments

to funding. HUD also reserves the right

to ensure that activities funded under

the FY 2001 Continuum of Care will not

duplicate activities funded under this

competition.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. Funds under

this program are to be used to support

the Department’s national goal of

increasing the availability of decent,

safe, and affordable housing in

American communities. The statutory

purpose of the HOPWA program is ‘‘for

meeting the housing needs of persons’’

with HIV/AIDS and their families and

planned activities must address this

purpose. HOPWA funds projects to

provide housing and related supportive

services for low-income persons with

HIV/AIDS and their families under two

categories of assistance:

(1) Grants for Special Projects of

National Significance (SPNS) that, due

to their innovative nature or their

potential for replication, are likely to

serve as effective models in addressing

the housing and related supportive

service needs of low-income persons

living with HIV/AIDS and their families.

Under this program section of the

SuperNOFA, HUD will set-aside up to

40% of the funds allocated to SPNS to

projects targeting underserved

populations as defined in Section (D);

and

(2) Grants for projects that are part of

Long-Term Comprehensive Strategies

(Long-Term) which provide housing and

related supportive services for lowincome persons living with HIV/AIDS

and their families in areas that are not

eligible for HOPWA FY 2001 formula

allocations found in Appendix C of this

program section of this SuperNOFA.

(B) Eligible Applicants and Project

Sponsors. (1) States, units of general

local government, and nonprofit

organizations may apply for grants for

Special Projects of National

Significance;

(2) States and units of general local

government may apply for grants for

projects under the Long-Term category

of grants, if proposed activities will

serve areas that were not eligible to

receive HOPWA formula allocations in

Fiscal Year 2001. A list of the formula

areas and a list of the areas not eligible

to receive HOPWA Formula funds, can

be found in Appendix C of this program

section of this SuperNOFA. Nonprofit

organizations are not eligible to apply

directly for the Long-Term grants but

may serve as a project sponsor for an

eligible State or local government

grantee. You must identify your project

sponsors in your application. Project

Sponsors can not be identified at a later

date through such processes as an RFP

or other selection process.

(3) Nonprofit organizations must have

appropriate credentials, in accordance

with HOPWA regulations at 24 CFR

574.3. If you are a nonprofit

organization, to be an eligible applicant

or project sponsor, you must either:

—Have, by the application due date, an

IRS ruling that grants you tax exempt

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

Internal Revenue Code; or

—Provide documentation that shows

that your organization satisfies the

criteria in the statutory definition of

nonprofit organization in 42 U.S.C.

12902(13).

The statutory definition reads:

The term ‘‘nonprofit organization’’

means any nonprofit organization

(including a State or locally chartered,

nonprofit organization) that— (i) is

organized under State or local laws; (ii)

has no part of its net earnings inuring

to the benefit of any member, founder,

contributor, or individual; (iii) complies

with standards of financial

accountability acceptable to the

Secretary; and (iv) has among its

purposes significant activities related to

providing services or housing to persons

with acquired immunodeficiency

syndrome or related diseases.

HUD interprets the use of the term

‘‘related diseases’’ in this definition to

include HIV infection.

Adequate documentation of nonprofit

status includes the following:

(a) In lieu of an IRS exemption for

nonprofits in Puerto Rico, a ruling from

the Treasury Department of the

Commonwealth of Puerto Rico granting

income tax exemption under section

101 of the Income Tax Act of 1954, as

amended (13 LPRA 3101);

(b) In lieu of documentation under

section 501(c)(3), documentation of an

IRS ruling of tax exempt status under

section 501(c)(4), (6), (7), (9), or (19);

(c) Documentation of satisfying the

statutory criteria by submitting the

following four items:

(i) Certification by an appropriate

official of the jurisdiction under whose

laws the nonprofit organization was

organized that your organization was so

organized and is in good standing;

(ii) Documentation that your

organization is a certified United Way

member agency or other documentation

that shows that no inurement of benefits

to the managers of your organization

occurs;

(iii) Documentation from a CPA or

Public Accountant that your

organization has a functioning

accounting system that is operated in

accordance with generally acceptable

accounting principles or that a

qualifying entity is designated for that

activity, or the United Way member

agency certification noted in item (ii);

and

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12229

(iv) A certified copy of your nonprofit

organization’s articles of incorporation,

by-laws, statement of purposes, board of

director’s resolution or a similar

document that includes a provision

demonstrating its purpose regarding

significant activities for persons living

with HIV/AIDS.

If your organization does not provide

the requested documentation, you are

not eligible to receive funds and serve

as the grantee or as a project sponsor.

However, you may collaborate with

eligible nonprofit organizations or with

a government agency that applies for the

grant and assist them, for example, in

planning for the proposed activities,

identifying needs in your community

and identifying clients who will be

assisted. In addition, you may do work

under contract with a grantee for

services funded by this grant.

(C) Eligible Activities. (1) The

following eligible activities are subject

to standards and limitations found in 24

CFR part 574.

(a) Housing information services

(including fair housing counseling).

(b) Project-based or tenant-based

rental assistance.

(c) New construction of a community

residence or SRO dwelling.

(d) Acquisition, rehabilitation,

conversion, lease or repair of facilities to

provide housing and services.

(e) Operating costs for housing.

(f) Short-term rent, mortgage and

utility payments to prevent

homelessness.

(g) Supportive services. Many of the

clients who will be served by the HUD

program covered by this NOFA may

need services in addition to housing. It

is important that you design programs

which enhance access to those needed

services, including access to health-care,

AIDS drug assistance, and other services

funded through the Ryan White CARE

Act or other Federal, State, local or

private funds. While HUD recognizes

that there are many ways to ensure that

clients receive the services they need, to

the extent possible, the Department

encourages you to develop housing

programs which do not require

participation in services as a part of

your or your project sponsor’s tenancy

requirements.

(h) Administrative expenses (see

limits for grantees and sponsors).

(i) Resource identification to

establish, coordinate and develop

housing assistance resources and

technical assistance in establishing and

operating a community residence. HUD

will not select under this notice an

application that is primarily directed at

providing these activities, since national

HOPWA technical assistance funds are

being made available under the

Community Development Technical

Assistance (CDTA) part of this notice for

this purpose. You may propose a

resource identification or technical

assistance component in your

application, if the amount of funds

designated for these activities are less

than 20 percent of the proposed

program activity costs; and

(j) As authorized by the statute, you

may propose other activities in your

application, if approved by HUD,

including data collection on project

outcomes, as described below in

paragraph (2). HUD will not approve

proposals that depend on future

decisions on how funds are to be used,

for example, a proposal to establish a

local request-for-proposal process to

select activities or project sponsors. You

must identify your project sponsors at

the time of the application.

(2) You may request up to $50,000 to

collect information and report to HUD,

or a third party designated by HUD, on

project outcomes. If you requested these

funds, you must propose data collection

activities in your application. The

persons who will conduct these

activities may include an expert thirdparty. Project outcome activities

include:

(a) Defining monitoring questions that

will be addressed and examined during

the project period;

(b) Specifying outcome measures;

(c) Developing instruments to assess

project outcomes and systems outcomes;

(d) Training project staff in the

collection of data;

(e) Monitoring data collection

activities to assure that submissions are

complete and accurate, including data

coding and entry;

(f) Summarizing data collected; and

(g) Preparing reports summarizing

findings, including the standard

HOPWA Annual Progress Report.

(D) Targeting Resources to

Underserved Populations. The

Department has been advised by

persons living with HIV/AIDS, HIV/

AIDS housing providers, and national

organizations, of the continuing

disparity in accessing health-care and

HIV/AIDS treatment among underserved

populations, such as, racial and ethnic

minority populations, women, persons

living in rural areas, youth and postincarcerated populations. One example

of this disparity is found in our

experience in assisting HIV-infected

young people. A report from the Office

of National AIDS Policy, Youth and

HIV/AIDS 2000: A New American

Agenda, released on October 2, 2000,

notes that:

Beyond medical care, stable housing is one

of the most important parts of the safety net

for persons living with HIV and AIDS and

their families. Youth who are homeless or

who run away from home are at greater

behavioral risk of HIV infection. Youth who

are infected with HIV are more likely to be

able to follow complex treatment regimens if

they have a reliable address where they can

be reached by care providers, a safe place to

keep medications, refrigeration for drugs that

require it, and other necessities that many of

us take for granted. * * * [T]wo tragic

realities have not changed. Some 20,000

young people are still becoming infected

every year, and most of them are not

receiving the medical care they need. The

programs that provide HIV prevention, care

and support services to youth must be

broader in vision, larger in scope, and better

coordinated.

The report also recommended that

‘‘Federal agencies should use existing

resources to expand youth-specific

initiatives.’’

The Department encourages you to

develop an initiative on youth under

this notice. In an effort to meet this need

to reach and serve persons who are part

of populations that have been

underserved by past efforts and to

diversify the number and type of

organizations that have traditionally

received HOPWA funding, the

Department is encouraging

collaborations among community-based

organizations for providing housing

assistance and/or technical assistance to

better serve underserved populations on

a national, regional, or local level.

Collaborations pair grantees and a

project sponsor(s) that are experienced

in developing or operating housing

facilities and housing assistance

programs with community-based

organizations, serving as project

sponsors, that provide services or use

culturally-sensitive efforts to reach

persons in underserved communities,

but may have little or no experience in

meeting the housing needs of persons

living with HIV/AIDS. This team

approach is expected to: (1) strengthen

the organization—improve capacity to

develop, operate, manage, and evaluate

housing assistance programs for persons

living with HIV/AIDS; (2) serve

underserved populations—help reach

underserved populations in areas that

lack housing and health care

infrastructure; and (3) increase

planning—develop holistic community

approaches to better coordinate housing

and related services in communities

impacted by HIV and AIDS. Note: All

assistance provided to targeted

underserved communities must be in

accordance with the requirements of the

Fair Housing Act. In order to support

these collaborations and to encourage

12230 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

new collaborations to receive HOPWA

funding, up to 40% of the funds targeted

toward SPNS applications will be

awarded to applications with these

collaborations to serve underserved

populations and HUD reserves the right

to include in these awards at least one

application that targets unmet needs in

an underserved youth population.

To be considered as a collaboration,

in your application you must:

(1) Identify and evidence the

experience of all collaborating

organizations, either as grantee or

project sponsor(s), as detailed under

Rating Factor 1 of this program section

of the SuperNOFA in the Capacity of

the Applicant and Project Sponsors and

Relevant Organizational Experience

section of your application;

(2) Identify the underserved

population and evidence in the

Description of Unmet Need section of

your application as detailed under

Rating Factor 2 that substantial housing

and related service needs of the

identified underserved population

living with HIV/AIDS and their families

are not being met in the area. For the

purposes of this program NOFA, the

Department has defined underserved

populations as low-income populations

living with HIV/AIDS and their families,

such as racial or ethnic minority groups,

women, persons living in rural areas,

youth, post-incarcerated populations, or

other underserved groups as determined

by your service area, whose housing and

related service needs are not currently

being met in the service area. To meet

the program definition of underserved

group, you must show the unmet need

in the provision of housing and related

supportive services for the identified

underserved population in your service

area by presenting reliable statistics and

data sources (i.e. Census, health

department statistics, research,

scientific studies, and Needs Analysis of

Consolidated Plan and/or Continuum of

Care documentation). HUD will

consider your presentation of statistics

and data sources based on soundness

and reliability and the specificity of

information to the underserved

population and the area to be served;

and

(3) Evidence the method, by which

your plans will, as defined above,

strengthen the organization, serve

underserved populations, increase

planning, and support fair housing in

the Soundness of Approach section of

your application as detailed under

Rating Factor 3 of this program section

of the SuperNOFA.

If HUD determines that the

application fails to meet the above

considerations, the application will not

be considered for funding under the 40

percent of SPNS funds allocated for

collaborative projects targeting

underserved populations. HUD will

consider the application under the

remaining SPNS category.

IV. Program Requirements

(A) Performance Measures and Project

Goals and Objectives. You must use

HUD’s required performance measures

that will show your accomplishments in

using HOPWA funds to expand the

housing options that benefit low-income

persons with HIV/AIDS and their

families. You may also establish

individual goals and objectives for your

proposal. They should be specific,

achievable and measured within set

time periods. Your individual goals and

objectives should result in possible

findings on the successes and lessons

learned in undertaking your activities

that would be shared with other

communities. In designing your

proposal, please use the following:

(1) Required HOPWA national

performance goal. Your proposed

activities must increase the amount of

housing assistance and related

supportive services to low-income

persons living with HIV/AIDS and their

families to enable them to achieve

housing stability and access to healthcare and related supportive services.

(2) Measure your performance. After

each year of operation, you must report

on the number of short-term and

permanent housing units that were

provided with HOPWA funding, and

number of additional persons served

with related supportive services. HUD

will measure your progress and

achievements in evaluating your

performance on your HOPWA grant.

Examples of reporting performance

measures are:

(a) In your community over the last

year, a transitional housing facility

providing 5 units of housing was

operated with HOPWA funds. Residents

also received drug and/or alcohol abuse

treatment and counseling by qualified

staff. During that year, ten persons

resided in the facility and benefited

from the intense on-site assistance,

which also included helping them

develop and follow a plan to find

permanent housing and continue

treatment after leaving the facility,

including monthly phone contacts or

visits by staff; and

(b) Over the last 12 months, a

nonprofit organization distributed

tenant-based rental assistance vouchers

to 15 households within your threecounty metropolitan area. The vouchers

provided for on-going housing

assistance (up to three years) and the

program advised the clients on tenantlandlord issues and arranged for

housing quality standard inspections of

the apartments selected. A case manager

who is funded under the Ryan White

CARE Act program, advised the tenants

and helped them access health-care and

other services from providers in this

community. During this year, 22

persons received permanent housing

assistance with HOPWA funds and for

three of these families who were unable

to find housing within 30 days,

additional efforts were made and an

appropriate apartment was located and

used.

(B) Performance Benchmarks. Funds

received under this competition are

expected to be expended within 3 years

following the effective date of a grant

agreement. You will be expected to meet

the following performance benchmarks:

(1) If you acquire or lease a site, you

are required to gain site control within

one year of your selection (i.e, one year

from the date of the signing of your

selection letter by HUD);

(2) If you propose to use HOPWA

funds to undertake rehabilitation or new

construction activities, you are required

to begin the rehabilitation or

construction within 18 months of your

selection and to complete that activity

within 3 years from the date of your

selection letter by HUD; and

(3) You are requested to provide an

initial report to the Field Office and the

Headquarters on the startup of the

planned activities within six months of

your selection. Please outline any

accomplishments in implementing the

funds along with identifying any

barriers or issues for which the

Department may provide assistance.

Except as noted in paragraph (2) for

rehabilitation or construction activities,

you must begin to operate your program

within one year from your selection. If

a selected project does not meet the

appropriate performance benchmark,

HUD reserves the right to cancel or

withdraw the grant funds.

(C) Descriptive Budget. You must

provide a description of each of your

requested budget items and how the

funds will be used, including each

amount of requested funding for you

and your project sponsors, and a

description of how each line item will

relate to eligible HOPWA activities as

defined in Section III(C), of this program

section of the SuperNOFA. You are

expected to match requested funds to

specific goals and objectives in your

project. See Appendix D of this program

section of the SuperNOFA.

(D) Availability of FY 2001 Formula

Allocations. You are also encouraged to

consider seeking funds for your

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12231

proposed activities under the formula

component of the HOPWA program and

from other resources that are made

available in communities. Ninety (90)

percent of the HOPWA program is

allocated by formula and recipient

States and cities are required to consult

with the public on designing the use of

these funds. In FY2001, a total of

$229.372 million was allocated by

formula to the qualifying cities for 71

eligible metropolitan statistical areas

(EMSAs) and to 34 eligible States for

areas outside of EMSAs. All HOPWA

formula grants are available as part of

the jurisdiction’s Consolidated Plan,

which also includes the Community

Development Block Grant, HOME

Investment Partnerships program, and

Emergency Shelter Grants. Plans are

developed through a public process that

assesses area needs, creates a multipleyear strategy and proposes an action

plan for use of Federal funds and other

community resources in a coordinated

and comprehensive manner.

Information on consolidated planning,

including HOPWA formula programs

and descriptions of previously awarded

competitive grants, is available on the

HUD HOME Page at www.hud.gov.

(E) Availability of National HOPWA

Technical Assistance. If you are

interested in providing technical

assistance activities with HOPWA

funds, submit an application for funds

under the Community Development

Technical Assistance (CDTA) part of

this notice, which is published

elsewhere in this SuperNOFA. The

CDTA notice provides up to $2,580,000

in HOPWA funds to organizations for

technical assistance support on a

national or regional basis.

(F) Seeking Technical Assistance in

Developing a HOPWA Application.

HOPWA TA providers may not provide

technical assistance in the drafting of

responses to HUD’s NOFA due to the

unfair advantage such assistance gives

to one organization over another. If HUD

determines that HOPWA technical

assistance has been used to draft a

HOPWA application, HUD reserves that

right to reject the application for

funding.

V. Application Selection Process

(A) HOPWA Application Reviews.

HUD will review your HOPWA

application to ensure that:

(1) Your application meets the

threshold requirements found in the

General Section of the SuperNOFA;

(2) A Certification of Consistency with

Consolidated Plans is provided as an

appendix to the General Section of the

SuperNOFA. Under the HOPWA

program, proposed activities that are

located in a jurisdiction are required to

be consistent with the jurisdiction’s

current, approved Consolidated Plan,

including the Analysis of Impediments

to Fair Housing choice and the Action

Plan to address these impediments,

except that this certification is not

required for projects that propose to

undertake activities on a national basis;

and

(3) You are currently in compliance

with the Federal requirements

contained in 24 CFR part 574, subpart

G, ‘‘Other Federal Requirements.’’

(B) The HOPWA Competition. This

national competition will involve the

review, rating, and selection of HOPWA

applications under each of the two

categories of assistance Special Projects

of National Significance (SPNS) and

Long-Term Comprehensive Strategies

(Long-Term) in areas that do not qualify

for HOPWA formula allocations.

(C) Procedures for the Rating of

Applications. HUD will rate all HOPWA

applications based on the criteria listed

below.

(D) Factors For Award Used to

Evaluate and Rate Applications. The

factors for rating and ranking your

application, and the maximum points

for each factor, are provided below. The

points awarded for the factors total 100.

In addition, bonus points for projects in

EZ/EC areas and by the City of Dallas

may be available under Section III(C)(2)

of the General Section of this

SuperNOFA apply to this competition.

After rating, all applications will be

placed in the rank order of their final

score for selection within the

appropriate category of assistance.

Rating Factor 1: Capacity of the

Applicant and Project Sponsors and

Relevant Organizational Experience (20

Points)

Please address the following factor on

not more than five (5) double-spaced,

typed pages. For each project sponsor,

you may add two additional pages

under this section. This factor addresses

the extent to which you and any project

sponsor has the organizational resources

necessary to successfully implement

your proposed activities in a timely

manner. If you will be using project

sponsor(s) in your project, you must

identify each project sponsor in your

application. HUD will award up to 20

points based on your and any project

sponsor’s ability to develop and operate

your proposed program, such as housing

development, management of housing

facilities or units, and service delivery,

in relation to which entity is carrying

out an activity.

(1) With regard to both you and any

project sponsor(s), HUD will consider:

(a) Past experience and knowledge in

serving persons with HIV/AIDS and

their families;

(b) Past experience and knowledge in

programs similar to those proposed in

your application;

(c) Experience and knowledge in

monitoring and evaluating program

performance and disseminating

information on project outcomes; and

(d) Past experience as measured by

expenditures and measurable progress

in achieving the purpose for which

funds were provided.

(2) In reviewing the elements of

paragraph (1), HUD will consider the

extent to which your proposal

demonstrates:

(a) The knowledge and experience of

the proposed project director and staff,

including the day-to-day program

manager, consultants and contractors in

planning and managing the kind of

activities for which you are requesting

funds. You and any project sponsor will

be judged in terms of recent, relevant

and successful experience of staff to

undertake eligible program activities,

including experience and knowledge in

serving persons with HIV/AIDS and

their families.

(b) Your and/or the sponsor’s

experience in managing complex

interdisciplinary programs, especially

those involving housing and community

development programs directly relevant

to the work activities proposed and

carrying out grant management

responsibilities.

(c) If you and/or the sponsor received

funding in previous years in the

program area for which you are

currently seeking funding, you and your

sponsor’s past experience will be

evaluated in terms of the ability to attain

demonstrated measurable progress in

the implementation of your grant

awards. Measurable progress is defined

as:

(i) Meeting performance benchmarks,

as applicable, in program development

and operation;

(ii) Meeting project goals and

objectives, such as, that the number of

persons assisted was comparable to the

number that was planned at the time of

application;

(iii) Submitting timely performance

reports; and

(iv) Expending prior funding as

outlined in the prior proposal with no

outstanding audit or monitoring issues.

Rating Factor 2: Need/Extent of the

Problem (20 Points)

Please address the following factor on

not more than five (5) double-spaced,

typed pages. This factor addresses the

extent to which there is a need for

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funding the proposed program activities

and an indication of the urgency of

meeting the need in the target area. Up

to 20 points will be awarded for this

factor.

(1) (5 Points) AIDS Cases. Up to five

of these points will be determined by

the relative numbers of AIDS cases and

per capita AIDS incidence within your

service area, in metropolitan areas of

over 500,000 population and in areas of

a State outside of these metropolitan

areas, in the State for proposals

involving state-wide activities, and in

the nation for proposals involving

nation-wide activities. Your application

must define a planned service area. To

determine these points, HUD will obtain

AIDS surveillance information from the

Director of the Centers for Disease

Control and Prevention.

(2) (5 Points) Description of Unmet

Need. Up to five of these points will be

determined by the extent to which there

is a need for funding eligible activities

in the area to be served. To receive the

highest ratings in this factor, you must

demonstrate that substantial housing

and related service needs of low-income

persons living with HIV/AIDS and their

families are not being met in the area

and that reliable statistics and data

sources (i.e. Census, health department

statistics, research, scientific studies,

and Needs Analysis of Consolidated

Plan and/or Continuum of Care

documentation) show this unmet need.

To receive the highest number of points,

you also must show that your

jurisdiction’s Consolidated Plan and

Analysis of Impediments to Fair

Housing Choice, Continuum of Care

Homeless Assistance plans (if homeless

persons are to be served), and

comprehensive HIV/AIDS housing plans

are applicable and identify the level of

the problem and the urgency of the

need. Urgent and unmet needs may be

demonstrated, as follows:

(a) If you apply for a proposed Special

Project of National Significance, you

must describe a need that is not

currently addressed by other projects or

programs in the area. Also describe any

unresolved or emerging issues and the

need to provide new or alternative

forms of assistance that, if provided,

would enhance your area’s programs for

housing and related care for persons

living with HIV/AIDS and their families;

or

(b) If you apply for a project that is

part of a Long-Term Comprehensive

Strategy in an area that does not receive

a HOPWA formula allocation, you must

describe the need that is not currently

addressed by other projects or programs

in the area. You must also describe any

unresolved or emerging issues and/or

the need to provide forms of assistance

that enhance the community’s strategy

for providing housing and related

services to eligible persons.

HUD will consider your presentation

of statistics and data sources based on

soundness, reliability and the specificity

of information to the target population

and the area to be served. If you propose

to serve a subpopulation of eligible

persons on the basis that these persons

have been traditionally and are

currently underserved (e.g., persons

with multiple disabilities including

AIDS), your application must document

the need for this targeted effort through

statistics and data sources that support

the need of this population in your

service area.

(3) (5 Points) Need in Non-Formula

Areas. Within the points available under

this criterion, HUD will award five

points, if your SPNS application

proposes to serve clients in an area that

does not qualify for HOPWA formula

allocation.

(4) (5 Points) Highest Rated in a State

or the Nation (for nationwide activities).

After the other rating factors have been

determined, HUD will award five of the

points to help achieve greater

geographic diversity in funding

activities within a variety of States.

Under this criterion, five points will be

awarded to the highest rated SPNS and

Long-term applications in each State

and to the highest rated SPNS

application among the applications that

propose nationwide activities.

Rating Factor 3: Soundness of

Approach: Responsiveness and Model

Qualities (40 Points)

Please address the following factor on

not more than fifteen (15) doublespaced, typed pages and include the

HOPWA Budget Forms following this

section. This factor addresses the

method by which your plan meets your

identified needs. HUD will award up to

40 points based on the extent to which

your plan evidences a sound approach

in its responsiveness to the persons that

you will be assisting and how it offers

model qualities in providing supportive

housing opportunities for low-income

persons living with HIV/AIDS and their

families, when compared to other

applications and projects funded under

previous HOPWA competitions. The

points will be awarded as follows:

(1) Responsiveness (20 Points). HUD

will award up to 20 points based on

how well your project plan responds to

the unmet needs of the target population

including the specific needs that you

identified under the Need Criterion with

specific goals and objectives for

providing housing and related

supportive services for people living

with HIV/AIDS and their families. To

receive the highest ratings in this

element, you must offer a plan that

evidences the following:

(a) Your project’s goals and objectives.

You must describe your project’s goals

and objectives and how you will

measure how the project is performing

under the required HOPWA

performance goal, i.e. increasing the

amount of housing assistance and

related supportive services to lowincome persons living with HIV/AIDS

and their families to enable them to

achieve housing stability and access to

health-care and supportive services.

You are encouraged to review Part B,

Section IV(A), Performance Measures

and Project Goals and Objectives of this

Notice of Funds Available (NOFA)

when developing your goals and

objectives. To receive the highest rating

your goals should address:

(i) The projected numbers of persons

to be served through each activity for

each year of your program;

(ii) The projected number of housing

units to be provided through your

project, (unless you are proposing

supportive service only activities) and;

(iii) The specific organizations that

will provide housing either through an

agreement with your organization or

through funding from your project.

(b) Your plans for accomplishing

these goals and objectives. You must

demonstrate your methodology for

achieving these goals and objectives by

describing the service delivery model

that you intend to implement and

explain how you will integrate the

following items:

(i) Housing. You must demonstrate

how the housing needs of clients will be

addressed by including: (A) the type and

number of units of housing to be

provided and/or made more appropriate

if currently available in the community;

(B) the names of the project sponsors

and/or organizations providing housing

including their roles and

responsibilities; (C) the connection of

any emergency or transitional housing

in obtaining and maintaining permanent

housing; (D) any appropriate site

features, including accessibility,

visitability, and access to other

community amenities; (E) ensuring

clients and their families have access to

health care and other supportive

services; (F) demonstrating how tenants’

rights will be observed and addressed

by providing safe, decent, and

affordable housing through such

activities as the delivery of maintenance

services, security services, and

consistency with local and national fair

housing laws; (G) demonstrating clients

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12233

participation in decision making in

project operation and management.

(ii) Supportive Services. You must

describe how the supportive service

needs of clients will be addressed from

HOPWA or other sources by including:

(A) the type of supportive services that

will be offered and/or how services will

be accessed and coordinated; (B) the

names of the organizations providing

the supportive services; (C) the

connection of these services in helping

clients obtain and/or maintain housing;

(D) the roles and responsibilities of

project sponsors and other organizations

in undertaking these activities. If you

propose to use more than 10% of your

HOPWA funds for supportive services,

emergency or transitional housing

activities, to receive the highest number

of rating points, you must address how

you will meet your clients’ permanent

housing needs with HOPWA funds or

funds from other sources. You can fulfill

this commitment by allocating funds for

housing vouchers for HOPWA clients or

developing permanent housing with this

grant or other sources.

(2) Model Qualities (20 Points). HUD

will award up to 20 points based on

your service delivery model plan and

how well it addresses the ongoing

housing and supportive service needs

within a replicable operational

framework. To receive the highest

ratings in this factor, you must offer a

plan that evidences a permanent

housing arrangement and the following:

(a) Operational Procedures. You must

describe your program’s outreach,

intake, and assessment procedures, as

well as how clients will link to services

and (if necessary) housing funded from

other sources and how your project

provides for consistent monitoring of all

clients. You must include within this

description how a client moves through

the program from intake, assessment,

service delivery, and finally to

termination or linkage to other services.

(b) Project Management and

Oversight. You must describe your

method for coordinating the project

sponsors’ services whether for housing

or related supportive services with your

staff and volunteers, and any other

organizations in order to benefit the

clients; identify staff members who are

responsible for described housing and

supportive service tasks; and the ability

of your operations to be self-sustaining

beyond the life of this grant.

(c) Evaluation. Evaluation is defined

as your method for collecting data on

HUD program goals related to housing

and related supportive services, as well

as, your project’s unique goals and

objectives. HUD will assess your

method for reviewing this data and

other information on the program’s

operations and your basis for making

relative adjustments based on outcomes

and lessons learned from operation of

your activities. HUD will provide a

greater number of points for programs

which will serve as a national model

and which provide for the

dissemination of information from the

lessons learned from your proposed

activities.

(d) Innovative Qualities. If you

propose a new program, or an

alternative method of meeting the needs

of your clients, you should describe the

innovative qualities of your activities.

HUD will rate your applications higher

if your justification for these

innovations provide strong evidence

that they will yield qualities that will

benefit or expand our knowledge in

offering assistance to persons living

with HIV/AIDS and their families, when

compared to other applications and

HOPWA projects funded in the past. In

order to learn about innovative qualities

of previously funded and on-going

HOPWA projects, please review the

HOPWA Executive Summaries for all

HOPWA formula and competitive

grantees at http://www.hud.gov/cpd/

hopwahom.html.

(e) Descriptive Budget. HUD will rate

your budget in describing (i) how each

amount of requested funding for you

and your project sponsors will be used;

(ii) how each line item will relate to

eligible HOPWA activities as defined in

Part B, Section III(C), of this program

section of the SuperNOFA; and (iii) how

specific line items match with the goals

and objectives in your project. You must

complete the HOPWA Project Budget

Form as described in Part B, Section

VI(E). Please note that only the forms

are required and an additional narrative

under the Model Qualities Section is not

required.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses your ability to

secure community resources which can

be combined with HUD’s program

resources to achieve program purposes.

HUD will award up to 10 points based

on the extent to which resources from

other public or private sources have

been committed at the time of

application, to support your project. To

achieve the highest ratings for this

factor, you must evidence commitments

of leveraged resources that match or

exceed the amount of HOPWA funds

that are requested, but not including

funds designated for data collection.

In establishing leveraging, HUD will

not consider other HOPWA-funded

activities, entitlement benefits inuring

to eligible persons, or conditioned

commitments that depend on future

fund-raising or actions. In assessing the

use of acceptable leveraged resources,

HUD will consider the likelihood that

State and local resources will be

available and continue during the

operating period of your grant. In

evaluating this factor HUD will also

consider:

(1) The extent to which you document

leveraged resources, such as funding

and/or in-kind services from

governmental entities, private

organizations, resident management

organizations, educational institutions,

or other entities to achieve the purposes

of the project for which you are

requesting HOPWA funds.

(2) The extent to which the

documented resources evidence that

you have partnered with other entities

to make more effective use of available

public or private resources. Partnership

arrangements may include funding or

in-kind services from local governments

or government agencies, nonprofit or

for-profit entities, private organizations,

educational institutions, or other

entities that are willing to partner with

you on proposed activities, or

partnering with other program funding

recipients to make more effective use of

resources within the geographic area

covered by your award.

To receive highest leveraging points,

you must document the cash value of

leveraged resources pledged to your

project(s). Appropriate language is

described below:

(i) Applicant or Third Party Cash

Resources. If this proposal is funded,

(applicant name or third party name)

commits $(amount) (of its own funds, if

applicant, or to applicant name, if third

party) for (type of activity) to be made

available to the HOPWA program. These

funds will be available from (date) to

(date). (Signature and Title of

authorized representative and date)

(ii) Non-Cash Resources. If this

proposal is funded, (organization’s

name) commits to make available (type

of resource) valued at $(amount) to the

HOPWA program proposed by

(applicant name). These resources will

be made available to the HOPWA

program from (date) to (date). (Signature

and Title of authorized representative

and date) The donation of a third party

professional service should be valued at

the professional’s customary charge.

The value of materials to be contributed

to the project by a third party or by the

applicant may also be counted as

leveraging.

(iii) Volunteer Time. If this proposal

is funded, (name of the organization or

of self), commits to provide (number of

12234 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

hours) of volunteer time from (date) to

(date) to provide (type of activity) to the

HOPWA program proposed by

(applicant name). The total value of

these services, based on $10.00 per

hour, is $(amount). (Signature and Title,

and date) Time to be contributed to the

project by volunteers should be valued

at $10.00 per hour. In the case of

individuals volunteering their time

directly to the applicant, the applicant

should list itself as the organization.

(iv) Contribution of a Building. If this

proposal is funded, (applicant name)

pledges the building at (site address) to

the HOPWA program. The building has

a fair market value of $(amount). A

licensed independent real estate

appraiser made this assessment which is

based on comparable properties in the

area. (Signature of applicants authorized

representative and date) Ownership of a

building or portion of a building to be

used in the project may be counted as

leveraging. The fair market value of the

building or portion of the building being

contributed may be counted. Do not

send an appraisal to HUD, but keep

documentation of fair market value on

file. The contribution of land (as a

leveraged resource for new

construction) should be treated the same

as contribution of a building. You will

need to keep documentation of the fair

market value on file, particularly if it is

improved land and you wish to include

the value of the improvements in the

contribution.

(v) Contribution of a Building to be

Acquired with HOPWA Funds. If this

proposal is funded, (applicant name)

commits the building at (site address)

for the HOPWA program. The building

has a fair market value of $(amount). A

licensed independent real estate

appraiser made this assessment which is

based on comparable properties in the

area. The HOPWA request for the

building is $(amount). Therefore, the

contribution is the difference between

the fair market value and the HOPWA

request, or $(amount). (Signature of

applicants authorized representative

and date) The difference between the

documented fair market value and the

portion paid for with HOPWA funds

may be counted as leveraging. Maintain

documentation of fair rental value on

file.

(vi) Contribution of Leasehold

Interest. If this proposal is funded,

(applicant name) commits the leasehold

interest at (site address) for the HOPWA

program. The fair rental value of this

site is $(amount) annually, and at

constant value will amount to

$(amount) over (term of the lease, up to

three years). An appropriate

independent third party made this

assessment which is based on

comparable properties in the area. The

total leasing cost over the term of the

lease to be paid with HOPWA funds is

$(amount). Therefore, the contribution

is the difference between the HOPWA

leasing cost and the fair rental value, or

$(amount). (Signature of applicants

authorized representative and date) The

difference between the fair rental value

(for a term up to three years) and the

cost of the lease to be paid for with

HOPWA funds may be counted as

leveraging.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

Please address the following factor on

not more than five (5) double-spaced,

typed pages. This factor addresses the

extent to which you coordinated the

specific proposal with other known

organizations, consulted prospective

clients or persons with HIV/AIDS in

designing your proposal, participates or

promotes participation in the

jurisdiction’s Consolidated Planning

process, and in a community’s

Continuum of Care Homeless Assistance

planning process (if homeless persons

are to be served by proposed activities),

and is working towards addressing a

need in a holistic and comprehensive

manner through linkages with other

activities in the community. HUD will

award up to 10 points based on your

proposal’s comprehensiveness and

coordination. In order to ensure that

resources are used to their maximum

effect within the community, it is

important that you be involved in

HUD’s planning processes for

community development and homeless

assistance resources. If you, your

sponsors, or others partnering with you

have been involved in these processes,

you should describe that involvement

under this factor.

HUD will consider the extent to

which your activities were planned with

community involvement in a larger

community or regional plans which

links the provision of health care,

supportive services, and housing. Also,

how planned activities are proposed to

be carried out with HOPWA funds and

other resources in order to provide a

comprehensive and responsive range of

housing and related supportive services

to meet the changing needs of persons

with HIV/AIDS. Your proposal should

demonstrate that housing is provided in

conjunction with the client’s access to

health-care and other supportive

services in the area to be served,

including assistance provided under the

Ryan White CARE Act programs.

In evaluating this factor, HUD will

consider the extent to which you

demonstrate you have:

(1) Coordinated your proposed

activities with those of other groups or

organizations prior to submission, to

best complement, support, and

coordinate all known activities; and if

funded, the specific steps you will take

to share information on solutions and

outcomes with others. You should

describe any written agreements,

memoranda of understanding in place,

or that will be in place after award.

(2) Been actively involved in your

community’s Continuum of Care

Homeless Assistance planning process

(if homeless persons are to be served by

proposed activities), and/or the

jurisdiction’s Consolidated Planning

process established to identify and

address a need/problem that is related

to the activities you propose to

undertake.

In the case of technical assistance

providers, you will be evaluated on the

specific steps you will take to work with

recipients of technical assistance

services to inform them of, and get them

involved in, the community’s

Continuum of Care Homeless Assistance

planning process and/or the

jurisdiction’s Consolidated Planning

process, as applicable. HUD will review

more favorably your application if you

can demonstrate you are active or are

working with recipients of technical

assistance to get them involved in local

and State planning processes.

(3) Developed linkages, or specific

steps you will take to develop linkages

with other activities, programs or

projects through meetings, information

networks, planning processes, or other

mechanisms, to coordinate your

activities so solutions are holistic and

comprehensive, including linkages

with:

(a) Other HUD-funded projects/

activities outside the scope of those

covered by the Consolidated Plan; and

(b) Other activities funded by the

Federal, State, or local government,

including those proposed or on-going in

the community.

(E) Selection of HOPWA Awards.

Whether your HOPWA application is

conditionally selected will depend on

your overall ranking compared to other

applications within each of the two

categories of assistance. HUD will select

applications in rank order in each

category of assistance to the extent that

funds are available, except as noted

below. In allocating amounts to the

categories of assistance, HUD reserves

the right to ensure that sufficient funds

are available for the selection of at least

one application with the highest ranking

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12235

under each category of assistance. In

selecting projects that target resources to

underserved populations as outlined in

Part B, Section III(D) in this program

section of the SuperNOFA, HUD will

ensure that up to (40) percent of the

funds awarded for Special Projects of

National Significance (SPNS) grants are

awarded to applications with

collaborations to serve underserved

populations and HUD reserves the right

to include in these awards at least one

application that targets unmet needs in

an underserved youth population.

If there is an insufficient request by

applicants for funds targeting

underserved populations, HUD will use

remaining funds for the next highest

ranked SPNS Applications in rank

order.

HUD reserves the right to achieve

greater diversity in the selection of

applications by selecting the highest

rated application in a State where no

applicant has been the recipient of any

prior HOPWA competitive grant or

formula allocation over a higher rated

application in a State that has received

prior HOPWA funding. In selecting a

lower rated application, HUD will not

select an application that is rated below

50 points.

In the event of a tie between

applications in a category of assistance,

HUD reserves the right to break the tie:

by selecting the proposal that increases

geographic diversity as defined in the

prior paragraph; and, if greater

geographic diversity is not achievable,

by selecting the proposal that was

scored higher on a rating criterion in the

following order: Soundness of

Approach: Responsiveness and Model

Qualities (Rating Factor 3);

Comprehensiveness and Coordination

(Rating Factor 5); the Capacity of the

Applicant and Relevant Organizational

Experience (Rating Factor 1); the Need/

Extent of the Problem (Rating Factor 2);

and Leveraging Resources (Rating Factor

4).

HUD will notify you in writing if you

are conditionally selected. You may be

notified subsequently of any

modification made by HUD, the

additional project information necessary

for grant award, and the date of deadline

for submission of the required

information. In the event that a

conditionally-selected applicant is

unable to meet any conditions for fund

award within the specified, HUD

reserves the right not to award funds to

the applicant, but use those funds to

make awards to the next highest rated

applications in this competition; to

restore amounts to a funding request

that had been reduced in this

competition; or to add amounts to funds

available for the next competition.

VI. Application Submission

Requirements

Your HOPWA application must

contain the following items in the order

shown below. The standard forms can

be found in Appendix B to the General

Section of the SuperNOFA.

The remaining application items that

are forms (i.e., excluding such items as

narratives, letters), referred to as the

‘‘non-standard forms’’ can be found as

Appendix D to this program section of

the SuperNOFA: The items are as

follows:

(A) Application for Federal Assistance

(Form SF–424). You should complete

Items 1 through 18 with the following

additions:

Item 5—Add e-mail address of the

contact person;

Item 7—The applicable letters are ‘‘A’’

for State; ‘‘B, C, or D’’ for a unit of local

government; or ‘‘N’’ for Nonprofit;

Item 9—Enter U.S. Department of

Housing and Urban Development or

HUD if not preprinted

Item 10—Enter 14—21 and the title

‘‘Housing Opportunities for Persons

with AIDS Program’’ or ‘‘HOPWA’’ for

the Catalogue of Federal Domestic

Assistance;

Item 15—You must complete the

budget on HUD-SF–424M and the

HOPWA Project Budget Form. Please

make sure that both the Total Amount

on HUD-SF–424M and the ‘‘Total

Budget’’ section on the HOPWA Project

Budget Form are the same. In the event

that the total budgets are in conflict,

HUD will refer to the HOPWA Project

Budget form.

Item 16—Check ‘‘No’’.

(B) Executive Summary and Synopsis.

Please provide a two to three sentence

synopsis of the proposed program,

followed by an Executive Summary of

the proposed project on no more than

two double-spaced, typed pages. HUD

will use this as a summary if your

project is chosen for funding. In your

abstract, include your organization’s

name and the name of any project

sponsor.

(C) Narrative Statements. Your

application must include narrative

statements that address each of the

Factors for Award found at Part B,

Section V(D) of this program section of

the SuperNOFA. Respond to each factor

within the stated page limits and do not

use a font size smaller than 12 point.

Applications failing to submit any of the

narrative statements will be rated as

zero during the rating process.

(D) Proposed HOPWA Project

Information Form. See Appendix D in

program section of SuperNOFA.

Complete the form including the

following:

(1) Project Sponsors. You must

identify any organization that will

receive HOPWA funds as a project

sponsor and the amount of funds to be

received.

(2) Non-profit Status. Non-profit

grantees or project sponsors must

submit documentation verifying your

non-profit status, as outlined under Part

B, Section III, Eligible Applicants and

Project Sponsors, in this program

section of the SuperNOFA.

(3) Service Areas. Your application

must identify the area(s) in which you

are proposing to offer housing and other

assistance.

(E) Budget. You must complete the

HOPWA Project Budget Form found in

Appendix D of this program section of

the SuperNOFA which lists the amount

of requested HOPWA funds designated

for each type of HOPWA-eligible

activity. For more information, please

see Part B, Section IV(C), Program

Requirements, and Paragraph (2)(e) of

Rating Factor 3, Soundness of

Approach.

(F) Statutory Certifications. HOPWA

applicants are not required to provide

the forms, certifications, and assurances

listed in the General Section of the

SuperNOFA unless stated below.

Additionally, the requirement to

Affirmatively Further Fair Housing does

not apply to the HOPWA program. The

following certifications are required by

law for funding and should be included

with your application. All certifications

and forms, except those found in the

General Section of the SuperNOFA, are

included in the appendixes to the

program section of this SuperNOFA.

(1) Consolidated Plan Certification.

Except as stated below, you must

include a Consolidated Plan (hereafter

called the plan) certification from the

applicable State or local government

official responsible for submitting the

appropriate plan. If your project will be

carried out on a national basis or will

be located on a reservation of an Indian

tribe, Guam, the Virgin Islands,

American Samoa, or the Northern

Mariana Islands you are not required to

include a Consolidated Plan

certification with your application. This

certification must be signed by the

authorizing official from the State or

local government. (See the General

Section of the SuperNOFA.)

(2) Certifications. The following

certifications are required as stated in

Section II(G) of the General Section of

the SuperNOFA: HUD–50070,

Certification of Drug-Free Workplace;

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and SF-LLL, Disclosure of Lobbying

Activities (if applicable).

(3) HOPWA Applicant Certifications.

The required HOPWA certifications

cover the following items: (i) fair

housing and non-discrimination; (ii)

uniform relocation assistance; (iii)

environmental law and authorities; (iv)

continued use periods for structures

assisted; and (v) debarred, suspended

and ineligible principals requirements.

(See Appendix D to this program section

of the SuperNOFA.)

(4) Certification of Consistency with

EZ/EC Strategic Plan. This may be

submitted as directed in the General

Section of the SuperNOFA.

(5) HUD–2880, Applicant/Recipient

Disclosure Update Report. This must be

signed by you the applicant.

After your entire application is

assembled, please mark each exhibit

with an appropriately numbered tab and

number every page of the application

sequentially. Complete the HOPWA

Application Checklist found in

Appendix D to this program section of

the SuperNOFA. Attach the HOPWA

Application Checklist to the front of

your application.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Other Requirements

(A) Environmental Requirements. All

HOPWA assistance is subject to the

National Environmental Policy Act and

applicable related Federal

environmental authorities. In

accordance with Section 856(h) of the

AIDS Housing Opportunities Act, as

added by Section 203 (c) of Public Law

106–377 (114 Stat. 1441, approved

October 27, 2000), environmental

reviews for HOPWA activities are to be

completed by responsible entities

(including units of general local

government, States, Indian tribes and

Alaska Native villages) in accordance

with 24 CFR Part 58. Applicants or

grantees that are not States or units of

general local government must request,

the unit of general local government to

perform the environmental review. This

statutory provision supersedes the

environmental provisions in the

HOPWA regulation at 24 CFR 57.510.

HOPWA grantees and project sponsors

may not commit or expend any grant of

nonfederal funds on project activities

(other than those listed in 24 CFR 58.34

or 58.35 (b)) until HUD has approved a

Request for Release of Funds and

environmental certification from the

responsible entity. The expenditure or

commitment of HOPWA or nonfederal

funds for such activities prior to this

HUD approval may result in the denial

of assistance for the project under

consideration.

(B) Local Resident Employment

(Section 3 Requirements). For grants in

excess of $200,000, to the extent that

any housing assistance funded through

this program section of the SuperNOFA

is used for housing rehabilitation

(including reduction and abatement of

lead-based paint hazards, but excluding

routine maintenance, repair, and

replacement) or housing construction,

then it is subject to section 3 of the

Housing and Urban Rehabilitation Act

of 1968,as amended, and the

implementing regulations at 24 CFR part

135. Section 3 requires that economic

opportunities generated by certain HUD

financial assistance for housing and

community development programs

shall, to the greatest extent feasible, be

given to low-and very low-income

persons, particularly those who are

recipients of government assistance for

housing, and to businesses that provide

economic opportunities for these

persons.

(C) Lead-Based Paint Requirement.

The grantee and program sponsor must

comply with the existing requirements

of the Lead Based Paint Poisoning

Prevention Act (42 U.S.C. 4821–4846)

and implementing regulations at 24 CFR

part 35, as applicable.

IX. Authority

This program is authorized under the

AIDS Housing Opportunity Act (42

U.S.C. 12901). The regulations for

HOPWA are found at 24 CFR part 574.

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FUNDING AVAILABILITY FOR

SECTION 202 SUPPORTIVE HOUSING

FOR THE ELDERLY PROGRAM

(SECTION 202 PROGRAM)

Program Overview

Purpose of the Program. This program

provides supportive housing for very

low-income persons 62 years of age or

older.

Available Funds. Approximately

$495.9 million.

Eligible Applicants. Private nonprofit

organizations and nonprofit consumer

cooperatives (see Section III(B) of this

NOFA). (See Section IX of this NOFA

for information regarding the formation

of the Owner corporation).

Eligible Activities. New construction,

rehabilitation, or acquisition of housing

with or without rehabilitation (see

Section III(C) of this NOFA).

Application Deadline. May 25, 2001.

Match Requirements. No.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Submit your

completed applications on or before

6:00 pm, local time, on May 25, 2001,

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).

Address for Submitting Applications.

Submit your completed application (an

original and four copies) to the Director

of the appropriate Multifamily Hub

Office or Multifamily Program Center as

listed in Appendix A to the Section 811

program section of this SuperNOFA

with the following exceptions:

1. Applications for projects proposed

to be located within the jurisdiction of

the Seattle, Washington and the

Anchorage, Alaska Offices must be

submitted to the Portland, Oregon

Office.

2. Applications for projects proposed

to be located within the jurisdiction of

the Sacramento, California Office must

be submitted to the San Francisco,

California Office.

3. Applications for projects proposed

to be located within the jurisdiction of

the Cincinnati, Ohio Office must be

submitted to the Columbus, Ohio Office.

4. Applications for projects proposed

to be located within the jurisdiction of

the Washington, DC Office must be

submitted to the Baltimore, Maryland

Office.

The application kit also includes a

listing of the Multifamily Hubs and

Program Centers, their addresses and

telephone numbers, including TTY

numbers. This information is also

available from HUD’s SuperNOFA

Information Center at 1–800–HUD–8929

and from the Internet through the HUD

web site at http://www.hud.gov.

Persons with hearing or speech

impairments may call the Center’s TTY

number at 1–800–HUD–2209.

For Application Kits. For an

application kit and any supplemental

materials, please call HUD’s

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. When requesting an application

kit, please refer to the Section 202

Program and provide your name,

address (including zip code), and

telephone number (including area code).

The application kit also will be

available on the Internet through the

HUD web site at http://www.hud.gov

and from the appropriate Multifamily

Hub or Multifamily Program Center.

For Further Information and

Technical Assistance. You may contact

the appropriate Multifamily Hub Office

or Multifamily Program Center, Evelyn

Berry at HUD Headquarters at (202)

708–2866, or access the Internet at http:/

/www.hud.gov.

HUD encourages minority

organizations to participate in this

program and strongly recommends that

prospective applicants attend the local

HUD Office workshop. At the

workshops, HUD will explain

application procedures and

requirements as well as address

concerns such as local market

conditions, building codes and

accessibility requirements, historic

preservation, floodplain management,

displacement and relocation, zoning,

and housing costs. If you are interested

in attending the workshop, make sure

that your name, address and telephone

number are on the appropriate HUD

Office’s mailing list so that you will be

informed of the date, time and place of

the workshop. Persons with disabilities

should call the appropriate HUD Office

to ensure that any necessary

arrangements can be made to enable

your attendance and participation in the

workshop.

If you cannot attend the workshop,

call the appropriate HUD Office if you

have any questions concerning the

submission of applications to that

particular office and to request any

materials distributed at the workshop.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov.

II. Amount Allocated

For FY 2001, $495,915,966 is

available for capital advances for the

supportive housing for the elderly

program. The FY 2001 HUD

Appropriations Act (HUD

Appropriations Act) provides

$679,000,000 for capital advances,

including amendments to capital

advance contracts, for supportive

housing for the elderly as authorized by

section 202 of the Housing Act of 1959,

and for project rental assistance, and

amendments to contracts for project

rental assistance, for supportive housing

for the elderly under section 202(c)(2) of

the Housing Act of 1959. Of this

amount, $500,000 shall be transferred to

the Working Capital Fund for the

development and maintenance of

information technology systems.

In accordance with the waiver

authority provided in the HUD

Appropriations Act, the Secretary is

waiving the following statutory and

regulatory provision: the term of the

project rental assistance contract is

reduced from 20 years to 5 years. HUD

anticipates that at the end of the

contract terms, renewals will be

approved subject to the availability of

funds. In addition to this provision,

HUD will reserve project rental

assistance contract funds based on 75

percent rather than on 100 percent of

the current operating cost standards for

approved units in order to take into

account the average tenant contribution

toward rent.

The allocation formula used for

Section 202 reflects the ‘‘relevant

characteristics of prospective program

participants,’’ as specified in 24 CFR

791.402(a). The FY 2001 formula

consists of one data element: a measure

of the number of one and two person

renter households with incomes at or

below HUD’s Very-low Income Limit

(50 percent of area median family

income, as determined by HUD, with an

adjustment for household size), which

have housing deficiencies. The counts

of elderly renter households with

housing deficiencies were taken from a

special tabulation of the 1990 Decennial

Census. The formula focuses the

allocation on targeting the funds based

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on the unmet needs of elderly renter

households with housing problems.

Under Section 202, 85 percent of the

total capital advance amount is

allocated to metropolitan areas and 15

percent to nonmetropolitan areas. In

addition, each HUD Office jurisdiction

receives sufficient capital advance funds

for a minimum of 20 units in

metropolitan areas and 5 units in

nonmetropolitan areas. The total

amount of capital advance funds to

support these minimum set-asides are

subtracted from the respective

(metropolitan or nonmetropolitan) total

capital advance amounts available. The

remainder is fair shared to each HUD

Office jurisdiction whose fair share

exceeds the minimum set-aside based

on the allocation formula fair share

factors described below. NOTE: The

allocations for metropolitan and

nonmetropolitan portions of the

Multifamily Hub or Program Center

jurisdictions reflect the most current

definitions of metropolitan and

nonmetropolitan areas, as defined by

the Office of Management and Budget.

A fair share factor is developed for

each metropolitan and nonmetropolitan

portion of each local HUD Office

jurisdiction by dividing the number of

renter households for the jurisdiction by

the total number of rental households in

the United States. The resulting

percentage for each local HUD Office

jurisdiction is then adjusted to reflect

the relative cost of providing housing

among the HUD Office jurisdictions.

The adjusted needs percentage for the

applicable metropolitan or

nonmetropolitan portion of each

jurisdiction is then multiplied by the

respective total remaining capital

advance funds available nationwide.

Based on the allocation formula, HUD

has allocated the available capital

advance funds as shown on the

following chart:

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III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. HUD

provides capital advances and contracts

for project rental assistance in

accordance with 24 CFR part 891.

Capital Advances may be used for the

construction or rehabilitation of a

structure, or acquisition of a structure

with or without rehabilitation

(including structures from the Federal

Deposit Insurance Corporation (formerly

held by the Resolution Trust

Corporation (FDIC/RTC)). Capital

Advance funds bear no interest and are

based on development cost limits

published in this SuperNOFA.

Repayment of the capital advance is not

required as long as the housing remains

available for occupancy by very lowincome elderly persons for at least 40

years.

Project rental assistance contract

(PRAC) funds are used to cover the

difference between what the residents

pay for rent and the HUD-approved

expense to operate the project. Project

Rental Assistance Contract funds may

also be used to provide supportive

services and to hire a service

coordinator in those projects serving the

frail elderly residents. The supportive

services must be appropriate to the

category or categories of frail elderly

residents to be served.

(B) Eligible Applicants. Private

nonprofit organizations and nonprofit

consumer cooperatives are the only

eligible applicants under this Section

202 Program. Neither a public body nor

an instrumentality of a public body is

eligible to participate in the program.

A Sponsor or Co-sponsor may not

apply for more than 200 units of

housing for the elderly in a single Hub

or more than 10 percent of the total

units allocated to all HUD Offices. Also,

no single application may propose more

than the number of units allocated to a

HUD office or 125 units, whichever is

less. Reservations for projects will not

be approved for fewer than 5 units.

Affiliated entities that submit separate

applications are considered to be a

single entity for the purpose of these

limits.

(C) Eligible Activities. Section 202

capital advance funds must be used to

finance the development of housing

through new construction,

rehabilitation, or acquisition of housing

with or without rehabilitation. Capital

advance funds may also be used in

combination with other non-Section 202

funding sources to develop additional

units for a mixed-finance or mixed-used

project. Project Rental Assistance funds

are provided to cover the difference

between the HUD-approved operating

costs and the amount the residents pay

(each resident pays 30 percent of

adjusted income) as well as to provide

supportive services to frail elderly

residents. In projects principally serving

the frail elderly, eligible costs include

the salary of a service coordinator.

Note: For purposes of approving Section

202 capital advances, HUD will consider

proposals involving mixed-financing or a

mixed-use purpose for additional units.

However, you must obtain funds to assist the

additional units with other than PRAC funds.

HUD will not provide PRAC funds for nonSection 202 units.

(D) Ineligible Activities. Section 202

funds may not be used for nursing

homes, infirmaries, medical facilities,

mobile home projects, community

centers, headquarters for organizations

for the elderly, nonhousekeeping

accommodations, or refinancing of

sponsor-owned facilities without

rehabilitation.

IV. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, as an

applicant, you must comply with the

following requirements:

(A) Statutory and Regulatory

Requirements. You must comply with

all Section 202 Program statutory and

regulatory requirements, as listed in

Sections III, IV and X of this program

section of the SuperNOFA.

(B) HUD/RHS Agreement. HUD and

the Rural Housing Service (RHS) have

an agreement to coordinate the

administration of the agencies’

respective rental assistance programs.

As a result, HUD is required to notify

RHS of applications for housing

assistance it receives. This notification

gives RHS the opportunity to comment

if it has concerns about the demand for

additional assisted housing and possible

harm to existing projects in the same

housing market area. HUD will consider

RHS’ comments in its review and

application selection process.

(C) Development Cost Limits. (1) The

following development cost limits,

adjusted by locality as described in

Section IV(C)(2) of this program section

of the SuperNOFA, below, will be used

to determine the capital advance

amount to be reserved for projects for

the elderly:

(a) The total development cost of the

property or project attributable to

dwelling use (less the incremental

development cost and the capitalized

operating costs associated with any

excess amenities and design features

you must pay for) may not exceed:

Nonelevator structures:

$41,238 per family unit without a

bedroom;

$47,548 per family unit with one

bedroom;

$57,344 per family unit with two

bedrooms;

For elevator structures:

$43,398 per family unit without a

bedroom;

$49,748 per family unit with one

bedroom;

$60,493 per family unit with two

bedrooms.

(b) These cost limits reflect those

costs reasonable and necessary to

develop a project of modest design that

complies with HUD minimum property

standards; the accessibility

requirements of § 891.120(b); and the

project design and cost standards of

§ 891.120 and § 891.210.

(2) Increased development cost limits.

(a) HUD may increase the

development cost limits set forth in

Section IV(C)(1) of this program section

of the SuperNOFA, above, by up to 140

percent in any geographic area where

the cost levels require, and may increase

the development cost limits by up to

160 percent on a project-by-project

basis. This increase may include

covering additional costs to make

dwelling units accessible through

rehabilitation.

(b) If HUD finds that high

construction costs in Alaska, Guam, the

Virgin Islands, or Hawaii make it

infeasible to construct dwellings,

without the sacrifice of sound standards

of construction, design, and livability,

within the development cost limits

provided in Section IV(C)(1) of this

program section of the SuperNOFA,

above, the amount of the capital

advances may be increased to

compensate for such costs. The increase

may not exceed the limits established

under this section (including any high

cost area adjustment) by more than 50

percent.

(D) Minimum Capital Investment.

Selected nonprofit organizations must

provide a minimum capital investment

of one-half of one percent of the HUDapproved capital advance amount, not

to exceed $10,000 in accordance with

§ 891.145, with the following exception.

If you, as Sponsor or Co-Sponsor, have

one or more Section 202 or one or more

Section 811 project(s) under reservation,

construction, or management in two or

more different HUD geographical

regions (Hubs), the minimum capital

investment shall be one half of one

percent of the HUD-approved capital

advance amount, not to exceed $25,000.

(E) Economic Opportunities for Low

and Very Low-Income Persons (Section

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3). You must comply with section 3 of

the Housing and Urban Development

Act of 1968, 12 U.S.C. 1701u (Economic

Opportunities for Low and Very Low

Income Persons), and its implementing

regulations at 24 CFR part 135. You

must ensure that training, employment

and other economic opportunities shall,

to the greatest extent feasible, be

directed toward low- and very lowincome persons, particularly those who

are recipients of government assistance

for housing and to business concerns

which provide economic opportunities

to low and very low income persons. To

comply with section 3 requirements,

you are required to certify that you will

strongly encourage your general

contractor and subcontractors to

participate in local apprenticeship

programs or training programs

registered with or certified by the

Department of Labor’s Bureau of

Apprenticeship and Training or

recognized State Apprenticeship

Agency (see section VI(B)(7)(k)(ii) of this

program section of the SuperNOFA).

(F) Applicability of Acquisition of

Sites under the Uniform Relocation

Assistance and Real Property

Acquisition Act of 1970, as amended.

The acquisition of sites, with or without

existing structures, is subject to the

Uniform Relocation Assistance and Real

Property Acquisition Act of 1970, as

amended (URA). However, you are

exempt from complying with the site

acquisition requirements of the URA if

you do not have the power of eminent

domain and prior to entering into a

contract of sale, option to purchase or

any other method of obtaining site

control, you inform the seller of the land

(1) that you do not have the power of

eminent domain and, therefore, you will

not acquire the property if negotiations

fail to result in an amicable agreement,

and (2) of the estimate of the fair market

value of the property. An appraisal is

not required to meet this requirement,

however, your files must include an

explanation, with reasonable evidence,

of the basis for the estimate.

V. Application Selection Process

(A) Review for Curable Deficiencies.

HUD will screen all applications

received by the deadline for curable

deficiencies. A curable deficiency is a

missing Exhibit or portion of an Exhibit

that will not affect the rating of the

application. The following is a list of the

deficiencies that will be considered

curable in a Section 202 application:

Exhibits

(1) Form 92015–CA (Application

Form)*

(2)(a) Articles of Incorporation*

(b) By-laws*

(c) IRS tax exemption ruling*

(4)(c)(ii) Energy efficiency

(d)(i) Evidence of site control

(d)(ii) Evidence site is free of

limitations, restrictions or reverters

(d)(iii) Evidence of permissive zoning

(d)(vi) Phase I Environmental Site

Assessment

(d)(vii) Letter from State Historic

Preservation Officer (SHPO)

(5) Applications submitted to other

Offices

(6) Relocation

(7)(a) Standard Form 424, Application

for Federal Assistance*

(b) HUD–50070, Certification of a

Drug-free Workplace

(c) Form-HUD 50071, Certification of

Payments to Influence Federal

Transactions and Standard FormLLL, Disclosure of Lobbying

Activities

(d) Form-HUD 2880, Applicant/

Recipient Disclosure/Update Report

(e) Form-HUD 2992, Certification

Regarding Debarment and

Suspension

(f) Executive Order 12372

Certification

(g) Form-HUD 2991, Certification of

Consistency with Consolidated Plan

(h) Conflict of Interest Resolution

(i) Resolution for Commitment to

Project*

(k) Combined Certifications

The HUD Office will notify you in

writing if your application is missing

any of the exhibits or portions of

exhibits and you will be given 14 days

from the date of the HUD notification to

submit the information required to cure

the noted deficiencies. The items

identified by an asterisk (*) must be

dated on or before the application

deadline date.

(B) Rating. HUD will review and rate

your application in accordance with the

Application Selection Process in the

General Section of this SuperNOFA

with the following exception. HUD will

not reject your application based on

technical review without notifying you

of that rejection with all the reasons for

rejection, and providing you an

opportunity to appeal. You will have 14

calendar days from the date of HUD’s

written notice to appeal a technical

rejection to the HUD office. If the

rejection is due to the nonsubmission of

the following exhibits because of the

failure of a third party to provide

information under the control of the

third party but outside your control

(e.g., by contract), and you were not

provided the opportunity to cure the

deficiency during the curable deficiency

period, you can submit the information

required to cure the deficiency during

the 14 calendar day appeal period:

(1) Exhibit 4(d)(iii), Evidence of

permissive zoning, and/or

(2) Exhibit 7(g), Form-HUD 2991,

Certification of Consistency with the

Consolidated Plan.

The information required to cure the

above identified deficiencies includes

the deficient Exhibit and documentation

showing that the information had been

requested from the third party at least

45 days prior to the application

deadline date.

The HUD office will make a

determination on an appeal before

making its selection recommendations.

All applications will be either rated or

technically rejected at the end of

technical review. If your application

meets all program eligibility

requirements after completion of

technical review, it will be rated

according to the rating factors in Section

V(D) of this Section 202 Program section

of the SuperNOFA.

(C) Ranking and Selection Procedures.

Applications submitted in response to

the advertised metropolitan allocations

or nonmetropolitan allocations that

have a total base score (without the

addition of EC/EZ bonus points) of 60

points or more and meet all of the

applicable threshold requirements of

Section II(B) of the General Section of

the SuperNOFA will be eligible for

selection, and HUD will place them in

rank order per metropolitan or

nonmetropolitan allocation. These

applications, after adding any bonus

points for EC/EZ, will be selected based

on rank order, up to and including the

last application that can be funded out

of each HUD office’s metropolitan or

nonmetropolitan allocation. HUD offices

must not skip over any applications in

order to select one based on the funds

remaining. After making the initial

selections in each allocation area,

however, HUD may use any residual

funds to select the next rank-ordered

application by reducing the number of

units by no more than 10 percent,

rounded to the nearest whole number,

provided the reduction will not render

the project infeasible. For this purpose,

however, HUD will not reduce the

number of units in projects of five units

or less.

Once this process has been

completed, HUD offices may combine

their unused metropolitan and

nonmetropolitan funds in order to select

the next ranked application in either

category, using the unit reduction policy

described above, if necessary.

After the offices have funded all

possible projects based on the process

above, combined metropolitan and

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12277

nonmetropolitan residual funds from all

HUD Offices in each Multifamily Hub

will be combined. These funds will be

used first to restore units to projects

reduced by HUD offices based on the

above instructions. Second, additional

applications within each Multifamily

Hub will be selected in rank order with

only one application selected per HUD

Office. More than one application may

be selected per HUD Office if there are

no approvable applications in other

HUD Offices within the Multifamily

Hub. This process will continue until

there are no more approvable

applications within the Multifamily

Hub that can be selected with the

remaining funds. Applications may not

be skipped over to select one based on

funds remaining. However, HUD may

use any remaining residual funds to

select the next rank-ordered application

by reducing the number of units by no

more than 10 percent rounded to the

nearest whole number, provided the

reduction will not render the project

infeasible or result in the project being

less than five units.

Funds remaining after these processes

are completed will be returned to

Headquarters. HUD Headquarters will

use these residual funds first to fund

Mercy Charities Housing California,

Cathedral City, California, in the

jurisdiction of the HUD Los Angeles

HUB, a FY 2000 Section 202 application

which was not funded due to HUD

error. Second, HUD Headquarters will

use these funds to restore units to

projects reduced by HUD offices as a

result of the instructions for using their

residual funds. Finally, HUD

Headquarters will use these funds for

selecting applications based on field

offices’ rankings beginning with the

highest rated application nationwide.

However, after restoring units to

projects where necessary, priority will

be given to those applications for

projects in non-metropolitan areas, if

necessary to meet the statutory

requirement pertaining to Section 202

funding in non-metropolitan areas. Only

one application will be selected per

HUD office from the national residual

amount. If there are no approvable

applications in other HUD offices, the

process will begin with the selection of

the next highest rated application

nationwide. This process will continue

until all approvable applications are

selected using the available remaining

funds.

(D) Factors For Award Used To

Evaluate and Rate Applications. HUD

will rate applications that successfully

complete technical processing using the

Rating Factors set forth below and in

accordance with the application

submission requirements identified in

Section VI(B) below. The maximum

number of points an application may

receive under this program is 102. This

includes two EZ/EC bonus points, as

described in the General Section of the

SuperNOFA.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Staff (25 Points)

This factor addresses the extent to

which you have the organizational

resources to successfully implement the

proposed activities in a timely manner.

Submit information responding to this

factor in accordance with Application

Submission Requirements in paragraphs

(B)(2), (B)(3)(a), (B)(3)(b), and (B)(3)(e) of

Section VI of this program section of the

SuperNOFA.

In rating this factor, HUD will

consider the extent to which your

application demonstrates your ability to

develop and operate the proposed

housing on a long-term basis,

considering the following:

(a) (15 points) The scope, extent, and

quality of your experience in providing

housing or related services to those

proposed to be served by the project and

the scope of the proposed project (i.e.,

number of units, services, relocation

costs, development, and operation) in

relationship to your demonstrated

development and management capacity

as well as your financial management

capability; and

(b) (10 points) The scope, extent, and

quality of your experience in providing

housing or related services to minority

persons or families as well as your ties

to the community at large and to the

minority and elderly communities in

particular. For purposes of this program

section of the SuperNOFA, ‘‘minority’’

means the basic racial and ethnic

categories for Federal statistics and

administrative reporting, as defined in

OMB’s Statistical and Policy Directive

No. 15. (See 62 FR 58782, October 30,

1997.).

Rating Factor 2: Need/Extent of the

Problem (15 Points)

This factor addresses the extent to

which there is a need for funding the

proposed activities to address a

documented problem in the target area.

Submit information responding to this

factor in accordance with Application

Submission Requirements in paragraphs

(B)(4)(a) and (B)(4)(b) of Section VI of

this program section of the SuperNOFA.

In evaluating this factor, HUD will

consider:

The extent of the need for the project

in the area based on a determination by

the HUD Office. In making this

determination, HUD will consider your

evidence of need in the area, as well as

other economic, demographic, and

housing market data available to the

HUD office. The data could include

information on the number of existing

Federally assisted housing units (HUD

and RHS) for the elderly in the area and

current occupancy in such facilities;

Federally assisted housing for the

elderly under construction or for which

fund reservations have been issued; and

in accordance with an agreement

between HUD and the RHS, comments

from the RHS on the demand for

additional assisted housing and the

possible harm to existing projects in the

same housing market area. The

Department will also review more

favorably those applications which

establish a connection between the

proposed project and the community’s

Analysis of Impediments to Fair

Housing Choice (AI) or other planning

document that analyzes fair housing

issues and is prepared by a local

planning or similar organization. You

must show how your proposed project

will address an impediment to fair

housing choice described in the AI or

meet a need identified in the other type

of planning document.

Rating Factor 3: Soundness of

Approach (40 Points)

This factor addresses the quality and

effectiveness of your proposal. There

must be a clear relationship between

your proposed activities, the

community’s needs and purposes of the

program funding for your application to

receive points for this factor. Submit

information responding to this factor in

accordance with Application

Submission Requirements in paragraphs

(B)(4)(c), (B)(4)(d) and (B)(4)(e) of

Section VI of this program section of the

SuperNOFA. In evaluating this factor,

HUD will consider the following:

(a) (15 points) The proximity or

accessibility of the site to shopping,

medical facilities, transportation, places

of worship, recreational facilities, places

of employment, and other necessary

services to the intended occupants;

adequacy of utilities and streets;

freedom of the site from adverse

environmental conditions; compliance

with site and neighborhood standards

(24 CFR 891.125(a), (d) and (e));

(b) (10 points) The suitability of the

site from the standpoints of promoting

a greater choice of housing

opportunities for minority elderly

persons/families, and affirmatively

furthering fair housing. In reviewing

this criterion, HUD will assess whether

the site meets the site and neighborhood

standards at 24 CFR 891.125(b) and (c)

12278 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

by examining relevant data in your

application or in the HUD Office. Where

appropriate, HUD may visit the site.

(i) The site will be deemed acceptable

if it increases housing choice and

opportunity by:

—Expanding housing opportunities in

non-minority neighborhoods (if

located in such a neighborhood); or

—Contributing to the revitalization of

and reinvestment in minority

neighborhoods, including

improvement of the level, quality and

affordability of services furnished to

minority elderly. You should refer to

the Site and Neighborhood Standards

provisions of the regulations

governing the Section 202 Supportive

Housing for the Elderly program (24

CFR 891.125(b) and (c)) when

considering sites for your project.

(ii) For the purpose of this

competition, the term ‘‘minority

neighborhood (area of minority

concentration)’’ is defined as one where

any one of the following statistical

conditions exists:

—The percentage of persons of a

particular racial or ethnic minority is

at least 20 points higher than the

minority’s or combination of

minorities’ percentage in the housing

market as a whole; or,

—The neighborhood’s total percentage

of minority persons is at least 20

points higher than the total

percentage of minorities for the

housing market as a whole; or,

—In the case of a metropolitan area, the

neighborhood’s total percentage of

minority persons exceeds 50 percent

of its population. The term

‘‘nonminority area’’ is defined as one

in which the minority population is

lower than 10 percent.

(c) (3 points) The extent to which

your proposed design will meet the

special physical needs of elderly

persons;

(d) (3 points) The extent to which the

proposed size and unit mix of the

housing will enable you to manage and

operate the housing efficiently and

ensure that the provision of supportive

services will be accomplished in an

economical fashion;

(e) (3 points) The extent to which the

proposed design of the housing will

accommodate the provision of

supportive services that are expected to

be needed, initially and over the useful

life of the housing, by the category or

categories of elderly persons the

housing is intended to serve;

(f) (3 points) The extent to which the

proposed supportive services meet the

identified needs of the anticipated

residents; and

(g) (3 points) The extent to which you

demonstrate that the identified

supportive services will be provided on

a consistent, long-term basis.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses your ability to

secure other community resources

which can be combined with HUD’s

program resources to achieve program

purposes. Submit information

responding to this factor in accordance

with Application Submission

Requirements in paragraphs (B)(3)(c)

and (B)(3)(d) of Section VI of this

program section of the SuperNOFA.

(a) (5 points) The extent of local

government support (including financial

assistance, donation of land, provision

of services, etc.) for the project; and

(b) (5 points) The extent of your

activities in the community, including

previous experience in serving the area

where the project is to be located, and

your demonstrated ability to enlist

volunteers and raise local funds.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

This factor addresses the extent to

which you coordinated your activities

with other known organizations,

participate or promote participation in

the community’s Consolidated Planning

process, and are working toward

addressing a need in a holistic and

comprehensive manner through

linkages with other activities in the

community. Submit information

responding to this factor in accordance

with Application Submission

Requirements in paragraphs (B)(3)(f),

(B)(3)(g), (B)(3)(h) and (B)(3)(i) of

Section VI of this program section of the

SuperNOFA.

(a) (4 points) Your involvement of

elderly persons, particularly minority

elderly persons, in the development of

the application, and your intent to

involve elderly persons, particularly

minority elderly persons, in the

development and operation of the

project;

(b) (2 points) The extent to which you

coordinated your application with other

organizations to complement and/or

support the proposed project;

(c) (2 points) The extent to which you

demonstrated that you have been

actively involved, or if not currently

active, the steps you will take to become

actively involved in the community’s

Consolidated Planning process to

identify and address a need/problem

that is related in whole or part, directly

or indirectly to the proposed project;

(d) (2 points) The extent to which you

developed or plan to develop linkages

with other activities, programs or

projects related to the proposed project

to coordinate your activities so solutions

are holistic and comprehensive; and

Bonus Points

(2 bonus points) Location of proposed

site in an EZ/EC area, as described in

the General Section of this SuperNOFA.

Submit the information responding to

the bonus points in accordance with the

Application Submission Requirements

in paragraph (B)(7)(j) of Section VI of

this program section of the SuperNOFA.

VI. Application Submission

Requirements

(A) Application. Your application

must include all of the information,

materials, forms, and exhibits listed in

Section VI(B) of this program section of

the SuperNOFA (unless you were

selected for a Section 202 fund

reservation within the last three funding

cycles). If you qualify for this exception,

you are not required to submit the

information described in Sections

VI(B)(2)(a), (b), and (c) of this program

section of the SuperNOFA (Exhibits 2.a.,

b., and c. of the application kit), which

are the articles of incorporation, (or

other organizational documents), bylaws, and the IRS tax exemption,

respectively. If there has been a change

in any of these documents since your

previous HUD approval, you must

submit the updated information in your

application. HUD offices will verify

your indication of previous HUD

approval by checking the project

number and approval status with the

appropriate HUD Office based on the

information submitted in response to

Section VI(B)(2) below.

In addition to this relief of paperwork

burden in preparing applications, you

will be able to submit information and

exhibits you have previously prepared

for prior applications under Section

202, Section 811, or other funding

programs. Examples of exhibits that may

be readily adapted or amended to

decrease the burden of application

preparation include, among others,

those on previous participation in the

Section 202 or Section 811 Programs,

your experience in provision of housing

and services, supportive services plan,

community ties, and experience serving

minorities.

(B) General Application

Requirements. Your application must

contain the items listed in this Section

VI(B). These items include the standard

forms, certifications, and assurances

listed in the General Section of the

SuperNOFA that are applicable to this

funding (collectively referred to as the

‘‘standard forms’’). The standard forms

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12279

can be found in Appendix B to the

General Section of the SuperNOFA. The

remaining application items that are

forms (i.e., excluding such items as

narratives), referred to as the ‘‘nonstandard forms’’ can be found as

Appendix B to this program section of

the SuperNOFA. The items are as

follows:

(1) Form HUD–92015–CA,

Application for Section 202 Supportive

Housing Capital Advance.

(2) Evidence of your and each CoSponsor’s legal status as a private

nonprofit organization or nonprofit

consumer cooperative, including the

following:

(2)(a) Articles of Incorporation,

constitution, or other organizational

documents;

(2)(b) By-laws;

(2)(c) IRS tax exemption ruling (this

must be submitted by you and each CoSponsor, including churches). A

consumer cooperative that is tax exempt

under State law, has never been liable

for payment of Federal income taxes,

and does not pay patronage dividends

may be exempt from the requirement set

out in the previous sentence if it is not

eligible for tax exemption.

Note: If you received a section 202 fund

reservation within the last three funding

cycles, you are not required to submit the

documents described in paragraphs (2)(a),

(2)(b), and (2)(c), above. Instead, you must

submit the project number of the latest

application selected and the HUD office to

which it was submitted. If there have been

any modifications or additions to the subject

documents, indicate such, and submit the

new material.

(3) A description of your purpose,

community ties, and experience,

including the following:

(3)(a) A description of your purpose,

current activities and how long you

have been in existence;

(3)(b) A description of your ties to the

community at large and to the minority

and elderly communities in particular;

(3)(c) A description of local

government support for the project

(including financial assistance, donation

of land, provision of services, etc.);

(3)(d) Letters of support for your

organization and for the proposed

project from organizations familiar with

the housing and supportive services

needs of the elderly that you expect to

serve in the proposed project;

(3)(e) A description of your housing

and/or supportive services experience.

The description should include any

rental housing projects and/or

supportive services facilities that you

have sponsored, owned, and/or

operated; your past or current

involvement in any programs other than

housing that demonstrates your

management capabilities (including

financial management) and experience;

your experience in serving the elderly,

including elderly persons with

disabilities, and/or families and

minorities; and the reasons for receiving

any increases in fund reservations for

developing and/or operating previously

funded Section 202 or Section 811

projects. The description should include

data on the facilities and services

provided, the racial/ethnic composition

of the populations served, if available,

and information and testimonials from

residents or community leaders on the

quality of the activities. Examples of

activities that could be described

include housing counseling, nutrition

and food services, special housing

referral, screening and information

projects.

(3)(f) A description, if applicable, of

your efforts to involve elderly persons,

including minority elderly persons, in

the development of the application, as

well as your intent to involve elderly

persons in the development and

operation of the project.

(3)(g) A description of the steps you

took to identify and coordinate your

application with other organizations to

complement and/or support the

proposed project as well as the steps

you will take, if funded, to share

information on solutions and outcomes

relative to the development of the

proposed project.

(3)(h) A description of your

involvement in the community’s

Consolidated Planning process

including:

(3)(h)(i) An identification of the lead/

facilitating agency that organizes/

administers the process;

(3)(h)(ii) An identification of the

Consolidated Plan issue areas in which

you participate;

(3)(h)(iii) Your level of participation

in the process, including active

involvement with any neighborhoodbased organizations, associations, or any

committees that support programs and

activities that enhance projects or the

lives of residents of the projects, such as

the one proposed in your application.

If you are not currently active,

describe the specific steps you will take

to become active in the Consolidated

Planning process. (Consult the local

HUD Office for the identification of the

Consolidated Plan community process

for the appropriate area.)

(3)(i) A description of the linkages

that you have developed or plan to

develop with other related activities,

programs or projects in order that the

development of the project provides a

comprehensive and holistic solution to

the needs of the target population.

(4) Project information, including the

following:

(4)(a) Evidence of need for supportive

housing. Such evidence would include

a description of the category or

categories of elderly persons the

housing is intended to serve and

evidence demonstrating sustained

effective demand for supportive housing

for that population in the market area to

be served, taking into consideration the

occupancy and vacancy conditions in

existing Federally assisted housing for

the elderly (HUD and RHS; e.g., public

housing); State or local data on the

limitations in activities of daily living

among the elderly in the area; aging in

place in existing assisted rentals; trends

in demographic changes in elderly

population and households; the

numbers of income eligible elderly

households by size, tenure, and housing

condition; the types of supportive

services arrangements currently

available in the area; and the use of such

services as evidenced by data from local

social service agencies or agencies on

aging. Also, a description of how

information in the community’s

Analysis of Impediments to Fair

Housing Choice was used in

documenting the need for the project.

(4)(b) A description of how the

proposed project will benefit the target

population and the community in

which it will be located.

(4)(c) A description of the project,

including the following:

(4)(c)(i) A narrative description of the

building design, including a description

of the number of units with bedroom

distributions, any special design

features, amenities, and/or community

space, and how this design will

facilitate the delivery of services in an

economical fashion and accommodate

the changing needs of the residents over

the next 10–20 years.

Note: If these community spaces,

amenities, or features would not comply with

the project design and cost standards of 24

CFR 891.120 and the special project

standards of 24 CFR 891.210, you must state

your ability and willingness to contribute

both the incremental development cost and

continuing operating cost associated with the

community spaces, amenities, or features;

(4)(c)(ii) A description of whether and

how the project will promote energy

efficiency, and, if applicable, innovative

construction or rehabilitation methods

or technologies to be used that will

promote efficient construction.

(4)(c)(iii) If applicable, a description

of any plans and the actions you have

taken to create a mixed-finance/mixeduse project by developing additional

12280 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

units (i.e., in addition to the Section 202

units) with the use of Section 202

capital advance funds in combination

with other funding sources. Specify the

number of Section 202 units and the

number of additional units from nonSection 202 funding sources. Provide

copies of any letters you have sent

seeking outside funding for the nonSection 202 units and any responses

thereto. You also must demonstrate your

ability to proceed with the development

of a Section 202 project that will not

involve mixed-financing or a mixed-use

purpose, as proposed in your

application, in the event you are later

unable to obtain the necessary outside

funding or HUD disapproves your

proposal for mixed-financing or a

mixed-use.

Note: Approval of the Section 202 capital

advance will not necessarily be approval of

the mixed-finance/mixed-use proposal. If

approved for a reservation of capital advance

funds, you will be required to submit, after

reservation of capital advance funds, a

detailed proposal outlining how you will

fund both development and operation of the

additional units in accordance with HUD

instructions that will be issued later. Based

on the strength of your organization and

HUD’s prior experience with your projects, as

well as your outline of your intentions, at

time of making the fund reservation, HUD

will determine whether you will be

permitted to submit a mixed-finance/mixeduse proposal at a later time. Only those

Sponsors that indicate in their application for

a fund reservation an intention to propose

additional units will be eligible to submit, at

a later time, a mixed-finance/mixed-use

proposal for additional units. (A mixedfinance/mixed-use project, as used here, does

not include the development of Section 202

units using secondary/supplemental

financing or the development of a mixed-use

project in which the Section 202 units are

mortgaged separately from the other uses of

the structure).

(4)(d) Evidence that the Sponsor has

site control and permissive zoning,

including the following:

(4)(d)(i) Acceptable evidence of site

control is limited to any one of the

following:

(A) Deed or long-term leasehold

which evidences that you have title to

or a leasehold interest in the site. If a

leasehold, the term of the lease must be

at least 50 years;

(B) Contract of sale for the site which

is free of any limitations affecting ability

to deliver ownership to you after you

receive and accept a notice of Section

202 capital advance. The only condition

for closing on the sale can be your

receipt and acceptance of the capital

advance. The contract of sale cannot

require closing on a date earlier than the

Section 202 closing.

(C) Option to purchase or for a longterm leasehold which must remain in

effect for six months from the date on

which the applications are due, and

must state a firm price binding on the

seller. The only condition on which the

option may be terminated is if you are

not awarded a fund reservation. The

option must be renewable at the end of

the six months option period.

(D) Where the proposed site is subject

to a mortgage under a HUD program

(e.g., an earlier 202 or an FHA insured

mortgage), you must submit evidence

that consent to release of the site from

that mortgage has been obtained or has

been requested from HUD and from the

mortgagee, if other than HUD.

(E) For sites to be acquired from a

public body, evidence is needed that the

public body possesses clear title to the

site and has entered into a legally

binding agreement to lease or convey

the site to you after you receive and

accept a notice of Section 202 capital

advance. Where HUD determines that

time constraints of the funding round

will not permit all of the required

official actions (e.g., approval of

Community Planning Boards) that are

necessary to convey publicly-owned

sites, a letter in the application from the

mayor or director of the appropriate

local agency indicating that conveyance

or leasing of the site is acceptable

without imposition of additional

covenants or restrictions and only

contingent on the necessary approval

action. Such a letter commitment will

be considered sufficient evidence of site

control.

Note: For this funding cycle, New York

City-owned sites that are designated as

community gardens will not meet site control

requirements due to litigation involving

those sites.

(4)(d)(ii) Whether you have title to the

site, a contract of sale, an option to

purchase, or are acquiring the site from

a public body, you must provide

evidence (a title policy or other

acceptable evidence) that the site is free

of any limitations, restrictions, or

reverters which could adversely affect

the use of the site for the proposed

project for the 40-year capital advance

period under HUD’s regulations and

requirements (e.g., reversion to seller if

title is transferred). If the title evidence

contains restrictions or covenants,

copies of such covenants or restrictions

must be submitted with the application.

If the site is subject to any such

limitations, restrictions, or reverters, the

application will be rejected. Purchase

money mortgages that will be satisfied

from capital advance funds are not

considered to be limitations or

restrictions that would adversely affect

the use of the site. If the contract of sale

or the option agreement contains

provisions that allow a Sponsor not to

purchase the property for reasons such

as environmental problems, failure of

the site to pass inspection, or the

appraisal is less than the purchase price,

then such provisions are not

objectionable and a Sponsor is allowed

to terminate the contract of sale or the

option agreement.

Note: A proposed project site may not be

acquired or optioned from a General

Contractor (or its affiliate) that will construct

the section 202 project or from any other

development team member.

(4)(d)(iii) Evidence that the project as

proposed is permissible under

applicable zoning ordinances or

regulations, or a statement of the

proposed action required to make the

proposed project permissible and the

basis for your belief that the proposed

action will be completed successfully

before the submission of the firm

commitment application (e.g., a

summary of the results of any requests

for rezoning and/or the procedures for

obtaining special or conditional use

permits on land in similar zoning

classifications and the time required for

such rezoning, or preliminary

indications of acceptability from zoning

bodies, etc.);

(4)(d)(iv) A narrative topographical

and demographic description of the

suitability of the site and area, and how

the site will promote greater housing

opportunities for minority elderly and

elderly persons with disabilities,

thereby affirmatively furthering fair

housing; (NOTE: You can best

demonstrate your commitment to

affirmatively furthering fair housing by

describing how your proposed activities

will assist the jurisdiction in

overcoming impediments to fair housing

choice identified in the applicable

jurisdictions’s Analysis of Impediments

to Fair Housing Choice (AI), which is a

component of the jurisdiction’s

Consolidated Plan, or any other

planning document that addresses fair

housing issues. The applicable

Consolidated Plan and AI may be the

Community’s, the County’s, or the

State’s, to which input should have

been provided by local community

organizations, agencies in the

community, and residents of the

community. Alternatively, a document

that addresses fair housing issues and

remedies to barriers to fair housing in

the community that was previously

prepared by a local planning, or similar

organization, may be used. Applicable

impediments could include the need for

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improved housing quality and services

for elderly minority families, lack of

affirmative marketing and outreach to

minority elderly persons, and the need

for quality eldercare services within

areas of minority concentration when

compared with the type and quality of

similar services and housing in

nonminority areas.

(4)(d)(v) A map showing the location

of the site and the racial composition of

the neighborhood, with the area of racial

concentration delineated;

(4)(d)(vi) A Phase I Environmental

Site Assessment (ESA), in accordance

with the American Society for Testing

and Material (ASTM) Standards E 1527–

97, as amended. The Phase I ESA must

be completed and submitted with the

application. In order for the Phase I ESA

to be acceptable, it must have been

completed, or updated, no earlier than

six months prior to application deadline

date. Therefore, it is important that you

start the Phase I ESA process as soon

after publication of this SuperNOFA as

possible.

If the Phase I ESA indicates the

possible presence of contamination and/

or hazards, you must decide whether to

continue with this site or choose

another site. Should you choose another

site, the same Phase I ESA process

identified above must be followed for

the new site. NOTE: You are not limited

to acquiring properties from the FDIC/

RTC. However, if the property is to be

acquired from the FDIC/RTC, include a

copy of the FDIC/RTC prepared

Transaction Screen Checklist or Phase I

ESA, and applicable documentation, per

the FDIC/RTC Environmental

Guidelines.

If you choose to continue with the

original site on which the Phase I ESA

indicated contamination or hazards, you

must undertake a detailed Phase II

Environmental Site Assessment (ESA)

by an appropriate professional. If the

Phase II ESA reveals site contamination,

the extent of the contamination and a

plan for clean-up of the site must be

submitted to the local HUD office. The

plan for clean-up must include a

contract for remediation of the

problem(s) and an approval letter from

the applicable Federal, State, and/or

local agency with jurisdiction over the

site. In order for the application to be

considered for review under this FY

2001 funding competition, you must

submit this information to the local

HUD office on or before June 25, 2001.

Note: This could be an expensive

undertaking. You must pay for the cost of any

clean-up and/or remediation.

(4)(d)(vii) A letter from the State

Historic Preservation Officer (SHPO)

indicating whether the proposed site

has any historical significance. If you

cannot obtain a letter from the SHPO

due to the SHPO not responding to your

request or the SHPO responding that it

cannot or will not comply with the

requirement, you must submit the

following:

(A) A letter indicating that you

attempted to get the required letter from

the SHPO but that the SHPO either had

not responded to your request or would

not honor or recognize your request;

(B) A copy of your letter to the SHPO

requesting the required letter; and,

(C) A copy of the SHPO’s response, if

available.

(4)(e) Provision of supportive services

in the proposed facility:

(4)(e)(i) A detailed description of the

supportive services proposed to be

provided to the anticipated occupancy;

(4)(e)(ii) A description of public or

private sources of assistance that

reasonably could be expected to fund

the proposed services;

(4)(e)(iii) The manner in which such

services will be provided to such

persons (i.e., on or off-site), including

whether a service coordinator will

facilitate the adequate provision of such

services, and how the services will meet

the identified needs of the residents.

NOTE: You may not require residents,

as a condition of occupancy, to accept

any supportive service.

(4)(e)(iv) A description of how the

residents will be afforded opportunities

for employment.

(5) A list of the applications, if any,

that you have submitted or are planning

to submit to any other HUD office in

response to this announcement of

Section 202 Program funding

availability or the announcement of

Section 811 Program (Supportive

Housing for Persons with Disabilities)

funding availability, published

elsewhere in this SuperNOFA. Indicate

by HUD office, the proposed location by

city and State, and the number of units

requested for each application. Include

a list of all FY 2000 and prior year

projects to which you are the Sponsor

that have not been finally closed. Such

projects must be identified by project

number and HUD office.

(6) A statement that:

(6)(a) Identifies all persons (families,

individuals, businesses, and nonprofit

organizations), by race/minority group,

and status as owners or tenants,

occupying the property on the date of

submission of the application for a

capital advance;

(6)(b) Indicates the estimated cost of

relocation payments and other services;

(6)(c) Identifies the staff organization

that will carry out the relocation

activities; and

(6)(d) Identifies all persons that have

moved from the site within the past 12

months.

Note: If any of the relocation costs will be

funded from sources other than the section

202 capital advance, you must provide

evidence of a firm commitment of these

funds. When evaluating applications, HUD

will consider the total cost of proposals (i.e.,

cost of site acquisition, relocation,

construction, and other project costs).

(7) Certifications and Resolutions. In

addition to the certifications and

assurances listed in the General Section

of this SuperNOFA with the exception

of SF–424A, SF–424B, SF–424C, SF–

424D, HUD–424M and the OMB

Circulars which are not required, you

are required to submit signed copies of

the following:

(7)(a) Standard Form 424. Application

for Federal Assistance and indication of

whether you are delinquent on any

Federal debt. (See instructions for

submitting this form in the Consolidated

Application Submission section of the

General Section of the SuperNOFA.)

(7)(b) Drug-Free Workplace (HUD–

50070). Certification to provide a drugfree workplace.

(7)(c) Payments to Influence Federal

Transactions (HUD–50071) and

Standard Form LLL, Disclosure of

Lobbying Activities. Certification of

whether any of the funds received will

be used to influence any Federal

transactions and disclosure of those

activities, if applicable.

(7)(d) Applicant/Recipient Disclosure/

Update Report, including Social

Security Numbers and Employee

Identification Numbers, (HUD–2880). A

disclosure of assistance from other

government sources received in

connection with the project.

(7)(e) Certification Regarding

Debarment and Suspension (HUD–2992)

(24 CFR 24.510). A certification attesting

to the eligibility of your principals.

(7)(f) Executive Order 12372

Certification. A certification that you

have submitted a copy of your

application, if required, to the State

agency (single point of contact) for State

review in accordance with Executive

Order 12372.

(7)(g) Certification of Consistency with

the Consolidated Plan (Plan), Form

HUD–2991, for the jurisdiction in which

the proposed project will be located.

The certification must be made by the

unit of general local government if it is

required to have, or has, a complete

Plan. Otherwise, the certification may

be made by the State, or by the unit of

general local government if the project

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will be located within the jurisdiction of

the unit of general local government

authorized to use an abbreviated

strategy, and if it is willing to prepare

such a Plan.

All certifications must be made by the

public official responsible for

submitting the Plan to HUD. The

certifications must be submitted as part

of the application by the application

submission deadline date set forth in

this program section of the SuperNOFA.

The Plan regulations are published in 24

CFR part 91.

(7)(h) A certified Board Resolution

that no officer or director of the Sponsor

or Owner has or will have any financial

interest in any contract with the Owner

or in any firm or corporation that has or

will have a contract with the Owner,

including a current listing of all duly

qualified and sitting officers and

directors by title, and the beginning and

ending dates of each person’s term.

(7)(i) A certified Board Resolution,

acknowledging the responsibilities of

sponsorship, long-term support of the

project(s), your willingness to assist the

Owner to develop, own, manage, and

provide appropriate services in

connection with the proposed project,

and that it reflects the will of your

membership. Also, the resolution shall

indicate your willingness to fund the

estimated start-up expenses, the

Minimum Capital Investment (one-half

of one-percent of the HUD-approved

capital advance, not to exceed $10,000,

if nonaffiliated with a National Sponsor;

one-half of one-percent of the HUDapproved capital advance, not to exceed

$25,000, for all other Sponsors;), and the

estimated cost of any amenities or

features (and operating costs related

thereto) that would not be covered by

the approved capital advance.

(7)(j) Certification of Consistency with

the EZ/EC Strategic Plan HUD–2990). A

certification that the project is

consistent with the EZ/EC strategic

plan, is located within the EZ/EC, and

serves EZ/EC residents.

(7)(k) Sponsor’s Combined

Certifications. 

(7)(k)(i) Certification in Connection

with the Development and Operation of

a Section 202 Project. A certification of

compliance with the requirements of the

Fair Housing Act, Title VI of the Civil

Rights Act, the Age Discrimination Act

of 1975, the affirmative fair housing

marketing requirements of 24 CFR part

200, subpart M and the implementing

regulations at 24 CFR part 108, and

other applicable Federal, State and local

laws prohibiting discrimination and

promoting equal opportunity including

affirmatively furthering fair housing.

(7)(k)(ii) Section 3 of the Housing and

Urban Development Act of 1968 (12

U.S.C. 1701u). Certification of

Compliance with Section 3 of the

Housing and Urban Development Act of

1968 (12 U.S.C. 1701u) and

implementing regulations at 24 CFR part

135. Certification that you will strongly

encourage your general contractor and

subcontractors to participate in local

apprenticeship programs or training

programs registered with or certified by

the Department of Labor’s Bureau of

Apprenticeship and Training or

recognized State Apprenticeship

Agency.

(7)(k)(iii) Design and Cost Standards.

Certification of Compliance with HUD’s

Section 202 project design and cost

standards (24 CFR 891.120 and

891.210), the Uniform Federal

Accessibility Standards (24 CFR 40.7),

section 504 of the Rehabilitation Act of

1973 and HUD’s implementing

regulations at 24 CFR part 8, and for

covered multifamily dwellings designed

and constructed for first occupancy after

March 13, 1991, the design and

construction requirements of the Fair

Housing Act and HUD’s implementing

regulations at 24 CFR part 100, and the

Americans with Disabilities Act of 1990;

(7)(k)(iv) Acquisition and Relocation.

Certification of Compliance with the

acquisition and relocation requirements

of the Uniform Relocation Assistance

and Real Property Acquisition Policies

Act of 1970, as amended (49 CFR part

24 and 24 CFR part 891.155(e));

(7)(k)(v) Formation of Owner

Corporation. Certification that you will

form an ‘‘Owner’’ (24 CFR 891.205) after

issuance of the capital advance; cause

the Owner to file a request for

determination of eligibility and a

request for capital advance, and provide

sufficient resources to the Owner to

insure the development and long-term

operation of the project, including

capitalizing the Owner at firm

commitment processing in an amount

sufficient to meet its obligations in

connection with the project;

(7)(k)(vi) Supportive Services.

Certification that you will not require

residents to accept any supportive

services as a condition of occupancy;

and,

(7)(k)(vii) Davis-Bacon. Certification

of compliance with the Davis-Bacon

requirements and the Contract Work

Hours and Safety Standards Act.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

In accordance with 24 CFR part 50, all

Section 202 assistance is subject to the

National Environmental Policy Act of

1969 and applicable related Federal

environmental authorities. The

environmental review provisions of the

Section 202 Program regulations are in

24 CFR 891.155(b).

IX. Formation of Owner Corporation

for Development of Section 202 Projects

and for Section 202 Projects Involving

Mixed-Financing or a Mixed-Use

Purpose

Applicant eligibility for purposes of

applying for a Section 202 fund

reservation under this NOFA has not

changed; i.e., all Section 202 Sponsors

and Co-Sponsors must be private

nonprofit organizations and nonprofit

consumer cooperatives. However, the

Owner corporation, when later formed

by the Sponsor, may be (1) a singlepurpose private nonprofit organization

that has tax-exempt status under Section

501(c)(3) or Section 501(c)(4) of the

Internal Revenue Code of 1986, (2)

nonprofit consumer cooperative, OR (3)

for purposes of developing a mixedfinance/mixed-use project for

developing additional units over and

above the Section 202 units, a for-profit

limited dividend organization with a

nonprofit entity as the sole general

partner.

X. Authority

The Section 202 Supportive Housing

for the Elderly Program is authorized by

section 202 of the Housing Act of 1959

(12 U.S.C. 1701q). See section 801 of the

Cranston-Gonzalez National Affordable

Housing Act (Pub. L. 101–625; approved

November 28, 1990); the Housing and

Community Development Act of 1992

(Pub. L. 102–550; approved October 28,

1992), the Rescissions Act (Pub. L. 104–

19; enacted on July 27, 1995); and the

American Homeownership and

Economic Opportunity Act of 2000

(Pub. L. 106–569; approved December

27, 2000).

Appendix A—Addresses for Submitting

Applications

Please see Appendix A to the Section 811

Program Section of this SuperNOFA. Submit

your completed application (an original and

four copies) to the Director of the appropriate

Multifamily Hub Office or Multifamily

Program Center as listed in Appendix A to

the Section 811 program section of this

SuperNOFA with the following exceptions:

1. Applications for projects proposed to be

located within the jurisdiction of the Seattle,

Washington and the Anchorage, Alaska

Offices must be submitted to the Portland,

Oregon Office.

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2. Applications for projects proposed to be

located within the jurisdiction of the

Sacramento, California Office must be

submitted to the San Francisco, California

Office.

3. Applications for projects proposed to be

located within the jurisdiction of the

Cincinnati, Ohio Office must be submitted to

the Columbus, Ohio Office.

4. Applications for projects proposed to be

located within the jurisdiction of the

Washington, DC Office must be submitted to

the Baltimore, Maryland Office.

Appendix B

The non-standard forms, which follow, are

required for your Section 202 Program

application.

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FUNDING AVAILABILITY FOR THE

SECTION 811 PROGRAM OF

SUPPORTIVE HOUSING FOR

PERSONS WITH DISABILITIES

(SECTION 811 PROGRAM)

Program Overview

Purpose of the Program. This program

provides funding for supportive housing

for very low-income persons with

disabilities who are at least 18 years old.

(Please note that funding for a related

program, Mainstream Housing

Opportunities for Persons with

Disabilities, is found elsewhere in this

SuperNOFA.)

Available Funds. Approximately

$121.2 million.

Eligible Applicants. Nonprofit

organizations that have a section

501(c)(3) tax exemption from the

Internal Revenue Service (See Section

III(A) of this NOFA). (See Section IX of

this NOFA for information regarding the

formation of the Owner corporation.)

Eligible Activities. New construction,

rehabilitation, or acquisition of housing

(see Section III(C) of this NOFA).

Application Deadline. May 25, 2001.

Match Requirements. No.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Submit your

completed application on or before 6:00

pm, local time, on May 25, 2001, 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).

Address for Submitting Applications.

Submit your completed application (an

original and four copies) to the Director

of the appropriate Multifamily Hub

Office or Multifamily Program Center as

listed in Appendix A to this program

section of the SuperNOFA with the

following exceptions:

1. Applications for projects proposed

to be located within the jurisdiction of

the Seattle, Washington and the

Anchorage, Alaska Offices must be

submitted to the Portland, Oregon

Office.

2. Applications for projects proposed

to be located within the jurisdiction of

the Sacramento, California Office must

be submitted to the San Francisco,

California Office.

3. Applications for projects proposed

to be located within the jurisdiction of

the Cincinnati, Ohio Office must be

submitted to the Columbus, Ohio Office.

4. Applications for projects proposed

to be located within the jurisdiction of

the Washington, DC Office must be

submitted to the Baltimore, Maryland

Office.

The application kit also includes a

listing of the Multifamily Hubs and

Program Centers, their addresses and

telephone numbers, including TTY

numbers. This information is also

available from HUD’s SuperNOFA

Information Center at 1–800–HUD–8929

and from the Internet through the HUD

web site at http://www.hud.gov.

Persons with hearing or speech

impairments may call the Center’s TTY

number at 1–800–HUD–2209.

For Application Kits. For an

application kit and any supplemental

information, please call HUD’s

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. When requesting an application

kit, please refer to the Section 811

Program and provide your name,

address (including zip code), and

telephone number (including area code).

The application kit also will be

available on the Internet through the

HUD web site at http://www.hud.gov

and from the appropriate Multifamily

Hub Office or Multifamily Program

Center.

For Further Information and

Technical Assistance. You may contact

the appropriate Multifamily Hub Office

or Multifamily Program Center, Gail

Williamson at HUD Headquarters at

(202) 708–2866, or access the Internet at

http://www.hud.gov.

HUD encourages minority

organizations to participate in this

program and strongly recommends

prospective applicants attend the local

HUD Office workshop. At the

workshops, HUD will explain

application procedures and

requirements, as well as address

concerns such as local market

conditions, building codes and

accessibility requirements, historic

preservation, floodplain management,

displacement and relocation, zoning,

and housing costs. If you are interested

in attending the workshop, make sure

that your name, address and telephone

number are on the appropriate HUD

Office’s mailing list so that you will be

informed of the date, time and place of

the workshop. Persons with disabilities

should call the appropriate HUD Office

to assure that any necessary

arrangements can be made to enable

their attendance and participation in the

workshop.

If you cannot attend the workshop,

call the appropriate HUD Office if you

have any questions regarding the

submission of applications to that

particular office and to request any

materials distributed at the workshop.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov.

II. Amount Allocated

For FY 2001 $121,249,712 for capital

advances is available for the Section 811

Program of Supportive Housing for

Persons with Disabilities. The FY 2001

HUD Appropriations Act (HUD

Appropriations Act) provides

$217,000,000 for capital advances,

including amendments to capital

advance contracts; for supportive

housing for persons with disabilities, as

authorized by section 811 of the

National Affordable Housing Act of

1990 (NAHA); and for project rental

assistance, including amendments to

contracts for project rental assistance,

for supportive housing for persons with

disabilities under section 811 of the

NAHA. Of this amount, $500,000 shall

be transferred to the Working Capital

Fund for the development and

maintenance of information technology

systems.

Twenty-five percent (25%) of the

$217,000,000 or $54.25 million is being

set aside for tenant-based rental

assistance for persons with disabilities

administered through public housing

agencies (PHAs) and nonprofit

organizations under the Mainstream

Housing Opportunities for Persons with

Disabilities Program which is found

elsewhere in this SuperNOFA.

In accordance with the waiver

authority provided in the HUD

Appropriations Act, the Secretary is

waiving the following statutory and

regulatory provision: The term of the

project rental assistance contract is

reduced from 20 years to 5 years. HUD

anticipates that at the end of the

contract terms, renewals will be

approved subject to the availability of

funds. In addition to this provision,

HUD will reserve project rental

assistance contract funds based on 75

percent rather than on 100 percent of

the current operating cost standards for

approved units in order to take into

account the average tenant contribution

toward rent.

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The allocation formula used for

Section 811 reflects the ‘‘relevant

characteristics of prospective program

participants,’’ as specified in 24 CFR

791.402(a). The FY 2001 formula

consists of two data elements from the

1990 Decennial Census: (1) the number

of non-institutionalized persons age 16

or older with a work disability and a

mobility or self-care limitation and (2)

the number of non-institutionalized

persons age 16 or older having a

mobility or self-care limitation but

having no work disability.

A work disability is defined as a

health condition that had lasted for 6 or

more months which limited the kind

(restricted the choice of jobs) or amount

(not able to work full time) of work a

person could do at a job or business. A

mobility limitation is defined as a

health condition that lasted for 6 or

more months, making it difficult for the

person to go outside the home alone.

This includes outside activities, such as

shopping or visiting a doctor’s office. A

self-care limitation is defined as a health

care limitation that had lasted for 6 or

more months which made it difficult for

the person to take care of his/her own

personal needs such as dressing,

bathing, or getting around inside the

home. Temporary (short term) problems

such as broken bones that are expected

to heal normally are not considered

problems.

Under the Section 811 Program, each

HUD Office jurisdiction receives

sufficient capital advance funds for a

minimum of 10 units. The total amount

of capital advance funds to support this

minimum set-aside is then subtracted

from the total capital advance available.

The remainder is fair shared to each

HUD Office jurisdiction whose fair

share would exceed the set-aside based

on the allocation formula fair share

factors described below.

The fair share factors were developed

by taking the sum of the number of

persons in each of the two elements for

each state, or state portion, of each local

HUD Office jurisdiction as a percent of

the sum of the two data elements from

the Decennial Census, described above,

for the total United States. The resulting

percentage for each local HUD Office is

then adjusted to reflect the relative cost

of providing housing among the local

HUD Office jurisdictions. The adjusted

needs percentage for each local HUD

Office is then multiplied by the total

amount of capital advance funds

available nationwide.

The Section 811 capital advance

funds have been allocated, based on the

formula above, to 51 local HUD Offices

as shown on the following chart:

BILLING CODE 4210–32–P

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BILLING CODE 4210–32–C

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III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. HUD

provides capital advances and contracts

for project rental assistance in

accordance with 24 CFR part 891.

Capital advances may be used to

construct, rehabilitate, or acquire

structures (including structures from the

Federal Deposit Insurance Corporation

(formerly held by the Resolution Trust

Corporation) (FDIC/RTC)), to be

developed into a variety of housing

options described in Section III(C)

below. Capital advance funds may also

be used in combination with other nonSection 811 funding sources to develop

additional units for amixed-finance or

mixed-use project, provided that the

additional units: (1) do not exceed the

project size limits for the type of project

proposed (unless a request for an

exception to the project size limits is

requested and approved by HUD), or (2)

will house people who do not have a

disability. Capital advance funds bear

no interest and are based on

development cost limits published in

this SuperNOFA. Repayment of the

capital advance is not required as long

as the housing remains available for at

least 40 years for occupancy by very

low-income persons with disabilities.

Project rental assistance contract (PRAC)

funds are used to cover the difference

between the tenants’ contributions

toward rent (30 percent of adjusted

income) and the HUD-approved cost to

operate the project.

Note: For purposes of approving Section

811 capital advances, HUD will consider

proposals involving mixed-financing or a

mixed-use purpose for additional units.

However, you must obtain funds to assist the

additional units with other than PRAC funds.

HUD will not provide PRAC funds for nonSection 811 units.

(B) Eligible Applicants. Nonprofit

organizations with a section 501(c)(3)

tax exemption from the Internal

Revenue Service are the only eligible

applicants for this program. A Sponsor

or Co-sponsor may not apply for more

than 70 units of housing or 4 projects

(whichever is less) for persons with

disabilities in a single Hub. In addition,

a Sponsor or Co-sponsor may not apply

for more units in a given HUD Office

than allocated for the Section 811

program in that HUD Office, or for more

than 10 percent of the total units

allocated in all HUD offices. A single

application must propose at least five

units, not necessarily in one structure if

the project will be an independent

living project and two units if the

project will be a group home. Affiliated

entities that submit separate

applications are considered a single

entity for the purpose of these limits.

(C) Eligible Activities. The types of

housing that can be developed with

Section 811 capital advance funds

include independent living projects,

dwelling units in multifamily housing

developments, condominium and

cooperative housing and small group

homes.

(D) Ineligible Activities. Section 811

funds may not be used for any of the

following:

(1) Nursing homes, infirmaries and

medical facilities;

(2) Transitional housing facilities;

(3) Manufactured housing facilities;

(4) Intermediate care facilities;

(5) Community centers, with or

without special components for use by

persons with disabilities;

(6) Sheltered workshops and centers

for persons with disabilities;

(7) Headquarters for organizations for

persons with disabilities; and

(8) Refinancing of Sponsor-owned

facilities without rehabilitation.

IV. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, you must

comply with the following

requirements:

(A) Statutory Requirements and

Regulatory Requirements. You must

comply with all statutory and regulatory

requirements listed in Sections III, IV

and X of this program section of the

SuperNOFA.

(B) HUD/RHS Agreement. HUD and

the Rural Housing Service (RHS) have

an agreement to coordinate the

administration of the agencies’

respective rental assistance programs.

As a result, HUD is required to notify

RHS of applications for housing

assistance it receives. This notification

gives RHS the opportunity to comment

if it has concerns about the demand for

additional assisted housing and possible

harm to existing projects in the same

housing market area. HUD will consider

RHS comments in its review and

application selection process.

(C) Development Cost Limits. (1) The

following development cost limits,

adjusted by locality as described in

Section IV(C)(2) below, must be used to

determine the capital advance amount

reserved for projects for persons with

disabilities:

(a) For independent living projects

and dwelling units in multifamily

housing developments, condominium

and cooperative housing: The total

development cost of the project

attributable to dwelling use (less the

incremental development cost and the

capitalized operating costs associated

with any excess amenities and design

features you will pay for) may not

exceed:

Non-elevator structures:

$41,238 per family unit without a

bedroom;

$47,548 per family unit with one

bedroom;

$57,344 per family unit with two

bedrooms;

$73,400 per family unit with three

bedrooms;

$81,770 per family unit with four

bedrooms.

For elevator structures:

$43,398 per family unit without a

bedroom;

$49,748 per family unit with one

bedroom;

$60,493 per family unit with two

bedrooms;

$78,257 per family unit with three

bedrooms;

$85,902 per family unit with four

bedrooms.

(b) For group homes only:

TYPE OF DISABILITY

# Residents Physical/developmental

Chronic

mental

illness

2 .................... $166,022 $160,262

3 .................... 178,533 172,340

4 .................... 191,045 183,069

5 .................... 203,556 193,798

6 .................... 216,054 204,527

(c) These cost limits reflect those costs

reasonable and necessary to develop a

project of modest design that complies

with HUD minimum property

standards; the minimum group home

requirements of 24 CFR 891.310(a) (if

applicable); the accessibility

requirements of 24 CFR 891.120(b) and

891.310(b); and the project design and

cost standards of 24 CFR 891.120.

(2) Increased development cost limits.

(a) HUD may increase the

development cost limits set forth in

Section IV(C)(1) of this program section

of the SuperNOFA by up to 140 percent

in any geographic area where the cost

levels require, and may increase the

development cost limits by up to 160

percent on a project-by-project basis.

This increase may include covering

additional costs to make dwelling units

accessible through rehabilitation.

(b) If HUD finds that high

construction costs in Alaska, Guam, the

Virgin Islands or Hawaii make it

infeasible to construct dwellings,

without the sacrifice of sound standards

of construction, design, and livability,

within the development cost limits

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12309

provided in Section IV(C)(1) of this

program section of the SuperNOFA, the

amount of capital advances may be

increased to compensate for such costs.

The increase may not exceed the limits

established under this section

(including any high cost area

adjustment) by more than 50 percent.

(c) For group homes only, HUD

Offices may approve increases in the

development cost limits in Section

IV(C)(1)(b), above, in areas where you

can provide sufficient documentation

that high land costs limit or prohibit

project feasibility. An example of

acceptable documentation is evidence of

at least three land sales which have

actually taken place (listed prices for

land are not acceptable) within the last

two years in the area where your project

is to be built. The average cost of the

documented sales must exceed ten

percent of the development cost limit

for your project in order for an increase

to be considered.

(D) Sites. (1) NAHA requires you to

provide in your application either:

(a) Evidence of site control, or

(b) A reasonable assurance that you

will have control of a site within six

months of notification of fund

reservation.

(2) Accordingly, if you have control of

a site at the time you submit your

application, you must include evidence

of such as described in Section

VI(B)(4)(d)(i) of this program section of

the SuperNOFA relative to site control

and in the application kit. If you do not

have site control, you must provide the

information required in Section

VI(B)(4)(d)(x) of this program section of

the SuperNOFA relative to

identification of a site and in the

application kit for identified sites as a

reasonable assurance that site control

will be obtained within six months of

fund reservation notification.

(3) Under Criterion (a) of Rating

Factor 3 in Section V(D), below, related

to your proposed site, your application

has the potential of earning 17 points.

Criterion (a)(i) is related to site

approvability and is worth a maximum

of 7 points. Five points for Criterion

(a)(ii) will be awarded if your project

will represent an integrated housing

model (e.g., condominium units

scattered within one or more buildings

or non-contiguous independent living

units on scattered sites). Criterion (a)(iii)

which is worth five points for site

control will be awarded as outlined in

Section IV(D)(5) below. Regardless of

whether you submit evidence of site

control or have identified a site without

obtaining control of the site, the site will

be evaluated based on its proximity or

accessibility to shopping, medical

facilities, transportation, places of

worship, recreational facilities, places of

employment and other necessary

services to the intended tenants.

(4) To meet the ‘‘proximity’’ or

‘‘accessibility’’ test, you must

demonstrate that community services

and amenities described above are

either near or accessible to the residents.

Sites where the community services and

amenities described above are either

near or accessible to the residents other

than solely by a project residence or

private vehicle will be rated more

favorably than sites where residents

must depend upon the project residence

or private vehicle to access such

community services and amenities.

Your application will also be evaluated

to determine whether it complies with

the site and neighborhood standards in

24 CFR 891.125.

(5) Criterion (a)(iii) relates to the

existence of legally acceptable site

control. If you:

(a) Submit evidence of site control for

all proposed sites in your application,

(b) The evidence is determined to be

legally acceptable for all of the sites, and

(c) All of the sites are approvable (i.e.,

receive a score of 1 or higher for

Criterion (a)(i), your application will

receive 5 points for Criterion (a)(iii).

(6) If your application contains

evidence of site control where either the

evidence or the site is not approvable,

your application will not be rejected

provided you indicate in your

application that you are willing to seek

an alternate site and provide an

assurance that site control will be

obtained within six months of fund

reservation notification.

(E) Supportive Services. You are

required to include a Supportive

Services Plan and a certification from

the appropriate State or local agency

that the provision of services identified

in your Supportive Services Plan is well

designed to address the individual

health, mental health and other needs of

persons with disabilities who will live

in your proposed project. Section

VI(B)(4)(e) of this program section of the

SuperNOFA, below, outlines the

information that must be in the

Supportive Services Plan. You must

submit one copy of your Supportive

Services Plan to the appropriate State or

local agency well in advance of the

application submission deadline date

for the State or local agency to review

your Supportive Services Plan (Exhibit

4(e) of the application kit) and complete

the Supportive Services Certification

(Exhibit 7(l) of the application kit) and

return it to you so that you can include

it in the application you submit to HUD.

(1) HUD will reject your application if

the supportive services certification:

(i) Is not submitted with your

application and is not submitted to HUD

within the 14-day cure period; or

(ii) Indicates that the provision of

supportive services is not well designed

to address the individual health, mental

health and other needs of persons with

disabilities who will live in your

project; or

(iii) Indicates that the provision of

supportive services will not enhance

independent living success or promote

the dignity of the persons with

disabilities who will live in your

proposed project.

(2) In addition, if the agency

completing the certification will be a

major funding or referral source for your

proposed project or be responsible for

licensing the project, HUD will reject

your application if either the agency’s

supportive services certification

indicates—or, where the agency fails to

complete item 3 or 4 of the certification,

HUD determines that:

(i) You failed to demonstrate that

supportive services will be available on

a consistent long-term basis; and/or

(ii) The proposed housing is not

consistent with State or local agency

plans/policies addressing the housing

needs of people with disabilities.

Any prospective resident of a Section

811 project who believes he/she needs

supportive services must be given the

choice to be responsible for acquiring

his/her own services or to take part in

your Supportive Services Plan which

must be designed to meet the individual

needs of each resident. Residents or

applicants may not be required to accept

any supportive service as a condition of

occupancy or admission.

(F) Project Size Limits. (1)

Independent living project—The

minimum number of units that can be

applied for in one application is five;

not necessarily in one structure. The

maximum number of persons with

disabilities that can be housed in an

independent living project is 18.

(2) Exceptions—If you are submitting

an application for an independent living

project with site control, you may

request an exception to the above

project size limit by providing the

information required in Section

VI(B)(4)(d)(ix) in this program section of

the SuperNOFA, below, and in the

application kit. Not more than 25

percent of any amounts for capital

advances or project rental assistance

will be used for independent living

projects that exceed 24 units.

(3) Group home—The minimum

number of persons with disabilities that

can reside in a group home is two, and

12310 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

the maximum number is six. Only one

person per bedroom is allowed, unless

two residents choose to share one

bedroom or a resident determines he/

she needs another person to share his/

her bedroom.

(G) Minimum Capital Investment.

Selected nonprofit organizations must

provide a minimum capital investment

of one-half of one percent of the HUDapproved capital advance amount not to

exceed a maximum of $10,000 in

accordance with 24 CFR 891.145.

(H) Economic Opportunities for Low

and Very Low Income Persons. You

must comply with section 3 of the

Housing and Urban Development Act of

1968, 12 U.S.C. 1701u (Economic

Opportunities for Low and Very Low

Income Persons) and its implementing

regulations at 24 CFR part 135. To

comply, you must ensure that training,

employment and other economic

opportunities are directed, to the

greatest extent feasible, toward low and

very low income persons, particularly

those who are recipients of government

assistance for housing; and to business

concerns which provide economic

opportunities to low and very low

income persons. To comply with section

3 requirements, you are required to

certify that you will strongly encourage

the general contractor and

subcontractors to participate in local

apprenticeship programs or training

programs registered with or certified by

the Department of Labor’s Bureau of

Apprenticeship and Training or

recognized State Apprenticeship

Agency (see section VI(B)(7)(k)(ii) of this

program section of the SuperNOFA).

(I) Applicability of Acquisition of

Sites under the Uniform Relocation

Assistance and Real Property

Acquisition Act of 1970, as amended.

The acquisition of sites, with or without

existing structures, is subject to the

Uniform Relocation Assistance and Real

Property Acquisition Act of 1970, as

amended (URA). However, you are

exempt from complying with the site

acquisition requirements of the URA if

you do not have the power of eminent

domain and prior to entering into a

contract of sale, option to purchase or

any other method of obtaining site

control, you inform the seller of the land

(1) that you do not have the power of

eminent domain and, therefore, you will

not acquire the property if negotiations

fail to result in an amicable agreement,

and (2) of the estimate of the fair market

value of the property. An appraisal is

not required to meet this requirement,

however, your files must include an

explanation, with reasonable evidence

of the basis for the estimate.

(J) Accessibility. If you intend to

construct, substantially rehabilitate, or

acquire, with or without rehabilitation,

structures to be used as housing for

persons with disabilities, you should

note 24 CFR 891.310, which requires

that your project meets accessibility

requirements. In addition, you should

note that 24 CFR 8.4(b)(5) prohibits the

selection of a site or location which has

the purpose or effect of excluding

persons with disabilities from the

Federally assisted program or activity.

Thus, if you choose an existing

structure, make sure that it can be made

accessible without resulting in an

infeasible project.

V. Application Selection Process

(A) Review for Curable Deficiencies.

You should ensure that your application

is complete before submitting it to the

appropriate HUD office. HUD will

screen all applications received by the

deadline to determine if there are any

curable deficiencies. A curable

deficiency is a missing Exhibit or

portion of an Exhibit that will not affect

the rating of your application. The

following is a list of the only

deficiencies that will be considered

curable in a Section 811 application:

Exhibits

(1) Form 92016–CA (Application

Form)*

(2)(a) Articles of Incorporation*

(b) By-laws*

(c) IRS tax exemption ruling*

(c)(ii) Energy efficiency

(d)(vii) Letter from the State Historic

Preservation Officer (SHPO)

(d)(viii) Seek alternate site

(d)(ix) Exception to project size limits

(5) Applications submitted to other

offices

(6) Relocation

(7)(a) Standard Form 424, Application

for Federal Assistance*

(b) Form HUD–50070, Certification of

a Drug-Free Workplace

(c) Form HUD–50071, Certification of

Payments to Influence Federal

Transactions and Standard FormLLL, Disclosure of Lobbying

Activities

(d) Form HUD–2880, Applicant/

Recipient Disclosure/Update Report

(e) Form HUD–2992, Certification

Regarding Debarment and

Suspension

(f) Executive Order 12372

Certification

(g) Form HUD–2991, Certification of

Consistency with Consolidated Plan

(h) Conflict of Interest Resolution

(i) Resolution for Commitment to

Project*

(k) Combined Certifications

(l) Supportive Services Certification

(m) Lead-Based Paint Certification

(n) Certification for Single Room

Occupancy in Section 811 Group

Homes (if project will include a group

home)

The HUD Office will notify you in

writing if your application is missing

any of the above exhibits or portions of

exhibits and will give you 14 days from

the date of the notification to submit the

information required to cure the noted

deficiencies. The items identified by an

asterisk (*) must be dated on or before

the application deadline date.

(B) Rating. HUD will review and rate

your application in accordance with the

Application Selection Process in the

General Section of this SuperNOFA

with the following exception. HUD will

not reject your application based on

technical review without notifying you

of the rejection with all the reasons for

rejection and providing you an

opportunity to appeal. You will have 14

calendar days from the date of HUD’s

written notice to appeal a technical

rejection to the HUD Office. If the

rejection is due to the nonsubmission of

the following exhibits because of the

failure of a third party to provide

information under the control of the

third party but outside your control

(e.g., by contract), and you were not

provided the opportunity to cure the

deficiency during the curable deficiency

period, you can submit the information

required to cure the deficiency during

the 14 calendar day appeal period:

(1) Exhibit 7(g), Form HUD–2991,

Certification of Consistency with the

Consolidated Plan; and/or

(2) Exhibit 7(l), Certification for

Provision of Supportive Services.

The information required to cure the

above identified deficiencies includes

the deficient Exhibit and documentation

showing that the information had been

requested from the third party at least

45 days prior to the application

deadline date.

The HUD Office will make a

determination on an appeal before

making its selection recommendations.

Your application(s) will be either rated

or technically rejected at the end of

technical review. If your application

meets all program eligibility

requirements after completion of

technical review, your application will

be rated according to the Rating Factors

in Section V(D) below.

(C) Ranking and Selection Procedures.

Applications that have a total base score

of 60 points or more (without the

addition of EC/EZ bonus points) and

meet all of the applicable threshold

requirements of Section II(B) of the

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12311

General Section of the SuperNOFA will

be eligible for selection and will be

placed in rank order. HUD will select

applications, after adding any bonus

points for EC/EZ, based on rank order,

up to and including the last application

that can be funded out of each HUD

Office’s allocation. HUD Offices must

not skip over any applications in order

to select one based on the funds

remaining. After making the initial

selections, however, HUD may use any

residual funds to select the next rankordered application by reducing the

number of units by no more than 10

percent rounded to the nearest whole

number, provided the reduction will not

render the project infeasible. For this

purpose, however, HUD will not reduce

the number of units in projects of five

units or less.

After this process is completed,

residual funds from all HUD Offices

within each Multifamily Hub will be

combined. First, these funds will be

used to restore units to projects reduced

by HUD Offices based on the above

instructions. Second, additional

applications within each Multifamily

Hub will be selected in rank order with

only one application selected per HUD

Office. More than one application may

be selected per HUD Office if there are

no approvable applications in other

HUD Offices within the Multifamily

Hub. This process will continue until

there are no more approvable

applications within the Multifamily

Hub that can be selected with the

remaining funds. Applications may not

be skipped over to select one based on

funds remaining. However, HUD may

use any remaining residual funds, to

select the next rank-ordered application

by reducing the number of units by no

more than 10 percent rounded to the

nearest whole number, provided the

reduction will not render the project

infeasible or result in the project being

less than 5 units.

Funds remaining after these processes

are completed will be returned to

Headquarters. HUD will use these

residual funds first to fund United

Cerebral Palsy of LA and Ventura, in the

jurisdiction of the Los Angeles

Multifamily Program Center, a FY 2000

application which was not funded due

to HUD error. Second, HUD

Headquarters will use these funds to

restore units to projects reduced by

HUD Offices as a result of the

instructions for using their residual

funds. Finally, HUD Headquarters will

use these funds for selecting

applications based on field offices’

rankings, beginning with the highest

rated application nationwide. Only one

application will be selected per HUD

Office from the national residual

amount, excluding the Los Angeles

Multifamily Program Center, already

funded. If there are no approvable

applications in other HUD Offices, the

process will begin again with the

selection of the next highest rated

application nationwide. This process

will continue until all approvable

applications are selected using the

available remaining funds.

(D) Factors For Award Used To

Evaluate and Rate Applications. HUD

will rate applications that successfully

complete technical processing using the

Rating Factors set forth below and in

accordance with the application

submission requirements in Section

VI(B) below. The maximum number of

points an application may receive under

this program is 102. This includes two

(2) EZ/EC bonus points, as described in

the General Section of this SuperNOFA.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Staff (25 Points)

This factor addresses the extent to

which you have the organizational

resources to successfully implement the

proposed activities in a timely manner.

Submit information responding to this

factor in accordance with Application

Submission Requirements in paragraphs

(B)(2), (B)(3)(a), (B)(3)(b), and (B)(3)(e) of

Section VI of this program section of the

SuperNOFA.

In rating this factor, HUD will

consider the extent to which your

application demonstrates your ability to

develop and operate the proposed

housing on a long-term basis,

considering the following:

(a) (12 points) The scope, extent, and

quality of your experience in providing

housing or related services to those

proposed to be served by the project and

the scope of the proposed project (i.e.,

number of units, services, relocation

costs, development, and operation) in

relationship to your demonstrated

development and management capacity

as well as your financial management

capability;

(b) (8 points) The scope, extent, and

quality of your experience in providing

housing or related services to minority

persons or families as well as your ties

to the community at large and to the

minority and disability communities in

particular. For purposes of this program

section of the SuperNOFA, ‘‘minority’’

means the basic racial and ethnic

categories for Federal statistics and

administrative reporting, as defined in

OMB’s Statistical and Policy Directive

No. 15. (See 62 FR 58782, October 30,

1997.)

(c) (5 points) You have experience in

developing integrated housing (e.g.,

condominium units scattered within

one or more buildings or noncontiguous independent living units on

scattered sites).

Rating Factor 2: Need/Extent of the

Problem (15 Points)

This factor addresses the extent to

which there is a need for funding the

proposed activities to address a

documented problem in the target area.

Submit information responding to this

factor in accordance with Application

Submission Requirements in paragraphs

(B)(4)(a) and (B)(4)(b) of Section VI of

this program section of the SuperNOFA.

In evaluating this factor, HUD will

consider:

The extent of the need for the project

in the area based on a determination by

the HUD Office. In making this

determination, HUD will consider your

evidence of need in the area, as well as

other economic, demographic, and

housing market data available to the

HUD Office. The data could include the

availability of existing comparable

subsidized housing for persons with

disabilities and current occupancy in

such housing, comparable subsidized

housing for persons with disabilities

under construction or for which fund

reservations have been issued, and, in

accordance with an agreement between

HUD and RHS, comments from RHS on

the demand for additional comparable

subsidized housing and the possible

harm to existing projects in the same

housing market area. The Department

also will review more favorably those

applications which establish a

connection between the proposed

project and the community’s Analysis of

Impediments to Fair Housing Choice

(AI) or other planning document that

analyzes fair housing issues and is

prepared by a local planning or similar

organization. You must show how the

proposed project will address an

impediment to fair housing choice

described in the AI or meet a need

identified in the other type of planning

document.

Rating Factor 3: Soundness of

Approach (40 Points)

This factor addresses the quality and

effectiveness of your proposal. There

must be a clear relationship between the

proposed activities, the community’s

needs and purposes of the program

funding for your application to receive

points for this factor. Submit

information responding to this factor in

accordance with Application

Submission Requirements in paragraphs

(B)(4)(c), (B)(4)(d), and (B)(4)(e) of

12312 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Section VI of this program section of the

SuperNOFA. In evaluating this factor,

HUD will consider the following:

(a)(i) (7 points) Site approvability—

The proximity or accessibility (other

than by sole means of a project

residence or private vehicle) of the site

to shopping, medical facilities,

transportation, places of worship,

recreational facilities, places of

employment, and other necessary

services to the intended tenants;

adequacy of utilities and streets, and

freedom of the site from adverse

environmental conditions (based on site

visit for site control projects only); and

compliance with site and neighborhood

standards in 24 CFR 891.125(a), (d), and

(e);

(a)(ii) (5 points) Integrated model—If

your project will be an integrated model

as described in Section IV(D) above,

your application will receive 5 points

for this Criterion.

(a)(iii) (5 points) Site control—If your

application contains legally acceptable

site control for all proposed sites and all

of the proposed sites are approvable

(i.e., receive a score of 1 or higher on

Criterion (a)(i)), your application will

receive 5 points for site control;

(b) (8 points) The suitability of the site

from the standpoints of promoting a

greater choice of housing opportunities

for minorities and persons with

disabilities and affirmatively furthering

fair housing. In reviewing this criterion,

HUD will assess whether the site meets

the site and neighborhood standards at

24 CFR 891.125(b) and (c) by examining

relevant data in your application or in

the HUD Office. If appropriate, HUD

may visit the site.

(i) The site will be deemed acceptable

if it increases housing choice and

opportunity by:

—Expanding housing opportunities in

non-minority neighborhoods (if

located in such a neighborhood); or

—Contributing to the revitalization of

and reinvestment in minority

neighborhoods, including

improvement of the level, quality and

affordability of services furnished to

minority persons with disabilities.

You should refer to the Site and

Neighborhood Standards provisions

of the regulations governing the

Section 811 Supportive Housing

Program (24 CFR 891.125(b) and (c))

when considering sites for your

projects.

(ii) For the purpose of this

competition, the term ‘‘minority

neighborhood (area of minority

concentration)’’ is defined as one where

any one of the following statistical

conditions exists:

—The percentage of persons of a

particular racial or ethnic minority is

at least 20 points higher than the

minority’s or combination of

minorities’ percentage in the housing

market as a whole; or,

—The neighborhood’s total percentage

of minority persons is at least 20

points higher than the total

percentage of minorities for the

housing market area as a whole; or

—In the case of a metropolitan area, the

neighborhood’s total percentage of

minority persons exceeds 50 percent

of its population. The term

‘‘nonminority area’’ is defined as one

in which the minority population is

lower than 10 percent.

(c) (5 points) The extent to which the

proposed design of the project,

including both the exterior and interior

design, will meet the individual needs

of persons with disabilities the housing

is expected to serve;

(d) (5 points) The extent to which the

proposed design of the project and its

placement in the neighborhood will

facilitate the integration of the residents

into the surrounding community and

promote the ability of the residents to

live as independently as possible; and

(e) (5 points) At least 51% of your

board members are persons with

disabilities.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses your ability to

secure other community resources

which can be combined with HUD’s

program resources to achieve program

purposes. Submit information

responding to this factor in accordance

with Application Submission

Requirements in paragraphs (B)(3)(c)

and (B)(3)(d) of Section VI of this

program section of the SuperNOFA.

(a) (5 points) The extent of local

government support (including financial

assistance, donation of land, provision

of services, etc.) for the project; and

(b) (5 points) The extent of your

activities in the community, including

previous experience in serving the area

where the project is to be located,

developing integrated housing models

and your demonstrated ability to enlist

volunteers and raise local funds.

Rating Factor 5: Comprehensiveness

and Coordination (10 Points)

This factor addresses the extent to

which you coordinated your activities

with other known organizations,

participate or promote participation in

the community’s Consolidated Planning

process, and are working towards

addressing a need in a holistic and

comprehensive manner through

linkages with other activities in the

community. Submit information

responding to this factor in accordance

with Application Submission

Requirements in paragraphs (B)(3)(f),

(B)(3)(g), (B)(3)(h), and (B)(3)(i) of

Section VI of this program section of the

SuperNOFA.

(a) (4 points) You involved persons

with disabilities (including minority

persons with disabilities) in the

development of the application, and

will involve persons with disabilities

(including minority persons with

disabilities) in the development and

operation of the project;

(b) (2 points) The extent to which you

coordinated your application with other

organizations (including local

independent living centers; a list of

such can be obtained from the local

HUD Office) to complement and/or

support the proposed project;

(c) (2 points) The extent to which you

demonstrated that you have been

actively involved, or if not currently

active, the steps you will take to become

actively involved in the community’s

Consolidated Planning process to

identify and address a need/problem

that is related in whole or part, directly

or indirectly to the proposed project;

and

(d) (2 points) The extent to which you

developed or plan to develop linkages

with other activities, programs (for

example, the Mainstream Housing

Opportunities for Persons with

Disabilities Program) or projects related

to the proposed project to coordinate

your activities so solutions are holistic

and comprehensive.

Bonus Points

(2 bonus points) Location of proposed

site in an EZ/EC area, as described in

the General Section of this SuperNOFA.

Submit the information responding to

the bonus points in accordance with the

Application Submission Requirements

in paragraph (B)(7)(j) of Section VI of

this program section of the SuperNOFA.

VI. Application Submission

Requirements

(A) Application. Your application

must include all of the information,

materials, forms, and exhibits listed in

Section VI(B) of this program section of

the SuperNOFA (unless you were

selected for a Section 811 fund

reservation within the last three funding

cycles). If you qualify for this exception,

you are not required to submit the

information described in Section

VI(B)(2)(a), (b), and (c), below, of this

program section of the SuperNOFA

(Exhibits 2.a., b., and c. of the

application kit), which are the articles of

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12313

incorporation (or other organizational

documents), by-laws, and the IRS tax

exemption, respectively. If there has

been a change in any of these

documents since your previous HUD

approval, you must submit the updated

information in your application. The

HUD Office will verify your indication

of previous HUD approval by checking

the project number and approval status

with the appropriate HUD Office based

on information submitted in Section

VI(B)(2) below.

In addition to this relief of paperwork

burden in preparing applications, you

are able to use information and exhibits

previously prepared for prior

applications under Section 811, Section

202, or other funding programs.

Examples of exhibits that may be readily

adapted or amended to decrease the

burden of application preparation

include, among others, those on

previous participation in the Section

202 or Section 811 programs, your

experience in the provision of housing

and services, supportive services plans,

community ties, and experience serving

minorities.

(B) General Application

Requirements. Your application must

contain the items listed in this Section

VI(B). These items include the standard

forms, certifications, and assurances

listed in the General Section of the

SuperNOFA that are applicable to this

funding (collectively referred to as the

‘‘standard forms’’). The standard forms

can be found in Appendix B to the

General Section of the SuperNOFA. The

remaining application items that are

forms (i.e., excluding such items as

narratives), referred to as the ‘‘nonstandard forms’’ can be found as

Appendix B to this program section of

the SuperNOFA. The items are as

follows:

Note: You may apply for a scattered site

project in one application

(1) Form HUD–92016–CA,

Application for Section 811 Supportive

Housing Capital Advance.

(2) Evidence of your and each CoSponsor’s legal status as a nonprofit

organization, including the following:

(2)(a) Articles of Incorporation,

constitution, or other organizational

documents;

(2)(b) By-laws;

(2)(c) IRS section 501(c)(3) tax

exemption ruling (this must be

submitted by you and all Co-Sponsors,

including churches).

Note: If you received a section 811 fund

reservation within the last three funding

cycles, you are not required to submit the

documents described in paragraph (2)(a),

(2)(b), and (2)(c), above. Instead, you must

submit the project number of the latest

application selected and the HUD office to

which it was submitted. If there have been

any modifications or additions to the subject

documents, incicate such, and submit the

new material.

(2)(d) The number of people on your

board and the number of those people

who have disabilities.

(3) A description of your purpose,

community ties, and experience,

including the following:

(3)(a) A description of your purpose,

current activities and how long you

have been in existence;

(3)(b) A description of your ties to the

community at large and to the minority

and disability communities in

particular;

(3)(c) A description of local

government support for the project

(including financial assistance, donation

of land, provision of services, etc.);

(3)(d) Letters of support for your

organization and for the proposed

project from organizations familiar with

the housing and supportive services

needs of the persons with disabilities

that you expect to serve in the proposed

project (e.g., the local center for

independent living, the Statewide

Independent Living Council);

(3)(e) A description of your housing

and/or supportive services experience.

The description should include any

rental housing projects (including

integrated housing developments) and/

or supportive services facilities that you

have sponsored, owned, and/or

operated; your past or current

involvement in any programs other than

housing that demonstrates your

management capabilities (including

financial management) and experience,

and your experience in serving persons

with disabilities and minorities; and the

reasons for receiving any increases in

fund reservations for developing and/or

operating any previously funded

Section 811 or Section 202 projects. The

description should include data on the

facilities and services provided, the

racial/ethnic composition of the

populations served, if available, and

information and testimonials from

residents or community leaders on the

quality of the activities. Examples of

activities that could be described

include housing counseling, nutrition

and food services, special housing

referral, screening and information

projects.

(3)(f) A description, if applicable, of

your efforts to involve persons with

disabilities (including minority persons

with disabilities) and the local center for

independent living in the development

of your application and in the

development and operation of the

project.

(3)(g) A description of the steps you

took to identify and coordinate your

application with other organizations to

complement and/or support your

proposed project as well as the steps

you will take, if funded, to share

information on solutions and outcomes

relative to the development of your

proposed project.

(3)(h) A description of your

involvement in the community’s

Consolidated Planning process,

including:

(3)(h)(i) An identification of the lead/

facilitating agency that organizes/

administers the process;

(3)(h)(ii) An identification of the

Consolidated Plan issue areas in which

you participate;

(3)(h)(iii) Your level of participation

in the process, including active

involvement with any neighborhoodbased organizations, associations or any

committees that support programs and

activities that enhance projects, or the

lives of residents of projects, such as the

one proposed in your application.

If you are not currently active,

describe the specific steps you will take

to become active in the Consolidated

Planning process. (Consult the local

HUD Office for the identification of the

Consolidated Plan community process

for the appropriate area.)

(3)(i) A description of the linkages

that you have developed or plan to

develop with other related activities,

programs (for example, the Mainstream

Housing Opportunities for Persons with

Disabilities Program) or projects in order

that the development of the project

provides a comprehensive and holistic

solution to the needs of the target

population.

(4) Project information including the

following:

(4)(a) Evidence of need for supportive

housing. Such evidence would include

a description of the proposed

population and evidence demonstrating

sustained effective demand for

supportive housing for the proposed

population in the market area to be

served, taking into consideration the

occupancy and vacancy conditions in

existing comparable subsidized housing

for persons with disabilities, State or

local needs assessments of persons with

disabilities in the area, the types of

supportive services arrangements

currently available in the area, and the

use of such services as evidenced by

data from local social service agencies.

Also, a description of how information

in the community’s Analysis of

Impediments to Fair Housing Choice

12314 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

was used in documenting the need for

the project.

(4)(b) A description of how the

proposed project will benefit the target

population and the community in

which it will be located;

(4)(c) A description of the project,

including the following:

(4)(c)(i) A narrative description of the

building(s) including the number and

type of structure(s), number of units

with bedroom distribution if

independent living units (including

dwelling units in multifamily housing

developments, condominiums and

cooperatives), number of bedrooms if

group home, number of residents with

disabilities, and any resident manager

per structure; an identification of all

community spaces, amenities, or

features planned for the housing and a

description of how the spaces,

amenities, or features will be used, and

the extent to which they are necessary

to accommodate the needs of the

proposed residents. If these community

spaces, amenities, or features would not

comply with the project design and cost

standards of § 891.120 and the special

project standards of § 891.310, you must

demonstrate your ability and

willingness to contribute both the

incremental development cost and

continuing operating cost associated

with the community spaces, amenities,

or features; and a description of how the

design of the proposed project will

promote the integration of the residents

into the surrounding community and

the ability of the residents to live as

independently as possible; and

(4)(c)(ii) A description of whether and

how the project will promote energy

efficiency, and, if applicable, innovative

construction or rehabilitation methods

or technologies to be used that will

promote efficient construction.

(4)(c)(iii) If applicable, a description

of any plans and the actions you have

taken to create a mixed-finance/mixeduse project by developing additional

units (i.e., in addition to the Section 811

units) with the use of Section 811

capital advance funds in combination

with other funding sources. See Section

III.A. for further informaiton regarding

the additional units. sepcify the number

of Section 811 units and the number of

additional units from non-Section 811

funding sources. Provide copies of any

letters you have sent seeking outside

funding for the non-Section 811 units

and any responses thereto. You must

also demonstrate your ability to proceed

with the development of a Section 811

project that will not involve mixedfinancing or a mixed-use purpose, as

proposed in your application, in the

event you are later unable to obtain the

necessary outside funding, or HUD

disapproves your proposal for mixedfinancing or mixed-use.

Note: Approval of the Section 811 capital

advance will not necessarily be approval of

the mixed-finance/mixed-use proposal. If

approved for a reservation of capital advance

funds, you will be required to submit, after

reservation of capital advance funds, a

detailed proposal outlining how you will

fund both development and operation of the

additional units in accordance with HUD

instructions that will be issued later. Based

on the strength of your organization and

HUD’s prior experience with your projects, as

well as your outline of your intentions, at

time of making the fund reservation, HUD

will determine whether you will be

permitted to submit a mixed-finance/mixeduse proposal at a later time. Only those

Sponsors that indicate in their application for

a fund reservation an intention to propose

additional units will be eligible to submit, at

a later time, a mixed-finance/mixed-use

proposal for additional units. (A mixedfinance/mixed-use project, as used here, does

not include the development of Section 811

units using secondary/supplementary

financing or the development of a mixed-use

project in which the Section 811 units are

mortgage separately from the other uses of

the structure).

(4)(d) Evidence of control of an

approvable site, OR identification of a

site for which you provide a reasonable

assurance that you will obtain control

within 6 months from the date of fund

reservation (if you are approved for

funding).

Site control—If you are submitting an

application with site control, you must

submit the following:

(4)(d)(i) Acceptable evidence that you

have site control, which is limited to

any one of the following:

(A) Deed or long-term leasehold

which evidences that you have title to

or a leasehold interest in the site. If a

leasehold, the term of the lease must be

at least 50 years;

(B) Contract of sale for the site which

is free of any limitations affecting ability

to deliver ownership to you after you

receive and accept a notice of Section

811 capital advance. The only condition

for closing on the sale can be your

receipt and acceptance of the capital

advance. The contract of sale cannot

require closing on a date earlier than the

Section 811 closing.

(C) Option to purchase or for a longterm leasehold which must remain in

effect for six months from the date on

which the applications are due and

must state a firm price binding on the

seller. The only condition on which the

option may be terminated is if you are

not awarded a fund reservation. The

option must be renewable at the end of

the six month option period.

(D) Where the proposed site is subject

to a mortgage under a HUD program

(e.g., an earlier Section 811 or an FHAinsured mortgage), you must submit

evidence that consent to release of the

site from the mortgage has been

obtained or has been requested from

HUD and from the mortgagee, if other

than HUD.

(E) For sites to be acquired from a

public body, evidence is needed that the

public body possesses clear title to the

site and has entered into a legally

binding agreement to lease or convey

the site to you after you receive and

accept a notice of Section 811 capital

advance. If HUD determines that time

constraints of the funding round will

not permit you to obtain all of the

required official actions (e.g., approval

of Community Planning Boards) that are

necessary to convey publicly-owned

sites, you may include in your

application a letter from the mayor or

director of the appropriate local agency

indicating that conveyance or leasing of

the site is acceptable without imposition

of additional covenants or restrictions,

and only contingent on the necessary

approval action. Such a letter

commitment will be considered

sufficient evidence of site control.

Note: For this funding cycle, New York

City-owned sites that are designated as

community gardens will not meet site control

requirements due to litigation involving

those sites.

(4)(d)(ii) Whether you have title to the

site, a contract of sale, an option to

purchase or are acquiring a site from a

public body, you must provide evidence

(a title policy or other acceptable

evidence) that the site is free of any

limitations, restrictions, or reverters

which could adversely affect the use of

the site for the proposed project for the

40-year capital advance period under

HUD’s regulations and requirements

(e.g., reversion to seller if title is

transferred). If the title evidence

contains restrictions or covenants,

copies of the restrictions or covenants

must be submitted with the application.

If the site is subject to any such

limitations, restrictions, or reverters, the

site will be rejected. Purchase money

mortgages that will be satisfied from

capital advance funds are not

considered to be limitations or

restrictions that would adversely affect

the use of the site. If the contract of sale

or option agreement contains provisions

that allow a Sponsor not to purchase the

property for reasons such as

environmental problems, failure of the

site to pass inspection, or the appraisal

is less than the purchase price, then

such provisions are not objectionable

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12315

and a Sponsor is allowed to terminate

the contract of sale or the option

agreement.

Note: A Proposed Project Site May not be

Acquired or Optioned From a General

Contractor (or its Affiliate) That Will

Construct the Section 811 Project or From

any Other Development Team Member.

(4)(d)(iii) Evidence that your project

as proposed is permissible under

applicable zoning ordinances or

regulations, or a statement of the

proposed action required to make your

proposed project permissible. You must

provide the basis for your belief that the

proposed action will be completed

successfully before the submission of

the firm commitment application (e.g., a

summary of the results of any requests

for rezoning on land in similar zoning

classifications and the time required for

such rezoning, the procedures for

obtaining special or conditional use

permits on land in similar zoning

classifications and the time required for

such rezoning, or preliminary

indications of acceptability from zoning

bodies, etc.). NOTE: You should be

aware that under certain circumstances

the Fair Housing Act requires localities

to make reasonable accommodations to

their zoning ordinances or regulations to

offer persons with disabilities an

opportunity to live in an area of their

choice. If you are relying upon a theory

of reasonable accommodation to satisfy

the zoning requirement, then you must

clearly articulate the basis for your

reasonable accommodation theory.

(4)(d)(iv) A narrative topographical

and demographic description of the

suitability of the site and area as well as

a description of the area surrounding

the site, the characteristics of the

neighborhood, how the site will

promote greater housing opportunities

for minorities and persons with

disabilities thereby affirmatively

furthering fair housing. (NOTE: You can

best demonstrate your commitment to

affirmatively furthering fair housing by

describing how proposed activities will

assist the jurisdiction in overcoming

impediments to fair housing choice

identified in the applicable

jurisdiction’s Analysis of Impediments

to Fair Housing Choice (AI), which is a

component of the jurisdiction’s

Consolidated Plan, or any other

planning document that addresses fair

housing issues. The applicable

Consolidated Plan and AI may be the

Community’s, the County’s, or the

State’s, to which input should have

been provided by local community

organizations, agencies in the

community, and residents of the

community. Alternatively, a document

that addresses fair housing issues and

remedies to barriers to fair housing in

the community that was previously

prepared by a local planning, or similar

organization, may be used. Applicable

impediments could include a lack of

units that are accessible to persons with

disabilities, a lack of transportation

services or other assistance that would

serve persons with disabilities, or the

need for improved housing quality and

services for all persons with disabilities.

(4)(d)(v) A map showing the location

of the site and the racial composition of

the neighborhood, with the area of racial

concentration delineated;

(4)(d)(vi) A Phase I Environmental

Site Assessment (ESA), in accordance

with the American Society for Testing

and Material (ASTM) Standards E 1527–

97, as amended, in order for the

application to be considered as an

application with site control. The Phase

I ESA must be completed and submitted

with the application. In order for the

Phase I ESA to be acceptable, it must

have been completed or updated no

earlier than six months prior to the

application deadline date. The Phase I

study is not a curable deficiency for the

Section 811 Program. Therefore, it is

important that you start the Phase I ESA

process as soon after publication of this

SuperNOFA as possible.

If the Phase I ESA indicates the

possible presence of contamination and/

or hazards, you must decide whether to

continue with this site or choose

another site. Should you choose another

site, the same Phase I ESA process

identified above must be followed for

the new site. NOTE: You are not limited

to acquiring properties from the FDIC/

RTC. However, if the property is to be

acquired from the FDIC/RTC, include a

copy of the FDIC/RTC prepared

Transaction Screen Checklist or Phase I

ESA, and applicable documentation, per

the FDIC/RTC Environmental

Guidelines.

If you choose to continue with the

original site on which the Phase I ESA

indicated contamination or hazards, you

must undertake a detailed Phase II ESA

by an appropriate professional. If the

Phase II ESA reveals site contamination,

the extent of the contamination and a

plan for clean-up of the site must be

submitted to the local HUD Office. The

plan for clean-up must include a

contract for remediation of the

problem(s) and an approval letter from

the applicable Federal, State, and/or

local agency with jurisdiction over the

site. In order for your application to be

considered as an application with site

control you must submit this

information to the local HUD Office on

or before June 25, 2001.

Note: This Could be an Expensive

Undertaking. You Must pay for the Cost of

any Clean-Up and/or Remediation.

(4)(d)(vii) A letter from the State

Historic Preservation Officer (SHPO)

indicating whether the proposed site(s)

has any historical significance. If you

cannot obtain a letter from the SHPO

due to the SHPO not responding to your

request or the SHPO responding that it

cannot or will not comply with the

requirement, you must submit the

following:

(A) A letter indicating that you

attempted to get the required letter from

the SHPO but that the SHPO either had

not responded to your request or would

not honor or recognize your request;

(B) A copy of your letter to the SHPO

requesting the required letter; and

(C) A copy of the SHPO’s response, if

available.

(4)(d)(viii) A statement that you are

willing to seek a different site if the

preferred site is unapprovable and that

site control will be obtained within six

months of notification of fund

reservation.

(4)(d)(ix) If you are requesting an

exception to the project size limits

found in Section IV(F) of this program

section of the SuperNOFA (for

independent living projects only),

describe why the site was selected and

demonstrate the following:

(A) People with disabilities have

indicated their preference to live in

housing with as many units/people as

proposed for your project;

(B) The increased number of units/

people is warranted by the market

conditions in the area in which the

project is to be located.

(C) Your project is compatible with

other residential development and the

population density of the area in which

your project is to be located;

(D) The increased number of people

will not prohibit their successful

integration into the community;

(E) Your project is marketable in the

community;

(F) The size of your project is

consistent with State and/or local

policies governing similar housing for

the proposed population; and

(G) A statement that you are willing

to have your application processed at

the project size limit should HUD not

approve the exception.

Site identified—If you have identified

a site, but do not have it under control,

you must submit the following

information:

(4)(d)(x) A description of the location

of the site, including its street address,

its unit number (if condominium),

neighborhood/community

characteristics (to include racial and

12316 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

ethnic data), amenities, adjacent

housing and/or facilities, and how the

site will promote greater housing

opportunities for minorities and persons

with disabilities thereby affirmatively

furthering fair housing. You can best

demonstrate your commitment to

affirmatively furthering fair housing by

describing how your proposed activities

will assist the jurisdiction in

overcoming impediments to fair housing

choice identified in the community’s AI

or any other planning document that

addresses fair housing issues. Examples

of the applicable impediments include

the need for improved housing quality

and services for minority persons with

disabilities and the need for quality

services for persons with disabilities

within the type and quality of similar

services and housing in minority areas;

(4)(d)(xi) A description of the

activities undertaken to identify the site,

as well as what actions must be taken

to obtain control of the site, if approved

for funding;

(4)(xii) An indication as to whether

the site is properly zoned. If it is not, an

indication of the actions necessary for

proper zoning and whether these can be

accomplished within six months of fund

reservation award, if approved for

funding;

(4)(d)(xiii) A status of the sale of the

site; and

(4)(d)(xiv) An indication as to

whether the site would involve

relocation.

Note: If an application is submitted

without evidence of site control and does not

provide a specific street address for the

identified site(s) (e.g, only an indication that

the project will be developed in a particular

part of town but a site(s) has not been

chosen) the application will be rejected.

(4)(e) A supportive services plan (a

copy of which must be sent to the

appropriate State or local agency as

instructed in Section IV(E) of this

program section of the SuperNOFA) that

includes:

(4)(e)(i) A detailed description of

whether the housing is expected to

serve persons with physical disabilities,

developmental disabilities, chronic

mental illness or any combination of the

three. Include how and from whom/

where persons will be referred to and

accepted for occupancy in the project.

(4)(e)(ii) Information concerning

limitation of occupancy, if applicable.

You may, with the approval of the

Secretary, limit occupancy within

housing developed under this program

section of the SuperNOFA to persons

with disabilities who have similar

disabilities and require a similar set of

supportive services in a supportive

housing environment. However, the

Owner must permit occupancy by any

qualified person with a disability who

could benefit from the housing and/or

services provided, regardless of the

person’s disability. If you are requesting

approval to limit occupancy in your

proposed project(s), you must submit

the following:

(A) A description of the population of

persons with disabilities to which

occupancy will be limited;

(B) An explanation of why it is

necessary to limit occupancy of the

proposed project(s) to the population

described in (4)(e)(ii) above. This should

include but is not limited to:

—An explanation of how limiting

occupancy to a subcategory of persons

with disabilities promotes the goals of

the Section 811 Program; and,

—An explanation of why the housing

and/or service needs of this

population cannot be met in a more

integrated setting.

(C) A description of your experience

in providing housing and/or supportive

services to the proposed occupants; and

(D) A description of how you will

ensure that the occupants of the

proposed project(s) will be integrated

into the neighborhood and surrounding

community.

(4)(e)(iii) A detailed description of the

supportive service needs of the persons

with disabilities that the housing is

expected to serve.

(4)(e)(iv) A list of community service

providers, including those that are

consumer-controlled, and letters of

intent to provide services to residents of

the proposed project(s) from as many

potential service providers as possible.

You must make this list available to any

residents who wish to be responsible for

acquiring their own supportive services.

However, a provider may not require

residents to accept any particular

service.

(4)(e)(v) The evidence of each service

provider’s capability and experience in

providing such supportive services

(applicable even if you will be the

service provider);

(4)(e)(vi) Identification of the extent of

State and/or local agency involvement

in the project (i.e., funding for the

provision of supportive services, referral

of residents, or licensing the project). If

there will be any State or local agency

involvement, a description of the State

or local agency’s philosophy/policy

concerning housing for the population

to be served and a demonstration that

your application is consistent with State

or local plans and policies governing the

development and operation of housing

for the same disabled population;

(4)(e)(vii) If you will be making any

supportive services available to the

residents or will be coordinating the

availability of any supportive services, a

letter providing:

(A) A description of the supportive

services that you will make available to

the residents or, if you will be

coordinating the availability of any

supportive services, a description of the

supportive service(s) and how the

coordination will be implemented;

(B) An assurance that any supportive

services that you will make available to

the residents will be based on their

individual needs; and

(C) A commitment to make the

supportive services available or

coordinate their availability for the life

of the project.

(4)(e)(viii) A description of how the

residents will be afforded opportunities

for employment.

(4)(e)(ix) An indication as to whether

the project will include a unit for a

resident manager; and

(4)(e)(x) A statement that you will not

condition occupancy on the resident’s

acceptance of any supportive services.

(5) A list of the applications, if any,

that you have submitted or are planning

to submit to any other HUD Office in

response to this announcement of

section 811 Program funding availability

or the announcement of funding

availability for the Section 202 Program

of Supportive Housing for the Elderly,

published elsewhere in this

SuperNOFA. Indicate, by HUD Office,

the number of units requested and the

proposed location by city and State for

each application. Include a list of all FY

2000 and prior year projects to which

you are a party, identified by project

number and HUD Office, which have

not been finally closed.

(6) A statement that:

(6)(a) Identifies all persons (families,

individuals, businesses, and nonprofit

organizations) by race/minority group

and status as owners or tenants

occupying the property on the date of

submission of the application for a

capital advance;

(6)(b) Indicates the estimated cost of

relocation payments and other services;

(6)(c) Identifies the staff organization

that will carry out the relocation

activities; and

(6)(d) Identifies all persons that have

moved from the site within the last 12

months. (This requirement applies to

applications with site control only.

Sponsors of applications with identified

sites that are selected will be required

to submit this information at a later date

once they have obtained site control.)

Note: If any of the relocation costs will be

funded from sources other than the Section

811 Capital Advance, you must provide

evidence of a firm commitment of these

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12317

funds. When evaluating applications, HUD

will consider the total cost of proposals (i.e.,

cost of site acquisition, relocation,

construction and other project costs).

(7) Certifications and Resolutions. In

addition to the certifications and

assurances listed in the General Section

of this SuperNOFA with the exception

of SF–424A, SF–424B, SF–424C, SF–

424D and the OMB Circulars which are

not required, you are required to submit

signed copies of the following:

(7)(a) Standard Form 424. Application

for Federal Assistance and indication of

whether you are delinquent on any

Federal debt. (See instructions for

submitting this form in the Consolidated

Application Submissions section of the

General Section of the SuperNOFA.)

(7)(b) Drug-Free Workplace (HUD–

50070). Certification to provide a drugfree workplace.

(7)(c) Payments to Influence Federal

Transactions (HUD–50071) and

Standard Form LLL, Disclosure of

Lobbying Activities. Certification of

whether any of the funds received will

be used to influence any Federal

transactions and disclosure of those

activities, if applicable.

(7)(d) Applicant/Recipient Disclosure/

Update Report, including Social

Security Numbers and Employee

Identification Numbers, (HUD–2880). A

disclosure of assistance from other

government sources received in

connection with the project.

(7)(e) Certification Regarding

Debarment and Suspension (HUD–2992)

(24 CFR 24.510)—a certification

attesting to the eligibility of your

principals.

(7)(f) Executive Order 12372

Certification. A certification that you

have submitted a copy of your

application, if required, to the State

agency (single point of contact) for State

review in accordance with Executive

Order 12372.

(7)(g) Certification of Consistency with

the Consolidated Plan (Plan) (Form

HUD–2991) for the jurisdiction in which

the proposed project will be located.

The certification must be made by the

unit of general local government if it is

required to have, or has, a complete

Plan. Otherwise, the certification may

be made by the State, or by the unit of

general local government if the project

will be located within the jurisdiction of

the unit of general local government

authorized to use an abbreviated

strategy, and if it is willing to prepare

such a Plan.

All certifications must be made by the

public official responsible for

submitting the Plan to HUD. The

certifications must be submitted as part

of the application by the application

submission deadline date set forth in

this program section of the SuperNOFA.

The Plan regulations are published in 24

CFR part 91.

(7)(h) A certified Board Resolution

that no officer or director of the Sponsor

or Owner has or will have any financial

interest in any contract with the Owner

or in any firm or corporation that has or

will have a contract with the Owner,

including a current listing of all duly

qualified and sitting officers and

directors by title and the beginning and

ending dates of each person’s term.

(7)(i) A Certified Board Resolution

acknowledging responsibilities of

sponsorship, long-term support of the

project(s), your willingness to assist the

Owner to develop, own, manage and

provide appropriate services in

connection with the proposed project,

and that it reflects the will of your

membership. Also, it shall indicate your

willingness to fund the estimated startup expenses, the Minimum Capital

Investment (one-half of one-percent of

the HUD-approved capital advance, not

to exceed $10,000), and the estimated

cost of any amenities or features (and

operating costs related thereto) that

would not be covered by the approved

capital advance.

(7)(j) Certification of Consistency with

the EZ/EC Strategic Plan (HUD–2990). A

certification that the project is

consistent with the EZ/EC strategic

plan, is located within the EZ/EC, and

serves EZ/EC residents.

(7)(k) Sponsor’s Combined

Certifications.

(7)(k)(i) Certification in Connection

with the Development and Operation of

a Section 811 Project. A certification of

compliance with the requirements of the

Fair Housing Act, Title VI of the Civil

Rights Act, the Age Discrimination Act

of 1975, the affirmative fair housing

marketing requirements of 24 CFR part

200, subpart M, and the implementing

regulations at 24 CFR part 108, and

other applicable Federal, State and local

laws prohibiting discrimination and

promoting equal opportunity including

affirmatively furthering fair housing.

(7)(k)(ii) Section 3 of the Housing and

Urban Development Act of 1968 (12

U.S.C. 1701u). Certification of

Compliance with Section 3 of the

Housing and Urban Development Act of

1968 (12 U.S.C. 1701u) and

implementing regulations at 24 CFR part

135. Certification that you will strongly

encourage your general contractor and

subcontractors to participate in local

apprenticeship programs or training

programs registered with or certified by

the Department of Labor’s Bureau of

Apprenticeship and Training or

recognized State Apprenticeship

Agency.

(7)(k)(iii) Design and Cost Standards.

Certification of Compliance with HUD’s

Section 811 project design and cost

standards (24 CFR 891.120 and

891.310), the Uniform Federal

Accessibility Standards (24 CFR 40.7),

section 504 of the Rehabilitation Act of

1973 and HUD’s implementing

regulations at 24 CFR part 8, and for

covered multifamily dwellings designed

and constructed for first occupancy after

March 13, 1991, the design and

construction requirements of the Fair

Housing Act and HUD’s implementing

regulations at 24 CFR part 100, and the

Americans with Disabilities Act of 1990.

(7)(k)(iv) Acquisition and Relocation.

Certification of Compliance with the

acquisition and relocation requirements

of the Uniform Relocation Assistance

and Real Property Acquisition Policies

Act of 1970 (49 CFR part 24 and 24 CFR

part 891.155(e)).

(7)(k)(v) Formation of Owner

Corporation. Certification that you will

form an ‘‘Owner’’ (24 CFR 891.305) after

issuance of the capital advance; cause

the Owner to file a request for

determination of eligibility and a

request for capital advance, and provide

sufficient resources to the Owner to

insure the development and long-term

operation of the project, including

capitalizing the Owner at firm

commitment processing in an amount

sufficient to meet its obligations in

connection with the project.

(7)(k)(vi) Supportive Services.

Certification that you will not require

residents to accept any supportive

services as a condition of occupancy;

and,

(7)(k)(vii) Davis-Bacon. Certification

of compliance with the Davis-Bacon

requirements and the Contract Work

Hours and Safety Standards Act.

(7)(l) Supportive Services

Certification. A certification from the

appropriate State or local agency

identified in the application kit

indicating whether the:

(7)(l)(i) Provision of supportive

services is well designed to serve the

needs of persons with disabilities the

housing is expected to serve;

(7)(l)(ii) The provision of supportive

services will enhance independent

living success and promote the dignity

of those who will access your proposed

project;

(7)(l)(iii) Supportive services will be

available on a consistent, long-term

basis; and

(7)(l)(iv) Proposed housing is

consistent with State or local plans and

policies addressing the housing needs of

people with disabilities if the State or

12318 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

local agency will provide funding for

the provision of supportive services,

refer residents to the project or license

the project. (The name, address, and

telephone number of the appropriate

agency will be identified in the

application kit and can also be obtained

from the appropriate HUD Office.)

(7)(m) Certification that you will

comply with the requirements of the

Lead-Based Paint Poisoning Prevention

Act (42 U.S.C. 4821–4846) and

implementing regulations at 24 CFR part

35.

(7)(n) Single Occupancy Bedrooms in

Group Homes. Certification that if you

are developing a group home, all

bedrooms will be occupied be one

person with a disability unless that

person chooses to share his/her

bedroom with another person with a

disability or determines that he/she/

needs another person to share his/her

bedroom.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

In accordance with 24 CFR part 50, all

Section 811 assistance is subject to the

National Environmental Policy Act of

1969 and applicable related Federal

environmental authorities. The

environmental review provisions of the

Section 811 Program regulations are in

24 CFR 891.155(b).

IX. Formation of Owner Corporation

for Development of Section 811 Projects

and for Section 811 Projects Involving

Mixed-Financing or a Mixed-Use

Purpose

Applicant eligibility for purposes of

applying for a Section 811 fund

reservation under this NOFA has not

changed; i.e., all Section 811 Sponsors

and Co-Sponsors must be nonprofit

organizations. However, the Owner

corporation, when later formed by the

Sponsor, may be (1) a single-purpose

nonprofit organization that has taxexempt status under Section 501(c)(3) of

the Internal Revenue Code of 1986 OR

(2) for purposes of developing a mixedfinance/mixed-use project for

developing additional units over and

above the Section 811 units, a for-profit

limited dividend organization with the

nonprofit entity as the sole general

partner.

X. Authority

Section 811 of the Cranston-Gonzalez

National Affordable Housing Act (Pub.

L. 101–625, approved November 28,

1990), as amended by the Housing and

Community Development Act of 1992)

(Pub. L. 102–550, approved October 28,

1992); the Rescissions Act (Pub. L. 104–

19, approved July 27, 1995); and the

America Homeownership and Economic

Opportunity Act of 2000 (Pub. L. 106–

569, approved December 27, 2000)

authorized a new supportive housing

program for persons with disabilities,

and replaced assistance for persons with

disabilities previously covered by

section 202 of the Housing Act of 1959

(section 202 continues, as amended by

section 801 of the NAHA, and the HCD

Act of 1992, to authorize supportive

housing for the elderly).

APPENDIX A—Local HUD Offices

Notes: (1) The first line of the mailing

address for all offices is Department of

Housing and Urban Development. Telephone

numbers listed are not toll-free.

(2) Applications for projects proposed to be

located within the jurisdiction of the Seattle,

Washington and the Anchorage, Alaska

Offices must be submitted to the Portland,

Oregon Office.

(3) Applications for projects proposed to be

located within the jurisdiction of the

Sacramento, California Office must be

submitted to the San Francisco, California

Office.

(4) Applications for projects proposed to be

located within the jurisdiction of the

Cincinnati, Ohio Office must be submitted to

the Columbus, Ohio Office.

(5) Applications proposed to be located

within the jurisdiction of the Washington, DC

Office must be submitted to the Baltimore,

Maryland Office.

HUD—BOSTON HUB

HARTFORD OFFICE

One Corporate Center, 19th Floor, Hartford,

CT 06103–3220, (860) 240–4800, TTY

Number: (860) 240–4665.

BOSTON OFFICE

Room 301, Thomas P. O’Neill, Jr., Federal

Building, 10 Causeway Street, Boston, MA

02222–1092, (617) 994–8500, TTY

Number: (617) 565–5453.

MANCHESTER OFFICE

Norris Cotton Federal Building, 275 Chestnut

Street, Manchester, NH 03101–2487, (603)

666–7681, TTY Number: (603) 666–7518.

PROVIDENCE OFFICE

Sixth Floor, 10 Weybosset Street, Providence,

RI 02903–2808, (401) 528–5230, TTY

Number: (401) 528–5403.

HUD—NEW YORK HUB

NEW YORK OFFICE

26 Federal Plaza, New York, NY 10278–0068,

(212) 264–8000, TTY Number: (212) 264–

0927.

HUD—BUFFALO HUB

BUFFALO OFFICE

Fifth Floor, Lafayette Court, 465 Main Street,

Buffalo, NY 14203–1780, (716) 551–5755,

TTY Number: (716) 551–5787.

HUD—PHILADELPHIA HUB

PHILADELPHIA OFFICE

The Wanamaker Building, 100 Penn Square

East, Philadelphia, PA 19107–3380, (215)

656–0600, TTY Number: (215) 656–3452.

CHARLESTON OFFICE

Suite 708, 405 Capitol Street, Charleston, WV

25301–1795, (304) 347–7000, TTY

Number: (304) 347–5332.

NEWARK OFFICE

Thirteenth Floor, One Newark Center,

Newark, NJ 07102–5260, (973) 622–7900,

TTY Number: (973) 645–3298.

PITTSBURGH OFFICE

339 Sixth Avenue, Sixth Floor, Pittsburgh,

PA 15222–2515, (412) 644–6428, TTY

Number: (412) 644–5747.

HUD—BALTIMORE HUB

BALTIMORE OFFICE

Fifth Floor, City Crescent Building, 10 South

Howard Street, Baltimore, MD 21201–2505,

(410) 962–2520, TTY Number: (410) 962–

0106.

RICHMOND OFFICE

The 3600 Centre, 3600 West Broad Street,

Richmond, VA 23230–4920, (804) 278–

4500, TTY Number: (804) 278–4501.

HUD—GREENSBORO HUB

GREENSBORO OFFICE

Koger Building, 2306 West Meadowview

Road, Greensboro, NC 27407–3707, (336)

547–4000, TTY Number: (336) 547–4055.

COLUMBIA OFFICE

Strom Thurmond Federal Building, 1835–45

Assembly Street, Columbia, SC 29201–

2480, (803) 765–5592, TTY Number: (803)

253–3071.

HUD—ATLANTA HUB

ATLANTA OFFICE

40 Marietta Street—Five Points Plaza,

Atlanta, GA 30303–2806, (404) 331–5001,

TTY Number: (404) 730–2654.

SAN JUAN OFFICE

Edificio Administracion de Terrenos, 171

Carlos Chardon Avenue, Suite 301, San

Juan, PR 00918–0903, (787) 766–5400, TTY

Number: (787) 776–5609.

LOUISVILLE OFFICE

601 West Broadway, P.O. Box 1044,

Louisville, KY 40201–1044, (502) 582–

5251, TTY Number: 1–800–648–6056.

KNOXVILLE OFFICE

Third Floor, John J. Duncan Federal Building,

710 Locust Street, Knoxville, TN 37902–

2526, (423) 545–4384, TTY Number: (423)

545–4559.

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NASHVILLE OFFICE

Suite 200, 235 Cumberland Bend, Nashville,

TN 37228–1803, (615) 736–5213, TTY

Number: (615) 736–2886.

HUD—JACKSONVILLE HUB

JACKSONVILLE OFFICE

Suite 2200, Southern Bell Tower, 301 West

Bay Street, Jacksonville, FL 32202–5121,

(904) 232–2626, TTY Number: (904) 232–

2631.

BIRMINGHAM OFFICE

Medical Forum Building, 950 22nd St.,

North, Suite 900, Birmingham, AL 35203–

5301, (205) 731–2630, TTY Number: (205)

731–2624.

JACKSON OFFICE

Suite 910, Doctor A.H. McCoy Federal

Building, 100 West Capitol Street, Jackson,

MS 39269–1096, (601) 965–4700, TTY

Number: (601) 965–4171.

HUD—CHICAGO HUB

CHICAGO OFFICE

Ralph H. Metcalfe Federal Building, 77 West

Jackson Boulevard, Chicago, IL 60604–

3507, (312) 353–5680, TTY Number: (312)

353–5944.

INDIANAPOLIS OFFICE 151

North Delaware Street, Indianapolis, IN

46204–2526, (317) 226–6303, TTY

Number: (317) 226–7081.

HUD—DETROIT HUB

DETROIT OFFICE

Patrick V. McNamara Federal Building, 477

Michigan Avenue, Detroit, MI 48226–2592,

(313) 226–7900, TTY Number: (313) 226–

6899.

GRAND RAPIDS OFFICE

Trade Center Building, 50 Louis Street, NW,

Third Floor, Grand Rapids, MI 49503–

2648, (616) 456–2100, TTY Number: (616)

456–2159.

HUD—COLUMBUS HUB

COLUMBUS OFFICE

200 North High Street, 7th Floor, Columbus,

OH 43215–2499, (614) 469–2540, TTY

Number: (614) 469–6694.

CLEVELAND OFFICE

Renaissance Building, 1350 Euclid Avenue,

Suite 500, Cleveland, OH 44115–1815,

(216) 522–4058, TTY Number: (216) 522–

2261.

HUD—MINNEAPOLIS HUB

MINNEAPOLIS OFFICE

220 Second Street, South Minneapolis, MN

55401–2195, (612) 370–3000, TTY

Number: (612) 370–3186.

MILWAUKEE OFFICE

Suite 1380, Henry S. Reuss Federal Plaza,

310 West Wisconsin Avenue, Milwaukee,

WI 53203–2289, (414) 297–3214, TTY

Number: (414) 297–23.

HUD—FT. WORTH HUB

LITTLE ROCK OFFICE

Suite 900, TCBY Tower, 425 West Capitol

Avenue, Little Rock, AR 72201–3488, (501)

324–5931, TTY Number: (501) 324–5931.

NEW ORLEANS OFFICE

Ninth Floor, Hale Boggs Federal Building,

501 Magazine Street, New Orleans, LA

70130–3099, (504) 589–7200, TTY

Number: (504) 589–7279.

FT. WORTH OFFICE

801 Cherry Street, P.O. Box 2905, Fort Worth,

TX 76113–2905, (817) 978–5965, TTY

Number: (817) 978–5595.

HOUSTON OFFICE

Suite 200, Norfolk Tower, 2211 Norfolk,

Houston, TX 77098–4096, (713) 313–2274,

TTY Number: (713) 834–3274.

SAN ANTONIO OFFICE

Washington Square, 800 Dolorosa Street, San

Antonio, TX 78207–4563, (210) 475–6800,

TTY Number: (210) 475–6885.

HUD—GREAT PLAINS

DES MOINES OFFICE

Room 239, Federal Building, 210 Walnut

Street, Des Moines, IA 50309–2155, (515)

284–4512, TTY Number: (515) 284–4728.

KANSAS CITY OFFICE

Room 200, Gateway Tower II, 400 State

Avenue, Kansas City, KS 66101–2406,

(913) 551–5462, TTY Number: (913) 551–

6972.

OMAHA OFFICE

Executive Tower Centre, 10909 Mill Valley

Road, Omaha, NE 68154–3955, (402) 492–

3100, TTY Number: (402) 492–3183.

SAINT LOUIS OFFICE

Third Floor, Robert A. Young Federal

Building, 1222 Spruce Street, St. Louis,

MO 63103–2836, (314) 539–6583, TTY

Number: (314) 539–6331.

OKLAHOMA CITY OFFICE

500 West Main Street, Suite 400, Oklahoma

City, OK 73102–2233, (405) 553–7401, TTY

Number: 1–800–877–8339.

HUD—DENVER HUB

DENVER OFFICE

633 17th Street, Denver, CO 80202–3607,

(303) 672–5440, TTY Number: (303) 672–

5248.

HUD—SAN FRANCISCO HUB

PHOENIX OFFICE

Suite 1600, Two Arizona Center, 400 North

5th Street, Phoenix, AZ 85004–2361, (602)

379–4434, TTY Number: (602) 379–4464.

SAN FRANCISCO OFFICE

Philip Burton Federal Building and U.S.

Courthouse, 450 Golden Gate Avenue, P.O.

Box 36003, San Francisco, CA 94102–3448,

(415) 436–6550, TTY Number: (415) 436–

6594.

HONOLULU OFFICE

Suite 500, 7 Waterfront Plaza, 500 Ala Moana

Boulevard, Honolulu, HI 96813–4918,

(808) 522–8185, TTY Number: (808) 522–

8193.

HUD—LOS ANGELES HUB

LOS ANGELES OFFICE

611 West 6th Street, Suite 800, Los Angeles,

CA 90017–3106, (213) 894–8000, TTY

Number: (213) 894–8133.

HUD—SEATTLE HUB

PORTLAND OFFICE

400 Southwest Sixth Avenue, Suite 700,

Portland, OR 97204–1632, (503) 326–2561,

TTY Number: (503) 326–3656

APPENDIX B

The non-standard forms, which follow, are

required for your Section 811 Program

application

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR THE

ASSISTED LIVING CONVERSION

PROGRAM (ALCP) FOR ELIGIBLE

MULTIFAMILY HOUSING PROJECTS

Program Overview

Purpose of the Program. The purpose

of this program is to provide grants for

the conversion of some or all of the

dwelling units in an eligible project into

assisted living facilities (ALFs) for frail

elderly persons.

Available Funds. Approximately $75

million for conversion of eligible

multifamily projects to ALFs. $50

million under Fiscal Year 2001

Appropriation Act and $25 million in

carryover funds).

Eligible Applicants. Only nonprofit

project owners of eligible developments

(as described in Section III of this

NOFA) may apply for and become the

recipient of a grant.

Application Due Dates. June 21, 2001

for applications to convert eligible

multifamily development to ALFs.

February 26, 2001 through June 21,

2001 for applications from nonprofit

owners to convert unused or

underutilized commercial properties to

ALFs. (See additional information on

application due dates in ‘‘Application

Due Date’’ of Section I below.)

Match. None required.

Additional Information

I. Application Due Date, Application

Kits, and Technical Assistance

Application Due Date. If you are an

eligible project owner applying to

convert your eligible multifamily

assisted housing development to an

ALF, your completed application (one

original and four copies) is due on or

before 6:00 pm, local time, on June 21,

2001, at the address shown below. If

you are a nonprofit organization

applying to convert an unused or

underutilized commercial property to

an ALF, your completed application

(one original and four copies) will be

accepted on or before 6:00 pm, local

time, beginning on February 26, 2001,

and ending on June 21, 2001, at the

address shown below.

See the General Section of the

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. The official place for

receipt of your application is ONLY in

the appropriate Multifamily Hub Office.

Submit an original and four copies of

the ALCP application to the Director of

the appropriate HUD Multifamily Hub

Office, as listed in Appendix A of this

NOFA, with jurisdiction over your

development.

Appendix B to this NOFA lists the 18

Multifamily Hubs with the Program

Centers under them, to facilitate

applicants knowing the correct location

to send the application.

For Application Kits, Further

Information, and Technical Assistance.

For Application Kits. You may obtain an

ALCP application kit and supplemental

information by calling the SuperNofa

Information Center at (voice) 1–800–

HUD–8929 (1–800–483–8929). Persons

with hearing or speech impairment may

call the Center’s TTY number at 1–800–

HUD–2209. Please be sure to provide

your name, address (including zip

code), and telephone number (including

area code). The application kit is also

available on the Internet through the

HUD web site at http://www.hud.gov.

Note: There is a separate application kit for

service coordinator funds (which is necessary

for those needing to enhance or add service

coordination per Section III(B)(14) of this

NOFA).

For Further Information and

Technical Assistance. You should

contact the Multifamily Hub where you

will be mailing your ALCP Application.

(Please refer to Hub telephone numbers

in Appendix A.)

You also may contact Aretha

Williams, Director, Grant Policy and

Management Division, Room 6138, at

(202)–708–2866 x2480 or Faye Norman,

Housing Project Manager at (202) 708–

2866 x2482 for questions regarding the

ALF process. This is not a toll free

number. Ms. Williams can be reached,

by e:mail, at

‘‘aretha_m. williams@hud.gov’’ and Ms

Norman at ‘‘faye_l._norman@hud.gov.

Both Ms. Williams and Ms. Norman are

located at the Department of Housing

and Urban Development, 451 Seventh

Street, SW, Washington, DC 20410.

If you have a hearing or speech

impairment, you may access the

telephone number via TTY by calling

the Federal Information Relay Service at

1–800–877–8339.

II. Amount Allocated

This NOFA makes available

approximately $75,000,000 ($67,500,000

for the physical conversion of eligible

multifamily assisted housing projects or

portions of projects to ALFs and

$7,500,000 for the conversion of up to

3 unused or underutilized commercial

properties to ALFs). The FY 2001

funding of $50 million is in the

Departments of Veterans Affairs and

Housing and Urban Development, and

Independent Agencies Appropriations

Act. The $75 million includes $25

million in carryover funds. The

allocation formula used for the ALCP to

fair share the $67,500,000 reflects

demographic characteristics of age and

incidence of frailty that would be

expected for program participants. The

Fiscal Year (FY) 2001 formula consists

of three data elements from the 1990

decennial census:

(1) The number of non-institutional

elderly population aged 75 years or

older with a self-care limitation,

(2) The number of non-institutional

elderly population aged 75 or older with

a mobility limitation, and,

(3) The number of the noninstitutional elderly population aged 75

or older with both a mobility limitation

and a self-care limitation. The data were

taken from the 1990 Census Special

Tabulation on Aging, STP–14,

sponsored by the Administration on

Aging, U.S. Department of Health and

Human Services.

A mobility limitation is defined as a

health condition that has lasted for six

(6) or more months, making it difficult

for the person to go outside the home

alone. This includes outside activities

such as shopping or visiting the doctor’s

office. A self-care limitation is defined

as a health care limitation that has

lasted for six (6) months or more which

makes it difficult for the person to take

care of his/her own personal needs such

as dressing, bathing, or getting around

in the home.

A fair share factor for each state was

developed by taking the sum of the

three elements within each state as a

percentage of the sum of the three

elements for the total United States. The

resulting percentage for each state was

then adjusted to reflect the relative

difference in the cost of providing

housing among the states. The total of

the grant funds available ($67.5 million)

was multiplied by the adjusted fair

share percentage for each state, and the

resulting funds for each state were

totaled for each Hub.

The ALCP grant funds fair share

allocations, based on the formula above,

to the 18 multifamily Hubs are as shown

on the following chart:

FISCAL YEAR ALLOCATION 2001 FOR

THE ASSISTED LIVING CONVERSION

PROGRAM (ALCP) OF ELIGIBLE ASSISTED MULTIFAMILY PROJECTS

HUB Grant authority

Boston ............................. $4,004,982

Buffalo ............................. 1,916,188

New York City ................. 4,394,919

Philadelphia .................... 7,727,208

Baltimore ......................... 2,669,073

Greensboro ..................... 2,781,980

Atlanta ............................. 4,763,164

12342 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

FISCAL YEAR ALLOCATION 2001 FOR

THE ASSISTED LIVING CONVERSION

PROGRAM (ALCP) OF ELIGIBLE ASSISTED MULTIFAMILY PROJECTS—

Continued

HUB Grant authority

Jacksonville .................... 6,167,612

Chicago ........................... 4,904,037

Columbus ........................ 2,572,294

Detroit ............................. 2,371,122

Minneapolis ..................... 2,333,387

Fort Worth ....................... 5,244,696

Kansas City .................... 4,052,235

Denver ............................ 1,325,512

Los Angeles .................... 4,108,700

San Francisco ................. 4,072,910

Seattle ............................. 2,089,981

Total ......................... 67,500,000

III. Program Description; Eligible and

Ineligible Applicants, Developments,

and Activities

(A) Program Description. Assisted

living facilities (ALF) are designed to

accommodate frail elderly persons and

people with disabilities who need

certain support services (e.g., assistance

with eating, bathing, grooming, dressing

and home management activities). ALFs

must provide support services such as

personal care, transportation, meals,

housekeeping, and laundry. Frail

elderly person means an individual 62

years of age or older who is unable to

perform at least three activities of daily

living (ADLs) as defined by the

regulations for HUD’s Section 202

Program (Supportive Housing for the

Elderly) at 24 CFR 891.205.

Assisted living is defined in section

232(b)(6) of the National Housing Act

(12 U.S.C. 1715w). The ALCP provides

funding for the physical costs of

converting some or all of the units of an

eligible multifamily development into

an ALF, including the unit

configuration, common and services

space and any necessary remodeling,

consistent with HUD or the State’s

statute/regulations (whichever is more

stringent).

Typical funding will cover basic

physical conversion of existing project

units, common and services space.

There must be sufficient community

space to accommodate a central kitchen

or dining facility, lounges, recreation

and other multiple-areas available to all

residents of the project, or office/staff

spaces in the ALF. When food is

prepared at an off-site location, the

preparation area of the facility must be

of sufficient size to allow for the

installation of a full kitchen, if

necessary. You must provide supportive

services for the residents either directly

or through a third party. Your

application must include a firm

commitment for the supportive services

to be offered within the ALF as part of

the application. You may charge

assisted living residents for meals and/

or service fees. Residents may contract

with third party agencies directly for

nursing, therapy or other services not

offered by the ALF.

(B) Program Requirements. The

following program requirements apply:

(Note: For applications requesting funds

to convert commercial facilities, except

(3), (8)(a) and (b), and (12):

(1) Your ALF facility must be licensed

and regulated by the State (or if there is

no State law providing such licensing

and regulation, by the municipality or

other subdivision in which the facility

is located). Each assisted living unit

must include its own kitchen, bathroom,

living/dining area (1 bedroom unit) or

bedroom/living/dining area (efficiency

unit) and must meet the state and/or

local licensing, building, zoning and

other requirements for an ALF.

(2) Your ALF must be available to

qualified elderly persons and persons

with disabilities, consistent with the

rules and payment plans of the State,

who need and want the supportive

services in order to remain independent

and avoid premature

institutionalization.

(3) Your ALF’s residents must be

tenants or residents of the multifamily

project and must comply with the

requirements applicable to the project.

Thus, you cannot charge additional rent

over what is charged to residents in the

non-ALF portion of the project. All

admissions to the ALF must be through

the applicable project admissions office.

However, persons accepted into the ALF

also must sign an ALF admissions

agreement which shall be an addendum

to the applicable project lease.

(4) At a minimum, your ALF must

provide room, board (as defined in

Section III(B)(6)) of this NOFA) and

continuous protective oversight (CPO).

CPO involves a range of activities and

services that may include such things as

awareness by management and staff of

the occupant’s condition and location as

well as an ability to intervene in a crisis

for dependent and relatively

independent occupants on a 24-hour

basis. The two occupant groups in an

ALF are:

(a) Independent Occupants:

Awareness by management and staff of

the occupant’s condition and

whereabouts as well as the availability

of assistance for the occupants as

needed.

(b) Dependent occupants: Supervision

of nutrition, assistance with medication

and continuous responsibility for the

occupants’ welfare.

(5) Anyone moving into an ALF unit

must agree to accept as a condition of

occupancy the board and services

required for the purpose of complying

with state and local law and regulation.

However, occupancy in an ALF unit

may not be conditioned on receipt of

other services or board not required by

state or local requirements.

(6) Your ALF must offer three meals

per day to each resident.

(a) Residents in projects which were

originally constructed without kitchens

in their units must take such meals as

required by their mandatory meals

agreement, or by the state’s mandated

requirements if more stringent (e.g., 2

meals, 2 snacks daily).

(b) Residents whose apartments have

kitchens must take at least the number

of meals a day provided by the facility,

per their mandatory meals requirement,

or as required by state or local rules, if

more stringent. If the facility does not

have a mandatory meals plan, then state

and local rules govern.

In either case, ALF management must

coordinate meals requirements with the

needs of residents who are out part of

the day, e.g., in day care. The meals

program may not be operated at a profit

by the project owner.

(7) Your ALF’s operation must be part

of the project owner’s management

organization. Some or all of its functions

may be contracted out. The ALF must

predicate its budget on a two-tiered

structure under which board and

supportive service income and expenses

must be maintained separately and

independently from the regular income

and expenses of the applicable project.

The two components of ALF costs are:

(a) Charges/payment for board, which

may be on a sliding scale or any other

equitable fee system; and

(b) Charges/payment for necessary

supportive services, which may include

a combination of resident fees, Medicaid

and/or other third party payments.

(8) Priority admissions for ALF units

are as follows:

(a) Current residents desiring an ALF

unit and meeting the program

requirements (no resident can be

required to accept an ALF unit).

(b) Qualified individuals or families

needing ALF services who are already

on the project’s waiting list;

(c) Qualified individuals or families

in the community needing ALF services

wanting to be added to the project’s

waiting list; and

Note: Qualified physically disabled nonelderly persons needing assisted living

services are eligible to occupy these units on

the same basis as elderly persons, except for

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12343

section 202 PRAC projects and unused/

underutilized commercial properties.

(9) The management of the project

must set up a separate waiting list for

ALF units. ALF units must be for

eligible residents who meet the

admissions/discharge requirements as

established for assisted living by State

and local licensing, or HUD frailty

requirements under 24 CFR 891.205 if

more stringent.

(10) Costs of meals and supportive

services are NOT covered by this HUD

grant. These items must be paid for

through other sources, e.g., a mix of

resident fees and/or third party

providers. Evidence of third party

commitment(s) must be included as part

of the application. (See Section IV(B) of

this NOFA.) The assisted living

supportive services program must

promote independence and provide

personal care assistance based on

individual needs in a home-like

environment (see Section VI(B)(8)(b)

through (c) of this NOFA).

(11) Upon receipt of a grant under this

program, all project owners

participating in the ALCP must provide

a Declaration of Restrictive Covenants

(DRC), which will be recorded with the

land, to retain the low income character

of the housing, and to maintain the

project (including the ALF), as a

moderate, low, or very low income

facility (as appropriate) for at least 20

years beyond the current 40-to-50 year

term of the mortgage loan or capital

advance. Recipients of grant funds to

convert unused or underutilized

commercial property must provide a

DRC for at least 20 year or for the term

of the mortgage on the property

whichever is longer.

(12) This program does NOT allow

permanent displacement of any resident

living in the project at the time the

application was submitted to HUD.

(HUD will only provide temporary

relocation costs for current tenants if

they must vacate their unit while

conversion work is underway (normal

temporary relocation costs include

increases in rent, reconnection of

telephones, moving costs and

appropriate out-of-pocket expenses)).

(13) The ALCP requires service

coordination responsible for linking the

ALF to services in the community

which are available to low income

persons. All projects funded under this

NOFA must have sufficient service

coordination in place, or request

additional funds if appropriate, to

ensure that services meeting licensing

requirements are available to ALF

residents on an ongoing basis. Service

coordination must be described in the

application (see Section VI(B)(8)(b)

through (c) of this NOFA). If you need

to enhance an existing service

coordination program or add one where

it does not exist, you may apply for

funding through the Service Coordinator

NOFA, published elsewhere in this

SuperNOFA , and attach a copy of the

Form HUD 424M so indicating the

request to the ALCP application.

Alternatively, you may show evidence

that funding for the enhanced service

coordination is provided by other

sources and indicate such funding on

the HUD Form 424M which is exhibit

10(c) of your ALF application. If you are

funded under this NOFA and requested

new or enhanced service coordination

you will be funded first under the

service coordinator NOFA.

Note: If you are a Section 202 PRAC project

owner or an owner with unused or

underutilized commercial properties, you are

NOT eligible to request funding under the

service coordinator NOFA. Section 202 PRAC

owners can pay for the service coordinator

out of PRAC funds.

In addition to above requirements, the

following applicable guidelines are

stated:

(a) The ALF must be staffed either

directly or through coordination with

local agencies, depending on state

regulations or local requirements. These

may also serve non-ALF residents of the

project on a time available and

appropriate fee basis.

(b) The ALF may cater to the special

needs of residents depending on the

condition or diagnosis, such as

Alzheimer’s disease. If it does so, the

design/environment of such facilities

must accommodate those needs, e.g.,

dementia special care unit. However,

the ALF CANNOT provide a service it

is not licensed by the State or locality

to provide.

Note 1: Owners of section 202/PRAC

projects are reminded that they may include

a PRAC payment of up to $15/unit/month not

to exceed 15% of the total program cost,

consistent with 24 CFR 891.225(b)(2) to cover

part of the cost of meals and/or supportive

services for frail elderly residents, including

residents of the ALF.

Note 2: Training for ALF staff is an eligible

project cost under existing operating

procedures.

For further information on ALFs,

please refer to Handbook 4600.1, CHG–

1, ‘‘Mortgage Insurance for Residential

Care Facilities,’’ Chapter 13. This

Handbook and recent ALF program

Notices are accessible through

HUDCLIPS on HUD’s web site. The URL

for the HUDCLIPS Database Selection

Screen is http://www.hudclips.org/

subscriber/cgi/legis.cgi. These notices

are in the Handbooks and Notices—

Housing Notices database. Enter only

the number without the letter prefix

(e.g., 99–16) in the ‘‘Document number’’

to retrieve the program notice.

For further guidance on service

coordinators, please refer to Handbook

4381.5 REV–2, CHANGE–2, Chapter 8,

‘‘The Management Agent’s Handbook,’’

which is also available through the

HUDCLIPS database.

(C) Eligible Applicants. Only

nonprofit owners of eligible multifamily

assisted housing developments

specified in Section 683(2) (B), (C), (D),

(E), and (F) of the Housing and

Community Development Act of 1992

and nonprofit owners of an unused or

underutilized commercial property are

eligible for funding. To be eligible,

project owners must meet the following

criteria where applicable:

(1) Must be in compliance with your

Loan Agreement, Capital Advance

Agreement, Regulatory Agreement,

Housing Assistance Payment contract,

Project Rental Assistance Contract, Rent

Supplement or LMSA contract, or any

other HUD grant or contract document.

(2) Must be in compliance with all fair

housing and civil rights laws, statutes,

regulations, and executive orders as

enumerated in 24 CFR 5.105(a). See

Section V(B) of this NOFA for further

explanation.

Note: If your eligibility status changes

during the course of the grant term, making

it ineligible to receive the grant (e.g.,

prepayment of mortgage, sale/TPA of

property, or opting out of a Section 8

Housing Assistance Payment (HAP) contract),

HUD retains the right to terminate the grant

and recover funds made available through

this NOFA.

(D) Eligible Developments. (1) Section

202 projects, Section 202 projects

receiving rental assistance under

Section 8, and Section 202 projects

receiving project rental assistance under

Section 202(C)(2). Rural housing

projects assisted under Section 515 of

the Housing Act of 1949 receiving

Section 8 rental assistance are also

included as are projects receiving

project-based rental assistance. Projects

receiving project-based rental among

others, housing constructed,

substantially rehabilitated or receiving

moderate rehabilitation assistance under

Section 8. Also included are housing

financed by a below-market interest rate

loan or insured mortgage under Section

221(d)(3) of the National Housing Act of

housing insured, assisted or held by

HUD or a State or State Agency under

Section 236 of the National Housing Act

that have been in occupancy for no less

than five years since the date of the

HUD–2485 Form ‘‘permission to

occupy’’ permit and have completed

Final Closing. Your project must:

12344 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(a) Meet HUD’s Uniform Physical

Conditions Standards at 24 CFR part 5,

subpart G. Meeting these standards as

described, means that the project, based

on the most recent Real Estate

Assessment Center (REAC) physical

inspection report and responses thereto,

must have a ‘‘satisfactory’’ rating as

evidenced by a score of 60 or better or

a HUD-approved and on schedule repair

plan for developments scoring less than

60. Additionally, the project must have

no uncorrected and outstanding Exigent

Health and Safety violations. Finally,

the project must not have on file a

management review with a rating of

‘‘minimally satisfactory’’ or

‘‘unsatisfactory’’ with open and

unresolved findings.

(b) Have a residual receipts account

separate from the Reserve for

Replacement account, or agree to

establish this account as a condition for

getting the award(s).

(2) Unused and underutilized

commercial properties.

(E) Ineligible Applicants. (1) Owners

of developments designed specifically

for people with disabilities.

(2) Owners of Section 232

developments.

(3) Property management companies

and agents of property management

companies.

(4) Limited dividend partnerships.

(F) Eligible Conversion Activities.

Eligible activities are:

(1) Retrofitting to meet Section 504

accessibility requirements, minimum

property standards for accessibility and/

or building codes and health and safety

standards for ALFs in that jurisdiction.

Examples are items such as addition of:

(a) Sprinkler systems;

(b) An elevator or upgrades thereto;

(c) Lighting upgrades;

(d) Major physical or mechanical

systems of projects necessary to meet

local code or assisted living

requirements;

(e) Upgrading to accessible units for

the ALF with moveable cabinetry,

accessible appliances, sinks, bathroom

and kitchen fixtures, closets, hardware

and grab bars, widening of doors, etc.

(f) Upgrades to safety and emergency

alert systems;

(g) Addition of hallway railings; and,

(h) Medication storage and work

stations;

(2) Retrofitting to add, modify and/or

outfit common space, office or related

space for ALF staff including a service

coordinator and file security, and/or a

central kitchen/dining facility to

support the ALF function (e.g., outfit

lounge/common space/dining furniture,

kitchen equipment for cooking/serving

and dishware).

(3) Retrofitting to upgrade a regular

unit to an accessible unit for a person/

family with disabilities who is being

displaced from an accessible unit in the

portion of the project that is being

converted to the ALF, where another

accessible unit is not available.

(4) Temporary relocation; (Not

applicable to commercial property)

(5) Consultant, architectural and legal

fees, and,

(6) Vacancy payments not more than

30 days after conversion to an ALF.

(G) Ineligible Activities. You may not

use funds available through this NOFA

to:

(1) Add additional dwelling units to

the existing project; (Not Applicable to

commercial property)

(2) Pay the costs of any of the

necessary direct supportive services

needed to operate the ALF;

(3) Purchase or lease additional land;

(4) Rehabilitate (see definition at 24

CFR 891.105) the project for needs

unrelated directly to the conversion of

units and common space for assisted

living;

(5) Use the ALCP to reduce the

number of accessible units in the project

that are not part of the ALF; (Not

applicable to commercial property);

(6) Permanently relocate any resident

out of the project; and,

(7) Increase the management fee.

IV. Program Requirements

Each applicant must comply with the

following requirements:

(A) Statutory, Regulatory,and Other

Program Requirements. You must

comply with all applicable statutory

requirements to the projects specified in

Section 202(b) and statutory

requirements under Section 232(b)(6).

Please note that all ALCP projects must

conform to the 500-year flood plain

limitation (See Section VII of this

NOFA.) Construction of ALCP units is

considered a ‘‘critical action’’ for

purposes of the flood plain requirement.

Excess Residual Receipts (over $500/

unit) and Reserve for Replacement (R4R)

funds (over $1000/unit) in Project

Accounts that are not approved for

another use at the time of application to

HUD under this NOFA are considered

available funds and must be applied

towards the cost of conversion

activities. Before making this

determination, however, HUD staff will

consider the extent of repair/

replacement needs indicated in the most

recent REAC physical inspection and

not yet approved and any ongoing

commitments such as non-grant-based

service coordinator or other funding,

where existing, deduct the estimated

costs of such items from the R4R and

residual receipts balances to determine

the extent of available residual receipts

and R4R funds for the ALCP. (This

paragraph is not applicable to

commercial properties.)

If funded, you must also file a HUD

Form–2530 for all construction

contractors, architects, consultants, and

service provider organizations under

direct contract with you that will be

engaged under this NOFA and comply

with all State and local licensing,

zoning and building code requirements.

(B) Meals and Supportive Services.

You must develop and submit a

Supportive Services Plan (SSP) for the

services and coordination of the

supportive services which will be

offered in the ALF to the appropriate

State or local organization(s) which are

expected to provide those supportive

services. (See Section VI(B)(8) of this

NOFA below, for the information which

must be in the SSP.) You must submit

one copy of your SSP to each

appropriate State or local service

funding organizations well in advance

of the application deadline, for

appropriate review. The State or local

funding organization(s) must return the

SSP to you with appropriate comments

and indication of funding commitment,

which you will then include with the

application you submit to HUD.

You must ALSO submit the SSP to the

appropriate organization(s) which

license ALFs in your jurisdiction. The

licensing agency(ies) must approve your

plan, and must also certify that the ALF

and the proposed supportive services

identified in your SSP, are consistent

with local statute and regulations and

well designed to serve the needs of the

frail elderly and people with disabilities

who will reside in the ALF portion of

your project.

Finally, you must also submit an

agreement to pursue appropriate ALF

licensing in a timely manner.

(C) Minimum Size Limits for an ALF.

An ALF must be economically feasible.

Consistent with HUD Handbook 4600.1,

CHG–1, the minimum size for an ALF

is five units.

(D) Economic Opportunities for Low

and Very Low income Persons (Section

3). You must comply with section 3 of

the Housing and Urban Development

Act of 1968, 12 U.S.C. 1701u (Economic

Opportunities for Low and Very Low

Income Persons), and its implementing

regulations at 24 CFR part 135. You

must ensure that training, employment

and other economic opportunities shall,

to the greatest extent feasible, be

directed toward low and very low

income persons, particularly those who

are recipients of government assistance

for housing and to business concerns

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12345

which provide economic opportunities

to low and very low income persons and

including people with disabilities.

(E) Compliance with Fair Housing and

Civil Rights Laws. If you, the applicant

(a) have been charged with a systemic

violation of the Fair Housing Act by the

Secretary alleging ongoing

discrimination; (b) are the defendant in

a Fair Housing Act lawsuit filed by the

Department of Justice alleging an

ongoing pattern or practice of

discrimination; or (c) have received a

letter of noncompliance findings under

Title VI of the Civil Rights Act of 1964,

section 504 of the Rehabilitation Act of

1973, or section 109 of the Housing and

Community Development Act of 1974,

your application will not be evaluated

under this NOFA if, the charge, lawsuit,

or letter of findings has not been

resolved to the satisfaction of the

Department before the application

deadline, HUD’s decision regarding

whether a charge, lawsuit, or a letter of

findings has been satisfactorily resolved

will be based upon whether appropriate

actions have been taken to address

allegations of ongoing discrimination in

the policies or practices involved in the

charge, lawsuit, or letter of findings.

(F) Additional Nondiscrimination

Requirements. As you will be

converting some of your project to an

ALF, you should note that 24 CFR

891.120(b) requires you to meet all

accessibility requirements.

Additionally, you must comply with the

section 504 regulations at 24 CFR part

8, the Americans with Disabilities Act

and the regulations at 24 CFR part 36,

as applicable.

V. Application Selection Process

(A) Review for Curable Deficiencies.

You should ensure that your application

is complete before submitting it to HUD.

HUD will screen all applications

received by the deadline for curable

deficiencies. With respect to correction

of deficient applications, HUD may not,

after the application due date and

consistent with HUD’s regulations in 24

CFR part 4, subpart B, consider any

unsolicited information an applicant

may want to provide. HUD may contact

an applicant to clarify an item in the

application or to correct technical

deficiencies. Please note, however, that

HUD may not seek clarification of items

or responses that improve the

substantive quality of a response to any

selection factors. In order not to

unreasonably exclude applications from

being rated and ranked, HUD may

contact applicants to ensure proper

completion of the application and will

do so on a uniform basis for all

applicants. Examples of curable

(correctable) technical deficiencies

include failure to submit the proper

certifications or failure to submit an

application that contains an original

signature by an authorized official. In

each case, under this NOFA, the

appropriate HUD Multifamily Hub

Office will notify you in writing by

describing the clarification or technical

deficiency. You must submit

clarifications or corrections of technical

deficiencies in accordance with the

information provided by the Hub Office

within 14 calendar days of the date of

receipt of the HUD notification. (If the

due date falls on a Saturday, Sunday, or

Federal holiday, your correction must

be received by HUD on the next day that

is not a Saturday, Sunday, or Federal

holiday.) If the deficiency is not

corrected within this time period, HUD

will reject the application as

incomplete, and it will not be

considered for funding. The following is

a list of the deficiencies that will be

considered curable in ALCP

applications:

Exhibits

(1)(a) Application Summary Sheet

*(b) Articles of Incorporation, or

certification of Articles of

Incorporation

*(c) By-laws, or certification of by-laws

3—Evidence of occupancy for at least

five years (Not applicable to

commercial facilities)

5(c)—Original project plans

5(h)—Relocation (Not applicable to

commercial property)

7—Evidence of Permissive Zoning

8(g)—Support Letters from

Governmental Agencies that License

ALFs

(10) Certifications and Forms

(a) Standard Form 424, Application for

Federal Assistance

(b) Standard Form 424D, Assurances

Construction Programs

(c) Form HUD 424M, Federal Assistance

Funding Matrix

(d) Form HUD–50070, Drug-free

Workplace

(e) Form HUD–50071, Payments to

Influence Federal Transactions and

Standard Form-LLL, Disclosure of

Lobbying Activities

(f) Form HUD 2880, Applicant/

Recipient Disclosure/Update Report,

including Social Security and

Employment Identification numbers

(g) Form HUD–2992, Certification

Regarding Debarment and

Suspension,

(h) Form HUD–2991, Certification of

Consistency with the Consolidated

Plan (Plan), for the Jurisdiction in

which the Proposed ALF will be

located.

(i) Executive Order 12372 Certification,

a certification that you have

submitted a copy of your application,

if required, to the State agency (single

point of contact) for State review in

accordance with Executive Order

12372.

(j) Certification of Residual Receipts

Account

(k) Conflict of Interest Certification

(l) Certification for ALF

(m) Combined Certification

The appropriate Hub Office will

notify you in writing if your application

is missing any of the exhibits listed

above and you will be given 14 days

from the date of receipt of the HUD

notification to submit the information

required to cure the noted deficiencies.

The exhibits identified by an asterisk (*)

must be dated on or before the

application deadline date. If not so

dated the application will be rejected.

After the completeness review, HUD

staff will review your application to

determine whether the application

meets the threshold requirements listed

below. Only if your application meets

all the threshold requirements is it

eligible to be rated and ranked.

(B) Threshold Review. In order to pass

threshold, you must:

(1) Be in compliance with all fair

housing and civil rights laws, statutes,

regulations, and executive orders as

enumerated in 24 CFR 5.105(a), and as

noted earlier in this NOFA under

Sections III(B)(2) and IV(E).

(2) Be an eligible applicant.

(3) Not request more funds than

advertised.

(4) Additionally, HUD will also reject

your application if the SSP and/or

commitment and support letter(s) from

the appropriate funding organizations

and the appropriate licensing

agency(ies):

(i) Are not submitted with your

application;

(ii) Indicate that the ALF units,

facilities, meals and supportive services

to be provided are not designed to meet

the special needs of the residents who

will reside in the ALF as defined in this

NOFA,

(iii) Do not show commitment for

funding the meals and supportive

services proposed; or

(iv) Indicate that the project as

proposed will not meet the licensing

requirements of the appropriate State/

local agency(ies).

(C) Review Panels. The Office of

Housing’s Multifamily Hubs will

establish panels to review all eligible

applications that have passed threshold.

The panels may include knowledgeable

persons not currently employed by

HUD.

12346 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(D) Rating of Applications. (See

paragraph below for selection of

applications for commercial properties)

HUD staff teams will review and rate

ALCP applications in accordance with

the Ranking and Selection procedures

(see Section V(E) of this NOFA below).

All applications will be either rated or

technically rejected at the end of

technical review. If your application

meets all program eligibility

requirements after completion of

technical review, it will be rated

according to the rating selection factors

in Section V(F) of this NOFA. HUD

reserves the right to reduce the amount

requested in the application if any

proposed components are ineligible or if

the cost of items is not deemed

reasonable.

HUD will NOT reject an ALCP

application based on technical review

without notifying you of that rejection

with all the reasons for the rejection,

and providing you an opportunity to

appeal. As discussed above, you will

have 14 calendar days from the date of

HUD’s written notice to appeal a

technical rejection to the Multifamily

Hub where the applications were sent

originally. HUD staff will make a

determination on an appeal before

finalizing selection recommendations.

(E) Ranking and Selection Procedures.

((E)(1)–(4) not applicable to applicants

of commercial properties)

Applications submitted in response to

this NOFA that are eligible, pass

threshold and have a total score of 70

points (or more) are eligible for ranking

and selection. (Except applications for

conversion of commercial properties

with a score of at least 70 points will not

be ranked but will be submitted to HUD

Headquarters for selection.)

(1) Hub staff teams will be established

for ALCP review in each Hub to do the

application ratings (see Section V(D)

above). See list of Hubs in Appendix A

of this NOFA.

(2) From within this rank order, Hub

staff teams in each of the 18 Hubs will

select the highest ranking applications

from within that Hub in order, that can

be funded from within the dollars

available.

(3) After making the initial selections,

however, Hubs may use any residual

funds to select the next rank-ordered

application by reducing the dollars

requested by no more than 10 percent

(10%) and reducing the number of units

proposed, but in no case reducing the

number of units below the financial

threshold feasibility of five ALF units.

(4) Funds remaining after these

processes are completed will be

returned to HUD Headquarters. HUD

will use these funds to restore units to

any project reduced as a result of using

the residual grant funds in a Hub.

Secondly, HUD will use these funds for

selecting one or more additional

applications based on the Hubs rating

and rankings, beginning with the

highest rated application within the 18

Hubs. Only one application will be

selected per Hub from the national

residual amount. If there are no

approvable applications in other Hubs,

the process will begin again with the

selection of the next highest rated

application within the remaining Hubs.

This process will continue until all

approvable applications are selected

using the available remaining funds. If

there is a tie score between two or more

applications, and there are insufficient

residual funds to cover all tied

applications, HUD Headquarters staff

will choose the winning application(s)

by lottery and/or reduction of grant

requests consistent with the instructions

above.

(5) Up to 3 applications will be

selected using the $7.5 million set-aside

to provide grant funds to nonprofit

applicants proposing to convert unused

or underutilized commercial property

into assisted living. HUD Multifamily

Hubs will review applications for

commercial properties for completeness

and compliance with the eligibility

criteria set forth in Section III of this

NOFA. Hub staff will forward

applications to Headquarters providing

the application was received by the

deadline date, meets all eligibility

criteria, proposes reasonable costs for

eligible activities, and includes all

technical corrections by the designated

deadline date. Headquarters will select

no more than 3 applications on a firstcome, first-served basis that can be

funded within the $7,500,000 available.

Since applications are due from

February 26, 2001, to June 21, 2001,

selections may be announced and

published in the Federal Register prior

to June 21, 2001.

Note: Only applications that can be fully

funded will be selected. If an application that

cannot be fully funded is selected, it will be

discarded and another application selected

until an applicant is selected that is within

the available remaining funds. Any

remaining funds after this selection process

will be returned to the funds allocated for

eligible multifamily assisted projects.

(F) Factors For Award Used To

Evaluate and Rate Applications. HUD

will rate ALCP applications that

successfully complete technical

processing using the Rating Factors set

forth below and in accordance with the

application submission requirements

identified in Section VI(B) of this

NOFA, below. The maximum number of

points an application may receive under

this program is 100.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Staff (15 Points)

This factor addresses your capacity to

carry out the conversion in a timely,

cost-conscious and effective manner. It

also reviews your experience with the

supportive services which the ALF

intends to provide to elderly residents,

especially in such areas as meals, 24-

hour staffing and on-site health care.

Submit information responding to this

factor in accordance with Application

Submission Requirements in Section

VI(B)(5)(a), (8)(h), and (2)(d) of this

NOFA.

In rating this factor, HUD will

consider the extent to which your

application demonstrates your ability to

carry out a successful conversion of the

project and to implement the plan to

deliver the supportive services on a-long

term basis, considering the following:

(1) (7 points) The practicality of your

plan and timetable to carry out the

physical conversion of the development

to the ALF.

(2) (8 points) Your past experience in

providing or arranging for supportive

services either on or off site for those

who are frail. (If you are applying to

convert an unused or underutilized

commercial facility to assisted living

and you do not own or operate a project

with frail elderly residents, you must

provide information on any past

experience in providing or arranging

supportive services for those who are

frail.) Examples are: Meals delivered to

apartment of resident or in a congregate

setting (1 point), arranging for or

providing personal care (2 points),

providing 24-hour staffing (1 point),

providing or making available on-site

preventive health care (2 points) and

other support services (1 point).

Rating Factor 2: Need/Extent of the

Problem (25 Points)

This factor addresses the extent to

which the conversion is needed by the

categories of elderly persons and

persons with disabilities that the ALF is

intended to serve (very low income

elderly persons and people with

disabilities who have limitations in

three or more activities of daily living).

The application must provide evidence

of current needs among project residents

(not applicable to applications

proposing to convert unused or

underutilized commercial facilities) and

needs of potential residents in the

housing market area for such persons

including economic and demographic

information on very-low income frail

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12347

elderly and people with disabilities and

information on current assisted living

resources in the market area.

The factor also addresses your

inability to fund the repairs or

conversion activities from existing

financial resources. In making this

determination, HUD will consider

project financial information or the

organization’s financial information for

unused or underutilized commercial

facilities. The Department will also

review more favorably those

applications which establish a

connection between the proposed ALF

and the community’s Analysis of

Impediments to Fair Housing Choice

(AI) or other planning document that

analyzes fair housing issues and is

prepared by a local planning or similar

organization. Submit information

responding to this factor in accordance

with Application Submission

Requirements in Section VI(B)(4)(a)

through (d), (2)(c) and (9)(a) through (c)

of the NOFA. In evaluating this factor,

HUD will consider:

(1) (10 points) The need for assisted

living among the elderly and disabled

residents of the project taking into

consideration those currently in need

and the depth of future needs given

aging in place. (Not applicable to

applications to convert unused or

underutilized commercial facilities to

assisted living).

(2) (5 points (15 points for

applications to convert unused or

underutilized commercial facilities to

assisted living.)) The need for assisted

living among very-low income elderly

persons and people with disabilities in

the housing market area.

(3) (10 points) Insufficient funding for

any needed conversion work, as

evidenced by the project’s financial

statements and specifically the lack of

excess reserve for replacement dollars

(R4R) and residual receipts. If the

available R4R and residual receipts are

less than 10% of the total funds

needed—10 points; if the available R4R

and residual receipts are 10–50% of

need = 5 points; and, if the available

R4R and residual receipts are 51% or

more of the total funds of needed = 0

points). For commercial properties, if

the available working capital exceeds 10

percent of the total conversion = 5

points; if the working capital is less than

10 percent of the total conversion = 10

points.

Rating Factor 3: Soundness of

Approach (25 Points)

This factor addresses the quality and

effectiveness of your proposal in

addressing the proposed conversion,

effectiveness of service coordination

and management planning and the

meals and supportive services which

the ALF intends to provide. There must

be a relationship between the proposed

activities, the project’s and the

community’s needs and purposes of the

program funding for your application to

receive points for this factor. Submit

information responding to this factor in

accordance with Application

Submission Requirements in Section

VI(B)(5)(b) through (e) and (h) and (7)

and (B)(8))(a) through (e) and (g) and (h)

of this NOFA.

In evaluating this factor, HUD will

consider the following:

(1) (7 points) The extent to which the

proposed ALF design will meet the

special physical needs of frail elderly

persons or persons with disabilities

expected to be served at reasonable cost

(consider the ALF design: meets needs

= 7 points; ALF design partially meets

needs = 3 points; and ALF design does

not meet needs = 0 points).

(2) (7 points) The extent to which the

ALF’s proposed management and

operational plan ensures that the

provision of both meals and supportive

services planned will be accomplished

over time. (Consider ALF design/

management plan: meets needs of

management operations = 7 points; ALF

design/management plan partially meets

needs of management operations = 3

points; and ALF design/management

plan does not meet needs of

management operations = 0 points.)

(3) (5 points) The extent to which the

proposed supportive services meet the

anticipated needs of the frail elderly and

disabled residents (consider Yes = 5

points; partially meets needs = 3 points;

and, does not meet needs = 0 points);

and

(4) (5 points) The extent to which the

service coordination function is

addressed and explained as onsite and

sufficient, onsite and augmented or

new, and addresses the ongoing

procurement of needed services for the

residents of the ALF (does meet = 5

points, partially meets = 3 points, does

not meet = 0 points).

(5) (1 point) The extent to which there

is an operating philosophy which

promotes the autonomy and

independence of the frail elderly

persons it is intended to serve (is fully

addressed = 1 point, no or not addressed

= 0 points).

Rating Factor 4: Leveraging Resources

(30 Points)

This factor addresses your ability to

secure other community resources

which can be combined with HUD’s

grant funds to achieve program

purposes. For the ALCP to succeed, you

MUST generate local funding for the

necessary supportive services to operate

the ALF. HUD also encourages local

funding for some of necessary

conversion work, or other work needed

in the project (e.g., general

modernization) which is NOT

specifically linked to the ALF).

Submit information responding to this

factor in accordance with Application

Submission Requirements in Section

VI(B)(5)(f), (g), and (B)(8)(f) of this

NOFA.

(1) (25 points) The extent to which

there are commitments for the funding

needed for the meals and the supportive

services planned for the ALF and that

the total cost of the estimated budget of

the ALF is covered. Consider 90% or

more commitment for the total budget

with no more than 10% general support

= 25 points; 80–89.9% or more

commitment for the total budget with no

more than 20% general support = 17

points; 65–79.9% firm commitment

with no more than 35% general support

= 12 points; 40–64.9% firm commitment

for the total budget with no more than

60% general commitment = 7 points;

less than 40% firm commitment for the

total budget with no more than 60%

general support = 0 points.

(2) (3 points) The extent of local

organizations’ support which is firmly

committed to providing at least 50

percent of the total cost of ALF

conversion (consider 50% or more = 3

points, 20–49.9% = 2 points, and under

20% = 0 points).

(3) (2 points) The extent of local

organizational support which is firmly

committed to providing funds for

additional repair or retrofit necessary for

the project NOT specifically directed to

activities eligible under this NOFA

(consider yes = 2 points, no = 0 points).

Rating Factor 5: Comprehensiveness

and Coordination (5 Points)

This factor addresses the extent to

which you have evidenced general

support for conversion by participating

in your community’s Consolidated

Planning Process, involving the

residents in the planning (not applicable

to applications proposing to convert

unused or underutilized commercial

facilities) and are working toward

addressing the need in a holistic and

comprehensive manner through

linkages with other activities in the

community. Submit information

responding to this factor in accordance

with Application Submission

Requirements in Section VI(B)(2)(a)

through (d) of this NOFA.

(1) (3 points) The involvement of

project residents (including minority

residents) or their representatives, in the

12348 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

development of the ALCP application,

and your intent to involve residents, in

the development and operation of the

project and in relocation planning

(Minus one (¥1) point if not addressed);

(If you are applying to convert an

unused or underutilized commercial

facility to assisted living, provide

information on the involvement of

elderly persons in the development of

the ALCP application, and your intent

to involve residents, in the development

and operation of the project.)

(2) (1 point) The extent to which you

demonstrated that you have been

actively involved (or if not currently

active, the steps you will take to become

actively involved) in your community’s

Consolidated Planning/AI processes to

identify and address a need/problem

that is related in whole or part, directly

or indirectly to the proposed project;

(3) (1 point) The extent to which you

developed linkages with the community

at large and the elderly and minority

communities in particular and with

other activities, programs or projects

related to the proposed project to

coordinate your activities so solutions

are holistic and comprehensive.

VI. Application Submission

Requirements

(A) Application—General. Your

application must include all of the

information, materials, forms, and

exhibits listed in Section VI(B). In cases

where your (i) articles of incorporation

and (ii) by-laws have NOT changed

since the project was originally

approved by HUD, self-certification to

that effect—that the documents on file

with HUD are current—is sufficient.

Items in Section VI(B) for which selfcertification of currency is possible are

denoted by a ‘‘**’’.

In addition to the relief of paperwork

burden in preparing applications, you

will not have to submit certain new/

recent information and exhibits you

have previously prepared. See

individual item descriptions, below to

identify such items. An example of such

an item may be the FY 2000 Annual

Financial Statement.

(B) General Application

Requirements.

(1) Application Summary for the

Assisted Living Conversion Program

and Evidence that you are a private nonprofit organization or nonprofit

consumer cooperative and have the

legal ability to operate an ALF program,

per the following:

(a) Articles of Incorporation,

constitution, or other organizational

documents, or self-certification of these

documents, if there has been no change

in the Articles since they were

originally filed with HUD;**

(b) By-laws, (for non-profits) or selfcertification of by-laws, if there has been

no change in the by-laws since they

were originally filed with HUD;**

(2) A description of your community

ties and established linkages.

(a) A description of your links to the

community at large and to the minority

and elderly communities in particular;

and

(b) A description of your efforts to

involve elderly persons, including

minority elderly persons and persons

with disabilities in:

(i) The development of the

application,

(ii) The development of the ALF

operating philosophy,

(iii) Review of the application prior to

submission to HUD; and

(iv) Your intent to involve elderly

persons in the operation of the project

or not.

Also, demonstrate that you made the

application available to the residents of

the project (in their language(s)) AND

requested and considered comments

from them (in their language(s)).

Applicants of converted commercial

facilities should indicate that the

application will be made available to

the residents of the project in their

language(s) and will request and

consider comments from them in their

language(s).

(c) A description of your involvement

in your community’s Consolidated

Planning and Analysis of Impediments

to Fair Housing (AI) processes

including:

(i) An identification of the lead/

facilitating agency(ies) that organizes/

administers the processes;

(ii) A listing of the Consolidated Plan/

AI issue areas in which you participate;

(iii) The level of your participation in

the processes, including active

involvement with any neighborhoodbased organizations, associations, or any

committees that support programs and

activities that enhance projects or the

lives of residents of the projects, such as

the one proposed in your application.

If you are not currently active,

describe the specific steps you will take

to become active in the Consolidated

Planning and AI processes. (Consult the

local HUD Office for the identification

of the Consolidated Plan community

process for the appropriate area.)

(d) A description of the linkages that

you have developed with other related

activities, programs or projects in order

that the development of the project

provides a comprehensive and holistic

solution to the needs of the target

population.

(3) Evidence of your project being in

occupancy for at least five years as of

the date of application to HUD. (Not

applicable to commercial facilities)

(4) A market analysis of the need for

the proposed ALF units, including

information from both the project and

the housing market, containing:

(a) Evidence of need for the ALF by

current project residents: (Not

applicable to commercial facilities)

(i) A description of the demographic

characteristics of the elderly residents

currently living in the project, including

the current number of residents,

distribution of residents by age and sex,

an estimate of the number of residents

with frailties/limitations in activities of

daily living and an estimate of the

number of residents in need of assisted

living services. (Not applicable to

commercial facilities)

(ii) A description of the services

which are currently available to the

residents and/or provided on or off-site

and what services are lacking; (Not

applicable to commercial facilities)

(b) Evidence of the need for ALF units

by very low income elderly and

disabled households in the market area;

a description of the trend in elderly and

disabled population and household

change; data on the demographic

characteristics of the very low income

elderly in need of assisted living

services (age, race, sex, household size

and tenure) and extent of residents with

frailty/limitations in existed federallyassisted housing for the elderly (HUD

and Rural Housing Service): and an

estimate of the very low income elderly

and disabled in need of assisted living

taking into consideration any available

State or local data.

(c) A description of the extent, types

and availability and cost of alternate

care and services locally, such as: home

health care, adult day care,

housekeeping services, meals programs,

visiting nurses, on-call transportation

services, health care and providers of

supportive services who address the

needs of the local low income

population.

(d) A description of how information

in the community’s Analysis of

Impediments to Fair Housing Choice

was used in documenting the need for

the ALF (covering items in Section

VI(B)(4)(a) and (b) of this NOFA).

(5) A description of the physical ALF

conversion, including the following:

(a) How you propose to carry out the

physical conversion (including a

timetable and relocation planning).

(b) A short narrative stating the

number of units, special design features,

community and office space/storage,

dining and kitchen facility and staff

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12349

space and the physical relationship to

the rest of the project. Also, you must

describe how this design will facilitate

the delivery of services in an

economical fashion and accommodate

the changing needs of the residents over

at least the next 10 years.

(c) A copy of the original plans for all

units and other areas of the

development which will be included in

the conversion. (If you are applying to

convert an unused or underutilized

commercial facility to assisted living,

provide a copy of the original plans of

the facility).

(d) A description of the conversion

must clearly address the following

accessibility issues: All door openings

must have a minimum clear opening of

32′′; and, all bathrooms and kitchens

must be accessible to and functional for

persons in wheelchairs, according to the

‘‘Uniform Federal Accessibility

Standards.’’

(e) Architectural sketches of the

conversion to a scale of 1⁄4 inch to one

foot (1⁄4′′ = 1′–0′′) that indicate the

following:

(i) All doors being widened;

(ii) Typical kitchen and bathroom

reconfiguration: show all wheelchair

clearances, wall reinforcing, grab bars

and elevations of counters and work

surfaces;

(iii) Bedroom/living/dining area

modification, if needed;

(iv) Any reconfigured common space;

(v) Added/reconfigured office and

storage space;

(vi) Monitoring stations, and

(vii) The kitchen and dining facility.

All architectural modifications must

meet section 504 and ADA requirements

as appropriate.

(f) A budget showing at least

estimated costs for materials, supplies,

fixtures and labor for each of the items

listed in Section VI(B)(5)(e), items i

through vii, above.

(g) Include firm commitment letters

with specific dollar amounts from

appropriate organization(s) for

conversion needs (within the scope of

the ALF conversion NOFA) which will

be supported by non-HUD funding.

(h) A description of any relocation of

current tenants including a statement

that: (Not applicable to commercial

property applicants)

(i) Indicates the estimated cost of

temporary relocation payments and

other related services.

(ii) Identifies the staff organization

that will carry out the relocation

activities; and

(iii) Identifies all tenants that will

have to be temporarily moved to another

unit within the development OR from

the development during the period that

the physical conversion of the project is

under way.

Note: If any of the relocation costs will be

funded from sources other than the ALCP

grant, you must provide evidence of a firm

commitment of these funds. When evaluating

applications, HUD will consider the total cost

of proposals (i.e., cost of conversion,

temporary relocation, service coordinator and

other project costs).

(6) A description of any retrofit or

renovation which will be done at the

project (with third party funds) that is

separate and distinct from the ALF

conversion. With such description,

attach firm commitment letters from

third party organizations in specific

dollar amounts which will cover the

cost of any work outside the scope of

this NOFA.

(7) Evidence of permissive zoning,

showing that the modifications to

include the ALF into the project as

proposed are permissible under

applicable zoning ordinances or

regulations, or a statement of the

proposed action required to make the

proposed project permissible and the

basis for your belief that the proposed

action will be completed successfully

within six months of the date of grant

award by HUD. e.g., a summary of the

results of any requests for rezoning and/

or the procedures for obtaining special

or conditional use permits on land in

similar zoning classifications and the

time required for such rezoning, or

preliminary indications of acceptability

from zoning bodies, etc.);

(8) A supportive services plan (SSP),

a copy of which must be submitted to

the appropriate state and/or local

agency as instructed in Section IV(B) of

this NOFA. For those applicants

needing to contact state Medicaid

offices, a list is provided on the Internet

at ‘‘www.hcfa.gov/medicaid/

scon1.htm’’. The fifth character from the

end is the numeral ‘‘1’’, not the letter

‘‘l’’. The SSP must include:

(a) A description of the supportive

services needed for the frail elderly the

ALF is expected to serve. This must

include at least (i) meals and such other

supportive services required locally or

by the State, and (ii) such optional

services or care to be offered on an ‘‘as

needed’’ basis.

Examples of both mandatory and

optional services (which will vary from

state to state) are: two meals and two

snacks or three meals daily; 24-hour

protective oversight; personal care;

housekeeping services; personal

counseling and transportation.

(b) A description of how you will

provide the supportive services to those

who are frail and have disabilities (i.e.,

on or off-site or combination of on or

off-site), including an explanation of

how the service coordination role will

facilitate the adequate provision of such

services to ALF residents, and how the

services will meet the identified needs

of the residents. Also indicate how you

intend to fund the service coordinator

role.

(c) A description of how the operation

of your ALF will work. Address (i)

general operating procedures, (ii) ALF

philosophy and how it will promote the

autonomy and independence of the frail

elderly and persons with disabilities,

(iii) what will the service coordination

function will do and the extent to which

this function already exists, or will be

augmented or new, (iv) ALF staff

training plans, and (v) the degree to

which and how the ALF will relate to

the day-to-day operations of the rest of

the project.

(d) The monthly individual rate for

board and supportive services for the

ALF listing the total fee and

components of the total fee for the items

required by State or local licensing AND

list the appropriate rate for any optional

services you plan to offer to the ALF

residents. Provide an estimate of the

total annual costs of the required board

and supportive services you expect to

provide and an estimate of the amount

of optional services you expect to

provide.

(e) List who will pay for the board and

supportive services, e.g., $llfor meals

by sponsor, $ll for housekeeping

services by city government; $ll for

personal care by State Department of

Health; $ll for ll by state ll

program; $ll in fees by tenants; and,

$ll byll.

The amounts and commitments from

both tenants and/or providers must

equal the estimated amounts necessary

to cover the monthly rates for the

number of people expected to be served.

If you include tenant fees in the

proposal, list and show any proposed

scaling mechanism. All amounts

committed/collected must equal the

annualized cost of the monthly rates

calculated by the expected percentage of

units filled.

(f) A support/commitment letter from

EACH listed proposed funding source

per paragraph (e), above, for the planned

meals and supportive services listed in

the application. The letter must cover

the total planned annual commitment

(and multiyear amount total, if

different), length of time for the

commitment, and the amounts payable

for each service covered by the

provider/paying organization. There

must be a letter from EACH

participating organization listed in

Section VI(B)(8)(e) of this NOFA, above.

12350 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(g) A support letter from EACH

governmental agency(ies) which

provides licensing for ALFs in that

jurisdiction.

(h) A description of your relevant

experience in arranging for and/or

delivering supportive services to frail

residents. (If you are applying to convert

an unused to underutilized commercial

facility to assisted living, provide

information on your relevant experience

in arranging for and/or delivering

supportive services to frail elderly

persons). The description should

include any supportive services

facilities owned/operated; your past or

current involvement in any projectbased programs that demonstrates your

management capabilities. The

description should include data on the

facilities and specific meals and/or

supportive services provided on a

regular basis, the racial/ethnic

composition of the populations served,

if available, and information and

testimonials from residents or

community leaders on the quality of the

services.

Note: If a funds request for service

coordination for the ALF and/or the whole

project is included as part of this application,

the Form HUD–424M, indicating the dollars

requested must be attached as Exhibit 10(c).

Do NOT attach the whole service coordinator

application.

(9) A description of your project’s

resources: (Not applicable to applicants

of commercial property—(9)(a)–(b))

(a) A copy of the most recent project

Repair and Replacement (R4R) account

statement, and an R4R analysis showing

plans for its use over the next five years,

and any approvals received from the

HUD field office to date

(b) A copy of the most recent Residual

Receipts Account statement. Indicate

any approvals for the use of such

receipts from the field office for over

$500/unit.

(c) Annual Financial Statement (AFS).

If your FY 2001 AFS was due to REAC

more than 120 days BEFORE the due

date June 21, 2001 for this application,

in the interest of reducing work burden,

only include the date that it was sent to

REAC. If the AFS was due to REAC 120

days or less from the due date (June 21,

2001) of this application, you MUST

include a paper copy. For commercial

properties, the most recent financial

statement or annual report.

(10) Forms, Certifications and

Resolutions. The following exhibits,

forms, certifications and assurances are

required:

(a) Standard Form 424, Application

for Federal Assistance and indication of

whether you are delinquent on any

federal debt.

(b) Standard Form 424D, Assurances,

Construction Programs 

(c) Form HUD–424M, Federal

Assistance Funding Matrix. 

(d) Form HUD–50070, Drug-free

Workplace. Certification to provide a

drug-free workplace.

(e) Form HUD–50071, Payments to

Influence Federal Transactions and

Standard Form-LLL, Disclosure of

Lobbying Activities. Certification of

whether any of the funds received will

be used to influence any federal

transactions and disclosure of these

activities, if applicable.

(f) Form HUD–2880, Applicant/

Recipient Disclosure/Update Report,

including Social Security and

Employment Identification numbers. A

disclosure of assistance from other

government sources received in

connection with the project.

(g) Certification Regarding Debarment

and Suspension (HUD–2992) (24 CFR

24.510). 

(h) Form HUD–2991, Certification of

Consistency with the Consolidated Plan

(Plan), for the jurisdiction in which the

proposed ALF will be located. The

certification must be made by the unit

of general local government if it is

required to have, or has, a complete

Plan. Otherwise, the certification may

be made by the State, or by the unit of

general local government if the project

will be located within the jurisdiction of

the unit of general local government

authorized to use an abbreviated

strategy, and if it is willing to prepare

such a Plan.

All certifications must be made by the

public official responsible for

submitting the plan to HUD. The

certifications must be submitted as part

of the application by the application

submission deadline date set forth

herein. The Plan regulations are

published in 24 CFR part 91.

(i) Executive Order 12372

Certification. A certification that you

have submitted a copy of your

application, if required, to the State

agency (single point of contact) for State

review in accordance with Executive

order 12372.

(j) Certification of Residual Receipts

Account. If you do not have an existing

residual receipts account you must

agree to set up one as soon as there is

surplus cash available, as a condition of

getting this grant award.

(k) A certified Board Resolution that

no officer or director of the Owner has

or will have any financial interest in any

contract with the Owner or in any firm

or corporation that has or will have a

contract with the Owner, including a

current listing of all duly qualified and

sitting officers and directors by title, and

the beginning and ending dates of each

person’s term.

(l) Certification for ALF. Certification

that you agree to apply for an ALF

license with due diligence and in a

timely fashion (and that the conversion

will NOT be a nursing home or an

Intermediate Care facility).

(m) Owner’s Combined Certifications. 

(i) A certification of compliance with

the requirements of the Fair Housing

Act, Title VI of the Civil Rights Act, the

Age Discrimination Act of 1975, Section

3 of the Housing and Urban

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

1701u) and the implementing

regulations at 24 CFR part 135, the

affirmative fair housing marketing

requirements of 24 CFR part 200,

subpart M and the implementing

regulations at 24 CFR part 108, and

other applicable Federal, State and local

laws prohibiting discrimination and

promoting equal opportunity including

affirmatively furthering fair housing,

and other certifications listed in the

application.

(ii) Certification of Compliance with

section 232 of the National Housing Act,

as applicable, the Uniform Federal

Accessibility Standards (24 CFR 40.7),

section 504 of the Rehabilitation Act of

1973 and HUD’s implementing

regulations at 24 CFR part 8, and the

design and construction requirements of

the Fair Housing Act and HUD’s

implementing regulations at 24 CFR part

100, and the Americans with

Disabilities Act of 1990 for all portions

of the development physically affected

by this proposal;

(iii) Davis-Bacon. Certification of

compliance with the Davis-Bacon

requirements and the Contract Work

Hours and Safety Standards Act as

applied to this program. While it has

been determined that Davis-Bacon does

not apply statutorily to the ALCP, the

Department has administratively

determined that Davis-Bacon standards

and overtime rates in accordance with

the Contract Work Hours and Safety

Standards Act will be adhered to in any

ALCP conversion grant in which the

total cost of the physical conversion to

an ALF (and including any additional

renovation work undertaken at the same

time) is $500,000 or more (this includes

ALCP grant funds, owner funds, or any

third party funds loaned or granted in

support of the conversion or other

renovation for the project associated

with this grant), AND in which the ALF

portion of the project is 12 units or

more.

VII. Environmental Requirements

Your ALCP application is subject to

the National Environmental Policy Act

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12351

of 1969 and applicable related Federal

environmental authorities. (See 24 CFR

part 50, as applicable.) An

environmental review will be completed

by HUD before the award of any grant

under this program. Pursuant to 24 CFR

Part 55, ALCP projects are critical

actions for purposes of floodplain

management review.

VIII. Authority

The Assisted Living Conversion

Program is authorized by Title V,

section 522 of the FY 2000 Departments

of Veteran’s Affairs, HUD and

Independent Agencies Appropriations

Act, 2000 (12 U.S.C. 1701q–2).

Appendix A.—HUD Field Office List for

Mailing Assisted Living Conversion

Program Applications

HUD—Boston Hub

Boston Office

Room 301, Thomas P. O’Neill, Jr. Federal

Building, 10 Causeway Street, Boston, MA

02222–1092, (617) 565–5234, TTY

Number: (617) 565–5453

HUD—New York Hub

New York Office

26 Federal Plaza—32nd Floor, New York, NY

10278–0068, (212) 264–8000, TTY

Number: (212) 264–0927

HUD—Buffalo Hub

Buffalo Office

Fifth Floor, Lafayette Court, 465 Main Street,

Buffalo, NY 14203–1780, (716) 551–5755,

TTY Number: (716) 551–5787

HUD—Philadelphia Hub

Philadelphia Office

The Wanamaker Building, 100 Penn Square

East, Philadelphia, PA 19107–3380, (215)

656–0600, TTY Number: (215) 656–3452

HUD—Baltimore Hub

Baltimore Office

Fifth Floor, City Crescent Building, 10 South

Howard Street, Baltimore, MD 21201–2505,

(410) 962–2520, TTY Number: (410) 962–

0106

HUD—Greensboro Hub

Greensboro Office

Koger Building, 2306 West Meadowview

Road, Greensboro, NC 27407–3707, (336)

547–4000, TTY Number: (336) 547–4055

HUD—Atlanta Hub

Atlanta Office

40 Marietta Street—Five Points Plaza,

Atlanta, GA 30303–2806, (404) 331–5001,

TTY Number: (404) 730–2654

HUD—Jacksonville Hub

Jacksonville Office

Suite 2200, Southern Bell Tower, 301 West

Bay Street, Jacksonville, FL 32202–5121,

(904) 232–2626, TTY Number: (904) 232–

2631

HUD—Chicago Hub

Chicago Office

Ralph H. Metcalfe Federal Building, 77 West

Jackson Boulevard, Chicago, IL 60604–

3507, (312) 353–5680, TTY Number: (312)

353–5944

HUD—Detroit Hub

Detroit Office

Patrick V. McNamara Federal Building, 477

Michigan Avenue—17th Floor, Detroit, MI

48226–2592, (313) 226–7900, TTY

Number: (313) 226–6899

HUD—Columbus Hub

Columbus Office

200 North High Street, 7th Floor, Columbus,

OH 43215–2499, (614) 469–5737, TTY

Number: (614) 469–6694

HUD—Minneapolis Hub

Minneapolis Office

220 Second Street, South, Minneapolis, MN

55401–2195, (612) 370–3000, TTY

Number: (612) 370–3186

HUD—Ft. Worth Hub

Ft. Worth Office

801 N. Cherry Street, P.O. Box 2905, Fort

Worth, TX 76113–2905, (817) 978–9000,

TTY Number: (817) 978–9273

HUD—Kansas City Hub

Kansas City Office

Room 200, Gateway Tower II, 400 State

Avenue, Kansas City, KS 66101–2406,

(913) 551–5462, TTY Number: (913) 551–

6972

HUD—Denver Hub

Denver Office

633 17th Street, Denver, CO 80202–3607,

(303) 672–5440, TTY Number: (303) 672–

5248

HUD—San Francisco Hub

San Francisco Office

Philip Burton Federal Building and U.S.

Courthouse, 450 Golden Gate Avenue, P.O.

Box 36003, San Francisco, CA 94102–3448,

(415) 436–6550, TTY Number: (415) 436–

6594

HUD—Los Angeles Hub

Los Angeles Office

611 West 6th Street, Suite 800, Los Angeles,

CA 90017–3106, (213) 894–8000, TTY

Number: (213) 894–8133

HUD—Seattle Hub

Seattle Office

Seattle Federal Office Building, 909 1st

Avenue, Suite 200, Seattle, WA 98104–

1000, (206) 220–5101, TTY Number: (206)

220–5185

Note: The first line of the mailing address

for all offices is the U.S. Department of

Housing and Urban Development. Telephone

numbers listed are not toll free.

Appendix B

HUD—Boston Hub

Hartford Office

One Corporate Center, 19th Floor, Hartford,

CT 06103–3220, (860) 240–4800, TTY

Number: (860) 240–4665

Boston Office

Room 375, Thomas P. O’Neill, Jr. Federal

Building, 10 Causeway Street, Boston, MA

02222–1092, (617) 565–5234, TTY

Number: (617) 565–5453

Manchester Office

Norris Cotton Federal Building, 275 Chestnut

Street, Manchester, NH 03101–2487, (603)

666–7681, TTY Number: (603) 666–7518

Providence Office

Sixth Floor, 10 Weybosset Street, Providence,

RI 02903–2808, (401) 528–5230, TTY

Number: (401) 528–5403

HUD—New York Hub

New York Office

26 Federal Plaza, New York, NY 10278–0068,

(212) 264–8000, TTY Number: (212) 264–

0927

HUD—Buffalo Hub

Buffalo Office

Fifth Floor, Lafayette Court, 465 Main Street,

Buffalo, NY 14203–1780, (716) 551–5755,

TTY Number: (716) 551–5787

HUD—Philadelphia Hub

Philadelphia Office

The Wanamaker Building, 100 Penn Square

East, Philadelphia, PA 19107–3380, (215)

656–0600, TTY Number: (215) 656–3452

Charleston Office

Suite 708, 405 Capitol Street, Charleston, WV

25301–1795, (304) 347–7000, TTY

Number: (304) 347–5332

Newark Office

Thirteenth Floor, One Newark Center,

Newark, NJ 07102–5260, (973) 622–7900,

TTY Number: (973) 645–3298

Pittsburgh Office

339 Sixth Avenue, Sixth Floor, Pittsburgh,

PA 15222–2515, (412) 644–6428, TTY

Number: (412) 644–5747

HUD—Baltimore Hub

Baltimore Office

Fifth Floor, City Crescent Building, 10 South

Howard Street, Baltimore, MD 21201–2505,

(410) 962–2520, TTY Number: (410) 962–

0106

Washington, DC Office

820 First Street, NE, Suite 300, Washington,

D.C. 20002–4205, (202) 275–9200, TTY

Number: (202) 275–0772

Richmond Office

The 3600 Centre, 3600 West Broad Street,

Richmond, VA 23230–4920, (804) 278–

4500, TTY Number: (804) 278–4501

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HUD—Greensboro Hub

Greensboro Office

Koger Building, 2306 West Meadowview

Road, Greensboro, NC 27407–3707, (336)

547–4000, TTY Number: (336) 547–4055

Columbia Office

Strom Thurmond Federal Building, 1835–45

Assembly Street, Columbia, SC 29201–

2480, (803) 765–5592, TTY Number: (803)

253–3071

HUD—Atlanta Hub

Atlanta Office

Richard B. Russell Federal Building, 75

Spring Street, S.W., Suite 600, 40 Marietta

Street—Five Points Plaza, Atlanta, GA

30303–3388 2806, (404) 331–5136 5001,

TTY Number: (404) 730–2654

San Juan Office

Edificio Administracion de Terrenos, 171

Carlos Chardon Avenue, Suite 301, San

Juan, PR 00918–0903, (787) 766–5400, TTY

Number: (787) 776–5609

Louisville Office

601 West Broadway, P.O. Box 1044,

Louisville, KY 40201–1044, (502) 582–

5251, TTY Number: 1–800–648–6056

Knoxville Office

Third Floor, John J. Duncan Federal Building,

710 Locust Street, Knoxville, TN 37902–

2526, (423) 545–4384, TTY Number: (423)

545–4559

Nashville Office

Suite 200, 251 Cumberland Bend, Nashville,

TN 37228–1803, (615) 736–5213, TTY

Number: (615) 736–2886

HUD—Jacksonville Hub

Jacksonville Office

Suite 2200, Southern Bell Tower, 301 West

Bay Street, Jacksonville, FL 32202–5121,

(904) 232–2626, TTY Number: (904) 232–

2631

Birmingham Office

Suite 300, Beacon Ridge Tower, 600 Beacon

Parkway, West, Birmingham, AL 35209–

3144, (205) 290–7617, TTY Number: (205)

290–7624

Jackson Office

Suite 910, Doctor A.H. McCoy Federal

Building, 100 West Capitol Street, Jackson,

MS 39269–1096, (601) 965–4700, TTY

Number: (601) 965–4171

HUD—Chicago Hub

Chicago Office

Ralph H. Metcalfe Federal Building, 77 West

Jackson Boulevard, Chicago, IL 60604–

3507, (312) 353–5680, TTY Number: (312)

353–5944

Indianapolis Office

151 North Delaware Street, Indianapolis, IN

46204–2526, (317) 226–6303, TTY

Number: (317) 226–7081

HUD—Detroit Hub

Detroit Office

Patrick V. McNamara Federal Building, 477

Michigan Avenue, Detroit, MI 48226–2592,

(313) 226–7900, TTY Number: (313) 226–

6899

Grand Rapids Office

Trade Center Building, 50 Louis Street, NW,

Third Floor, Grand Rapids, MI 49503–

2648, (616) 456–2100, TTY Number: (616)

456–2159

HUD—Columbus Hub

Columbus Office

200 North High Street, 7th Floor, Columbus,

OH 43215–2499, (614) 469–5737, TTY

Number: (614) 469–6694

Cleveland Office

Renaissance Building, 1350 Euclid Avenue,

Suite 500, Cleveland, OH 44115–1815,

(216) 522–4058, TTY Number: (216) 522–

2261

HUD—Minneapolis Hub

Minneapolis Office

220 Second Street, South, Minneapolis, MN

55401–2195, (612) 370–3000, TTY

Number: (612) 370–3186

Milwaukee Office

Suite 1380, Henry S. Reuss Federal Plaza,

310 West Wisconsin Avenue, Milwaukee,

WI 53203–2289, (414) 297–3214, TTY

Number: (414) 297–1423

HUD—Ft. Worth Hub

Little Rock Office

Suite 900, TCBY Tower, 425 West Capitol

Avenue, Little Rock, AR 72201–3488, (501)

324–5931, TTY Number: (501) 324–5931

New Orleans Office

Ninth Floor, Hale Boggs Federal Building,

501 Magazine Street, New Orleans, LA

70130–3099, (504) 589–7200, TTY

Number: (504) 589–7279

Ft. Worth Office

801 N. Cherry Street, P.O. Box 2905, Fort

Worth, TX 76113–2905, (817) 978–9000,

TTY Number: (817) 978–9273

Houston Office

Suite 200, Norfolk Tower, 2211 Norfolk,

Houston, TX 77098–4096, (713) 313–2274,

TTY Number: (713) 834–3274

San Antonio Office

Washington Square, 800 Dolorosa Street, San

Antonio, TX 78207–4563, (210) 475–6800,

TTY Number: (210) 475–6885

HUD—Great Plains

Des Moines Office

Room 239, Federal Building, 210 Walnut

Street, Des Moines, IA 50309–2155, (515)

284–4512, TTY Number: (515) 284–4728

Kansas City Office

Room 200, Gateway Tower II, 400 State

Avenue, Kansas City, KS 66101–2406,

(913) 551–5462, TTY Number: (913) 551–

6972

Omaha Office

Executive Tower Centre, 10909 Mill Valley

Road, Omaha, NE 68154–3955, (402) 492–

3100, TTY Number: (402) 492–3183

Saint Louis Office

Third Floor, Robert A. Young Federal

Building, 1222 Spruce Street, St. Louis,

MO 63103–2836, (314) 539–6583, TTY

Number: (314) 539–6331

Oklahoma City Office

500 West Main Street, Suite 400, Oklahoma

City, OK 73102–2233, (405) 553–7401, TTY

Number: 1–800–877–8339

HUD—Denver Hub

Denver Office

633 17th Street, Denver, CO 80202–3607,

(303) 672–5440, TTY Number: (303) 672–

5248

HUD—San Francisco Hub

Phoenix Office

Suite 1600, Two Arizona Center, 400 North

5th Street, Phoenix, AZ 85004–2361, (602)

379–4434, TTY Number: (602) 379–4464

San Francisco Office

Philip Burton Federal Building and U.S.

Courthouse, 450 Golden Gate Avenue, P.O.

Box 36003, San Francisco, CA 94102–3448,

(415) 436–6550, TTY Number: (415) 436–

6594

Honolulu Office

Suite 500, 7 Waterfront Plaza, 500 Ala Moana

Boulevard, Honolulu, HI 96813–4918,

(808) 522–8185, TTY Number: (808) 522–

8193

HUD—Los Angeles Hub

Los Angeles Office

611 West 6th Street, Suite 800, Los Angeles,

CA 90017–3106, (213) 894–8000, TTY

Number: (213) 894–8133

HUD—Seattle Hub

Portland Office

400 Southwest Sixth Avenue, Suite 700,

Portland, OR 97204–1632, (503) 326–2561,

TTY Number: (503) 326–3656

Note: The first line of the mailing address

for all offices is the U. S. Department of

Housing and Urban Development. Telephone

numbers listed are not toll free.

Appendix C

The non-standard forms required for the

ALCP application.

BILLING CODE 4210–32–P

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FUNDING AVAILABILITY FOR

SERVICE COORDINATORS IN

MULTIFAMILY HOUSING

Program Overview

Purpose of the Program. The purpose

of this Service Coordinator program is to

allow multifamily housing owners to

assist elderly individuals and people

with disabilities living in HUD-assisted

housing and in the surrounding area to

obtain needed supportive services from

the community, in order to enable them

to continue living as independently as

possible in their own homes.

Available Funds. Approximately

$24.2 million.

Eligible Applicants. Only owners of

eligible developments may apply for

and become the recipient of grant funds.

Property management companies may

administer grant programs but are not

eligible applicants. See Section III for

more detailed eligibility criteria.

Application Deadline: June 21, 2001.

Match. None.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application (an original and

two copies) is due on or before 6:00 pm,

local time, on June 21, 2001 at the

address shown below.

See the General Section of this

SuperNOFA for specific procedures

concerning the form of application

submission (e.g., mailed applications,

express mail, overnight delivery, or

hand carried).

Addresses for Submitting

Applications. Appendix A to this

program section contains a list of HUD

Field Offices where you must send your

application by the deadline. Please

address your application to the Director,

Multifamily Housing Hub or Program

Center in your local HUD Field Office.

You should not submit any copies of

your application to HUD Headquarters.

For Application Kits. For an

application kit, please call the

SuperNOFA Information Center at 1–

800–HUD–8929. If you have a hearing or

speech impairment, please call the

Center’s TTY number at 1–800–HUD–

2209. When requesting an application

kit, please refer to the Multifamily

Housing Service Coordinator Program

and provide your name, address

(including zip code) and telephone

number (including area code). An

application kit also will be available on

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

grants.

For Further Information and

Technical Assistance. You may contact

your local HUD Field Office staff for

questions you have regarding this

program section of the SuperNOFA and

your application kit. Please contact the

Multifamily Housing Resident

Initiatives Specialist or Service

Coordinator contact person in your local

Office. If you are an owner of a Section

515 development, contact the

Multifamily HUB or Multifamily

Program Center in the HUD Field Office

that normally provides asset

management to that development. If you

have a question that the Field staff are

unable to answer, please call Carissa

Janis, Housing Project Manager, Office

of Housing Assistance and Grants

Administration, Department of Housing

and Urban Development, 451 Seventh

Street, SW, Room 6146, Washington, DC

20410; (202) 708–2866, extension 2487.

(This number is not toll free). If you are

hearing or speech impaired, you may

access this number via TTY by calling

the Federal Information Relay Service at

1–800–877–8339.

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of the

application. For more information about

the date and time of the broadcast, you

should consult the HUD web site at

http://www.hud.gov/grants.

II. Amount Allocated

(A) Available Funding. This NOFA

makes available approximately $ 24.2

million in Fiscal Year (FY) 2001 funding

from the $50 million provided in the

Housing for Special Populations

account in the Departments of Veterans

Affairs and Housing and Urban

Development, and Independent

Agencies Appropriations Act, 2001

(Pub.L. 106–377, 114 Stat. 1441,

approved October 27, 2000).

The amount of available funds has

decreased from last year, due to an

additional funding action required to

correct a HUD error in processing FY

2000 applications. Ten eligible

applications submitted to the Denver

Multifamily Hub Office were not

included in HUD Headquarters’ final

database of FY 2000 eligible

applications. Had they been correctly

included, they would have been

selected to receive an award. To correct

this error, HUD will fund the following

ten applications from the current

allocation, prior to making new awards:

Recipient name Development name City, State Grant amt.

The Salvation Army, a California Corporation ....... The Salvation Army Westminster ......

Adams Silvercrest

Denver, CO ........................................ $56,427

Redi Corporation .................................................... Redi II-V ............................................. Denver, CO ........................................ 113,709

Sage Tower Retirement Apartments ...................... Sage Tower Retirement Apartments Billings, MT ........................................ 43,566

Skyline Lodge, Inc .................................................. Skyline Lodge .................................... Choteau , MT ..................................... 62,603

Missoula Manor Homes ......................................... Missoula Manor Homes ..................... Missoula, MT ...................................... 103,055

Denver Metro Village, Inc ....................................... Metro Manor ....................................... Denver, CO ........................................ 146,430

Martha’s Terrace Housing Corporation .................. Martha’s Terrace Apartments ............ Magna, UT ......................................... 39,262

Multi-Ethnic East Housing Corporation .................. Preston Place ..................................... Salt Lake City, UT .............................. 72,914

Multi-Ethnic East Housing Corporation .................. Multi-Ethnic Senior Citizen Housing .. Salt Lake City, UT .............................. 112,175

Converse County Senior Housing, Inc ................... Payne Plaza ....................................... Douglas , WY ..................................... 44,308

Total ................................................................ ............................................................ ............................................................ 794,449

HUD will use the remaining $25

million appropriated this year to

provide one-year extensions to expiring

Service Coordinator and Congregate

Housing Services Program grants.

HUD will first fund Service

Coordinator costs in applications

selected to receive an Assisted Living

Conversion Program (ALCP) grant

award. The Department estimates that

approximately $5 million will be

needed to fund these programs. The

actual amount will be based upon

demand and the number of applications

that meet threshold criteria in both the

ALCP and Service Coordinator

programs. HUD will set-aside the

12364 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

requested amount of ALCP/Service

Coordinator funds prior to conducting

the national lottery. Any funds not used

for ALCP Service Coordinator programs

will revert to the lottery to fund all other

eligible applications submitted under

this NOFA.

In FY 2000, HUD awarded 259 grants

for a total of $28,374,263. Three of the

259 grants were awarded to ALCP grant

recipients, for a total of $504,931.

(B) Maximum Grant Award. There is

no maximum grant amount. The grant

amount you request must be consistent

with the staffing guidelines provided in

the application kit and your proposed

salary must be supported by evidence of

comparable salaries in your area.

(C) Reduction of Requested Grant

Amounts. You may be awarded an

amount less than requested if:

(1) HUD determines that some

elements of your proposed action plan

are ineligible for funding;

(2) Insufficient amounts remain under

the allocation to fund the full amount

you requested, and HUD determines

that partial funding is a viable option;

or

(3) HUD determines that a reduced

grant would prevent duplicative Federal

funding.

(D) Alternative Funding for Service

Coordinators. Owners may request

processing under Housing’s

Management Agent Handbook 4381.5,

REVISION–2, CHANGE–2, Chapter 8.

This Handbook provides procedures for

requesting funding for a coordinator

using residual receipts, the budgetbased rent increase process, contract

rents adjusted by the Annual

Adjustment Factor (AAF) or the Project

Rental Assistance Contract (PRAC).

Section 8 approvals must be consistent

with current policy. Your local HUD

Field Office staff may approve budgetbased funding for a Service Coordinator

at any time, as long as available funds

in your budget allow for this increase.

You are not required to apply for these

grant funds prior to seeking budgetbased funding for a Service Coordinator.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. The Service

Coordinator Program provides funding

for the employment and support of

service coordinators in insured and

assisted housing developments that are

designed for the elderly and persons

with disabilities and continue to operate

as such. Service coordinators help

residents obtain supportive services

from the community that are needed to

enable independent living and aging in

place.

A service coordinator is a social

service staff person hired or contracted

by the development’s owner or

management company. The coordinator

is responsible for assuring that elderly

residents, especially those who are frail

or at risk, and those non-elderly

residents with disabilities are linked to

the supportive services they need to

continue living independently in that

development. All services should meet

the specific desires and needs of the

residents themselves. The service

coordinator may not require any elderly

individual or person with a disability to

accept any specific supportive

service(s).

You may want to review the

Management Agent Handbook 4381.5

REVISION–2, CHANGE–2, Chapter 8 for

further guidance on service

coordinators. This Handbook is

accessible through HUDCLIPS on HUD’s

web site at http://www.hudclips.org.

The Handbook is in the Handbooks and

Notices—Housing Notices database.

Enter the Handbook number in the

‘‘Document Number’’ field to retrieve

the Handbook.

As was the case in FY 2000, there is

no minimum unit number for eligible

developments. In proposing a Service

Coordinator program at a small

development, however, you must be

careful to conform to the hiring

guidelines provided in the application

kit. Funding is also allowed to augment

current Service Coordinator programs

and to continue programs in cases

where current or previous funding

sources are no longer available. Please

refer to Sections III.D and III.F, below.

The American Homeownership and

Economic Opportunity Act of 2000

(signed December 27, 2000) expanded

the scope of the Service Coordinator

program. This Act now allows owners of

eligible developments to provide service

coordination to low-income elderly or

disabled families living in the vicinity

of the development. You have the

option to serve such community

residents as a part of your proposed

program to provide coordination to

current residents of an eligible

development. The objective of this

expanded authority is to help additional

low-income elderly and disabled

individuals age in place and live

independently as long as possible in

their current homes. Any reference in

this program NOFA or in the

application kit to elderly or disabled

residents of a development shall be

construed to include low-income

elderly or disabled families living in the

vicinity of such a development.

(B) Eligible Applicants and

Developments

To be eligible for funding, you must

meet all of the applicable threshold

requirements of Section II(B) of the

General Section of the SuperNOFA and

must be owners of developments

assisted under the following programs:

(a) Section 202 and 202/8,

(b) Existing Section 8 project-based

and moderate rehabilitation

developments (including Rural Housing

Service (RHS) Section 515/8 and

Section 221(d)(4)),

(c) Section 221(d)(3) below-market

interest rate, and 236 developments that

are insured or assisted.

(2) Additionally, developments listed

in paragraphs 1 (a), (b), and (c) are

eligible only if they meet the following

criteria:

(a) Have frail or at-risk elderly

residents and/or non-elderly residents

with disabilities who together total at

least 25 percent of the building’s

residents.

(b) Are designed for the elderly or

persons with disabilities and continue

to operate as such. This includes any

building within a mixed-use

development that was designed for

occupancy by elderly persons or

persons with disabilities at its inception

and continues to operate as such, or

consistent with title VI, subtitle D of the

Housing and Community Development

Act of 1992. If not so designed, a

development in which the owner gives

preferences in tenant selection (with

HUD approval) to eligible elderly

persons or persons with disabilities, for

all units in that development.

(c) You have completed Final Closing

on the development.

(d) Are current in mortgage payments

or are current under a workout

agreement.

(e) Meet HUD’s Uniform Physical

Conditions Standards (codified in 24

CFR part 5, subpart G), based on the

most recent physical inspection report

and responses thereto, as evidenced by

a score of 60 or better or an approved

plan for developments scoring less than

60.

(f) Are in compliance with their

regulatory agreement, HAP Contract,

and other outstanding directives.

(g) Section 202 developments must

have a residual receipts account

separate from the Repair and

Replacement account, or agree to

establish this account. This requirement

does not apply to Sections 8, 221(d)(3)

below-market interest rate, or 236

developments.

(h) Owners using the AAF rent

increase process or who are profitmotivated must provide certification

that rental and other income from the

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12365

development are insufficient to pay for

a service coordinator.

If your eligibility status changes

during the course of the grant term,

making you ineligible to receive a grant

(e.g. due to prepayment of mortgage,

sale of property, or opting out of a

Section 8 Housing Assistance Payment

(HAP) contract), HUD has the right to

terminate your grant.

(4) If you are applying for an Assisted

Living Conversion Program (ALCP)

grant, you may apply for new or

augmented Service Coordinator costs to

serve Assisted Living residents and/or

all residents of your development.

(C) Ineligible Applicants and

Developments. (1) Property management

companies, area agencies on aging, and

other like organizations are not eligible

applicants for Service Coordinator

funds. Such agents may prepare

applications and sign application

documents if they provide written

authorization from the owner

corporation as part of the application. In

such cases, the owner corporation must

be indicated on all forms and

documents as the funding recipient.

(2) Developments not designed for the

elderly or disabled or those no longer

operating as such.

(3) Section 221(d)(4) developments

without project-based Section 8

assistance.

(4) Section 202/811 developments

with a PRAC. Owners of Section 202

PRAC developments may obtain

funding by requesting an increase in

their PRAC payment consistent with

Handbook 4381.5 REVISION–2,

CHANGE–2, Chapter 8.

The American Homeownership and

Economic Opportunity Act of 2000

provides authority for Section 202

PRACs to receive Service Coordinator

grants as described in this program

NOFA and separate from their PRAC

funding. However, PRAC funds are a

readily accessible funding source for

Service Coordinators in Section 202

PRAC developments. Including the

Service Coordinator in the PRAC

development’s operating budget also

provides a more stable and permanent

source of funding. For these reasons, the

Department has chosen to limit funding

available through this program NOFA to

those eligible housing developments

(listed in section III.B(1) of this NOFA)

that do not have a readily available

source of funding for this position.

There is no statutory authority for

service coordinators in Section 811

developments.

(D) Eligible Activities. (1) Service

Coordinator Program grant funds may be

used to pay for the salary, fringe

benefits, and related administrative

costs of employing a service

coordinator. Administrative costs may

include, but are not limited to, purchase

of furniture, office equipment and

supplies, computer hardware and

software, Internet service, training,

quality assurance, travel, and utilities.

(2) You may use funds to augment a

current Service Coordinator program, by

increasing the hours of a currently

employed Service Coordinator, or hiring

an additional Service Coordinator or

aide on a part-or full-time basis.

(3) You may use funds to continue a

Service Coordinator program that has

previously been funded through other

sources. In your application, you must

provide evidence that this funding

source has already ended or will

discontinue within six months

following the application deadline date

and that no other funding mechanism is

available to continue the program. This

applies only to funding sources other

than the subsidy awards provided by

the Department through program

Notices beginning in FY 1992. HUD

currently provides one-year extensions

to these subsidy awards through a

separate funding action.

(4) You may propose reasonable costs

associated with setting up a confidential

office space for the Service Coordinator.

Such expenses must be one-time only

administrative start-up costs. Such costs

may involve acquisition, leasing,

rehabilitation, or conversion of space.

HUD Field Office staff must approve

both the proposed costs and activity and

must perform an environmental

assessment on such proposed work

prior to grant award.

(5) You may provide service

coordination to low-income elderly or

disabled families living in the vicinity

of an eligible development.

(E) Ineligible Activities. (1) You may

not use funds available through this

NOFA to replace currently available

funding from other sources for a service

coordinator or for some other staff

person who performs service

coordinator functions.

(2) Owners with existing service

coordinator subsidy awards may not

apply for renewal or extension of those

programs under this NOFA.

(3) Congregate Housing Services

Program (CHSP) grantees may not use

these funds to meet statutory program

match requirements and may not use

these funds to replace current CHSP

program funds to continue the

employment of a service coordinator.

(4) The cost of application preparation

is not eligible.

(5) Grant funds cannot be used to

increase a project’s management fee.

(6) You cannot hire an additional part

of full-time Service Coordinator for the

sole purpose of serving low-income

elderly or disabled families who live in

the vicinity of your development.

IV. Program Requirements

In addition to the requirements listed

in Section II of the General Section of

this SuperNOFA, you must also meet

the requirements in Section IV of this

program section of the SuperNOFA.

These requirements apply to all

activities, programs, and functions used

to plan, budget, and evaluate the work

funded under your program.

(A) Administrative Costs. HUD has

the right to reduce the proposed costs if

they appear unreasonable or

inappropriate.

(B) Term of Funded Activities. The

grant term is three years. Grants will be

renewable subject to the availability of

funds.

(C) Subgrants and Subcontracting.

You may directly hire a Service

Coordinator or you may contract with a

qualified third party to provide this

service.

(D) Forms, Certifications, and

Assurances. See the General Section of

the SuperNOFA for the applicable

forms, certifications, and assurances

that you must submit. This includes a

certification that you are in compliance

with Federal Civil Rights laws, as

specified in Section II(G)(7) of the

General Section of this SuperNOFA.

(E) Affirmatively Furthering Fair

Housing. You must comply with Section

II(D) of the General Section of this

SuperNOFA.

V. Application Selection Process

(A) General. Service Coordinator

Program grant funds will not be

awarded through a rating and ranking

process. Instead, HUD will hold one

national lottery for all approvable

applications forwarded from

Multifamily HUB or Multifamily

Program Centers (a list of these offices

is found in the Appendix to this notice).

(B) Threshold Eligibility Review. HUD

Multifamily Field Office staff will

review applications for completeness

and compliance with the eligibility

criteria set forth in Section III of this

NOFA. Field Office staff will forward

application information to Headquarters

for entry into the lottery if the

application was received by the

deadline date, meets all eligibility

criteria, proposes reasonable costs for

eligible activities, and includes all

technical corrections by the designated

deadline date.

‘‘Reasonable costs’’ are generally

those that are consistent with salaries

12366 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

and administrative costs of similar

programs in the jurisdiction of the HUD

Field Office.

(C) Service Coordinators in ALCP

projects. The Department will first fund

approved Service Coordinator requests

in ALCP applications selected to receive

an ALCP award. HUD estimates that

approximately $5 million will be

needed to fund these programs. Any

funds not used for ALCP Service

Coordinator programs will revert to the

national lottery.

(D) The Lottery. HUD staff will use a

computer program to randomly select

applications. HUD will fully fund as

many applications as possible with the

given amount of funds. If funds remain

after fully funding as many applications

as possible, HUD will offer to partially

fund the next application chosen in the

lottery, in order to use the entire

allocation of funds.

VI. Application Submission

Requirements

(A) Single Applications. (1) You may

submit one application for one or more

developments that your corporation

owns.

(2) You may submit more than one

application to a single Field Office, if

you wish to increase your chances of

selection in the lottery. Each application

must propose a stand-alone program

and the development(s) must all be

located in the same Field Office

jurisdiction.

(3) If you wish to apply on behalf of

developments located in different Field

Office jurisdictions, you must submit a

separate application to each Field

Office.

(B) Joint Applications. You may join

with one or more other eligible owners

to share a Service Coordinator and

submit a joint application. In the past,

joint applications have been used by

small developments who joined together

to hire and share a part or full-time

Service Coordinator.

(C) There is no maximum grant

amount. The grant amount you request

must be consistent with the staffing

guidelines provided in the application

kit and your proposed salary must be

supported by evidence of comparable

salaries in your area.

(D) Application Submission

Requirements for ALCP Applicants. If

you are an ALCP applicant and you

request new or additional Service

Coordinator costs specifically for your

proposed Assisted Living Program, you

must submit an application containing

all required documents and information

listed in this NOFA. In addition, you

must submit a HUD–424–M ‘‘Federal

Assistance Funding Matrix and

Certifications’’ with your ALCP

application, which indicates the amount

of funds you are requesting to cover

Service Coordinator costs. HUD Field

Office staff will review both

applications simultaneously.

ALCP applicants must submit all the

required items in the Service

Coordinator application listed in

Section VI(E) of this NOFA. You may

provide a copy of all standard forms in

your Service Coordinator application. If

you do not provide either an original or

copy of these forms, your Service

Coordinator application will be

incomplete.

If you currently do not have a Service

Coordinator working at the development

proposed in your ALCP application and

your ALCP application is selected to

receive an ALCP award, HUD will fund

a Service Coordinator to serve either

ALCP residents only or all residents of

the development dependent upon your

request. If your development currently

has a Service Coordinator, you may

request additional hours for the Service

Coordinator to serve the Assisted Living

residents. If you request additional

hours, you must specify the number of

additional hours per week and provide

an explanation based on the anticipated

needs of the Assisted Living residents.

Provide this explanation in your ALCP

application as instructed in the ALCP

NOFA.

If you request Service Coordinator

funding to serve all residents of your

development, your request can be

entered into the national lottery if your

ALCP application is not selected to

receive an award. You will be able to

indicate this request in the application

materials.

Owners applying for ALCP grants may

also submit separate Service

Coordinator applications for entry into

the lottery for other eligible

developments they own and that are not

included in their ALCP application.

(E) Your application must contain the

items listed in this Section VI(E). These

items include the standard forms,

certifications, and assurances listed in

the General Section of the SuperNOFA

that are applicable to this funding

(collectively, referred to as the

‘‘standard forms’’). The standard forms

can be found in Appendix B to the

General Section of the SuperNOFA. The

remaining application items that are

forms (i.e., excluding such items as

narratives, letters), referred to as the

‘‘non-standard forms’’ can be found as

Appendix B to this program section of

the SuperNOFA. The items are as

follows:

Standard Forms

(1) Standard Form for Application for

Federal Assistance (SF–424) (which

includes civil rights/fair housing

certification);

(2) Federal Assistance Funding Matrix

and Certifications (HUD–424M);

(3) Standard Form for Assurances—

Non-Construction Programs (SF–424B);

(4) Drug Free Workplace Certification

(HUD–50070);

(5) Certification of Payments to

Influence Federal Transactions (HUD–

50071) and if engaged in lobbying, the

Disclosure Form Regarding Lobbying

(SF–LLL):

(6) Applicant/Recipient Disclosure/

Update Report Form (HUD–2880);

(7) Certification Regarding Debarment

and Suspension (HUD–2992), and

(8) Acknowledgment of Application

Receipt (HUD–2993)

Other Application Items

All applications for funding under the

Service Coordinator Program must

contain the following documents and

information:

(1) Transmittal letter and request,

using the designated format provided in

the application kit.

(2) (If applicable) Lead agency letter

format.

(3) Evidence of comparable salaries in

local area.

(4) If quality assurance is included in

the proposed budget, a justification and

explanation of how this work will be

performed.

(5) If you propose to serve low-income

elderly or disabled families living in the

vicinity of the development(s) included

in your application, a narrative

description of your plan.

(6) (If applicable) Evidence that prior

funding sources for your development’s

Service Coordinator program are no

longer available or will expire on or

before December 21, 2001.

(7) A bank statement showing the

current residual receipts or surplus cash

balance in the development’s account.

(8) Applicant Data Input Form.

(9) Service Coordinator Certifications.

This includes certifications that you, the

applicant, will comply with the

following:

(a) 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 that

you will affirmatively further fair

housing; and

(b) 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

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12367

U.S.C. 206(d)), the Age Discrimination

in Employment Act of 1967 (29 U.S.C.

621 et seq.), Title IX of the Education

Amendments Act of 1972, and Titles I

and V of the Americans with Disabilities

Act of 1990 (42 U.S.C. 12101 et seq).

(10)(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 HUD

regulations at 24 CFR parts 84 and 85.

(b) Owners applying on behalf of

developments using the AAF must also

provide certification from the auditor

that the development’s rental or other

income is insufficient to pay the costs

of employing a Service Coordinator.

(11) Applicant checklist.

VII. Corrections to Deficient

Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VIII. Environmental Requirements

It is anticipated that most activities

under this program are categorically

excluded from NEPA and related

environmental authorities under 24 CFR

50.19(b)(3), (4), (12), or (13). If grant

funds will be used to cover the cost of

any activities which are not exempted

from environmental review

requirements—such as acquisition,

leasing, construction, or building

rehabilitation, HUD will perform an

environmental review to the extent

required by 24 CFR part 50, prior to

grant award.

IX. Authority

Section 808 of the Cranston-Gonzalez

National Affordable Housing Act (Pub.

L. 101–625, approved November 28,

1990), as amended by sections 671, 674,

676, and 677 of the Housing and

Community Development Act of 1992

(Pub. L. 102–550, approved October 28,

1992), and section 851 of the American

Homeownership and Economic

Opportunity Act of 2000 (Pub. L. 106–

569, approved December 27, 2000).

Appendix A—HUD Field Office List for

Mailing Service Coordinator

Applications

Alabama

Multifamily Housing Program Center, HUD—

Birmingham Office, 600 Beacon Parkway

West, Rm. 300, Birmingham, AL 35209–

3144, OFC Phone: (205) 290–7611, FAX:

(205) 290–7632

Alaska

Multifamily Housing Hub, HUD Seattle

Office, 909 First Avenue, Suite 190, MS–

0AHM, Seattle, WA 98104–1000, OFC

Phone: (206) 220–5228 ext. 3250, FAX:

(206) 220–5206

Arizona

Multifamily Housing Program Center, HUD

Phoenix Office, 400 North Fifth Street,

Suite 1600, Phoenix, AZ 85004–2361, OFC

Phone: (602) 379–4434, FAX: (602) 379–

3985

Arkansas

Multifamily Housing Program Center, HUD

Little Rock Office, 425 West Capitol

Avenue #900, Little Rock, AR 72201–3488,

OFC Phone: (501) 324–5401, FAX: (501)

324–6142

California

Multifamily Housing Hub, HUD—San

Francisco Office, 450 Golden Gate Avenue,

PO Box 36003, San Francisco, CA 94102–

3448, OFC Phone: (415) 436–6505, FAX:

(415) 436–8996

Los Angeles Multifamily Hub, 611 West

Sixth Street, Suite 800, Los Angeles, CA

90017, OFC Phone: (213) 894–8000 x 3634,

Fax: (213) 894–8255

Colorado

Multifamily Housing Hub, HUD Denver

Office, 633 17th Street, 11th Floor, Denver,

CO 80202–3607, OFC Phone: (303) 672–

5343, FAX: (303) 672–5153

Connecticut

Multifamily Housing Program Center, HUD—

Hartford Office, One Corporate Center,

19th floor, Hartford, CT 06103–3220, OFC

Phone: (860) 240–4800 Ext. 3068, FAX:

(860) 240–4850

Delaware

Multifamily Housing Hub, HUD Philadelphia

Office, The Wanamaker Building, 100 Penn

Square, East, Philadelphia, PA 19107–

3380, OFC Phone: (215) 656–0609 Ext.

3533, FAX: (215) 656–3427

District of Columbia

Multifamily Housing Program Center, HUD

Washington, DC Office, Suite 300, 820 First

Street, NE., Washington, DC 20012–4205,

OFC Phone: (202) 275–9200, FAX: (202)

275–9212

Florida

Multifamily Housing Hub, HUD—

Jacksonville Office, 301 West Bay Street,

Suite 2200, Jacksonville, FL 32202–5121,

OFC Phone: (904) 232–1777 x2144, FAX:

(904) 232–2731

Georgia

Multifamily Housing Hub, HUD—Atlanta

Office, Five Points Plaza Building, 40

Marietta Street, S.W., Atlanta, Georgia

30303–2806, OFC Phone: (404) 331–4976,

FAX: (404) 331–4028

Hawaii

Multifamily Housing Program Center, HUD

Honolulu Office, 7 Waterfront Plaza, 500

Ala Moana Blvd. #500, Honolulu, HI

96813–4918, OFC Phone: (808) 522–8185

Ext. 244, FAX: (808) 522–8194

Idaho

Multifamily Housing Hub, HUD Seattle

Office, 909 First Avenue, Suite 190, MS–

0AHM, Seattle, WA 98104–1000, OFC

Phone: (206) 220–5228 ext. 3250, FAX:

(206) 220–5206

Illinois

Multifamily Housing Hub, HUD—Chicago

Office, Ralph Metcalfe Federal Building, 77

West Jackson Boulevard, Chicago, IL

60604–3507, OFC Phone: (312) 353–6236

Ext. 2202, FAX: (312) 886–2729

Indiana

Multifamily Housing Program Center, HUD

Indianapolis Office, 151 North Delaware

Street, Suite 1200, Indianapolis, IN 46204–

2526, OFC Phone: (317) 226–6303, FAX:

(317) 226–7308

Iowa

Multifamily Housing Program Center, HUD

Des Moines Office, 210 Walnut Street,

Room 239, Des Moines, IA 50309–2155,

OFC Phone: (515) 284–4736, FAX: (515)

284–4743

Kansas

Multifamily Housing Hub, HUD Kansas City

Office, 400 State Avenue, Room 200,

Kansas City, KS 66101–2406, OFC Phone:

(913) 551–6844, FAX: (913) 551–5469

Kentucky

Multifamily Housing Program Center, HUD—

Louisville Office, 601 West Broadway, PO

Box 1044, Louisville, KY 40201–1044, OFC

Phone: (502) 582–6124, FAX: (502) 582–

6547

Louisiana

Multifamily Housing Program Center, HUD

New Orleans Office, Hale Boggs Bldg.—501

Magazine Street, 9th Floor, New Orleans,

LA 70130–3099, OFC Phone: (504) 589–

7236, FAX: (504) 589–6834

Maine

Multifamily Housing Program Center, HUD—

Manchester Office, Norris Cotton Federal

Bldg., 275 Chestnut Street, Manchester, NH

03101–2487, OFC Phone: (603) 666–7684,

FAX: (603) 666–7697

Maryland

Multifamily Housing Hub, HUD Baltimore

Office, 5th Floor, 10 South Howard Street,

Baltimore, MD 21201–2505, OFC Phone:

(410) 962–2520 Ext. 3474, FAX: (410) 962–

1849

Massachusetts

Multifamily Housing Hub, HUD—Boston

Office, O’Neil Federal Building, 10

Causeway Street, Rm. 375, Boston, MA

02222–1092, OFC Phone: (617) 565–5162,

FAX: (617) 565–6557

Michigan

Multifamily Housing Hub, HUD Detroit

Office, 477 Michigan Avenue, Detroit, MI

48226–2592, OFC Phone: (313) 226–7900,

FAX: (313) 226–5611

Multifamily Housing Program Center, HUD

Grand Rapids, Trade Center Building, 50

Louis Street, N.W., Grand Rapids, MI

49503–2648, OFC Phone: (616) 456–2100,

FAX: (616) 456–2191

Minnesota

Multifamily Housing Hub, HUD Minneapolis

Office, 220 Second Street, South,

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Minneapolis, MN 55401–2195, OFC Phone:

(612) 370–3051 Ext. 0, FAX: (612) 370–

3090

Mississippi

Multifamily Housing Program Center, HUD

Jackson Office—McCoy Federal Building,

100 W. Capitol Street, Room 910, Jackson,

MS 39269–1096, OFC Phone: (601) 965–

4738, FAX: (601) 965–4773

Missouri

Multifamily Housing Hub, HUD Kansas City

Office, 400 State Avenue, Room 200,

Kansas City, KS 66101–2406, OFC Phone:

(913) 551–6844, FAX: (913) 551–5469

Multifamily Housing Program Center, HUD

St. Louis Office, Robert A. Young Federal

Building, 1222 Spruce Street—Third Floor,

St. Louis, MO 63103–2836, OFC Phone:

(314) 539–6382, FAX: (314) 539–6356

Montana

Multifamily Housing Hub, HUD Denver

Office, 633 17th Street, 14th Floor, Denver,

CO 80202–3607, OFC Phone: (303) 672–

5343, FAX: (303) 672–5153

Nebraska

Multifamily Housing Program Center, HUD

Omaha Office, 10909 Mill Valley Road,

Suite 100, Omaha, NE 68154–3955, OFC

Phone: (402) 492–3113, FAX: (402) 492–

3184

Nevada

Multifamily Housing Program Center, HUD

Las Vegas Office, 333 N. Rancho Drive—

Atrium Bldg. Suite 700, Las Vegas, NV

89106–3714, OFC Phone: (702) 388–6525,

FAX: (702) 388–6244

New Hampshire

Multifamily Housing Program Center, HUD—

Manchester Office, Norris Cotton Federal

Bldg., 275 Chestnut Street, Manchester, NH

03101–2487, OFC Phone: (603) 666–7684,

FAX: (603) 666–7697

New Jersey

Multifamily Housing Program Center, HUD—

Newark Office—13th Floor, One Newark

Center, Newark, NJ 07102–5260, OFC

Phone: (973) 622–7900 Ext. 3400, FAX:

(973) 645–2271

New Mexico

Multifamily Housing Hub, HUD Ft. Worth

Office, 801 Cherry Street, PO Box 2905, Ft.

Worth, TX 76102–2905, OFC Phone: (817)

978–5764, FAX: (817) 978–5520

New York

Multifamily Housing Hub, HUD—New York

Office, 26 Federal Plaza—Room 3214, New

York, NY 10278–0068, OFC Phone: (212)

264–0777 Ext. 3713, FAX: (212) 264–1277

Multifamily Housing Hub, HUD—Buffalo

Office, Lafayette Court, 5th Floor, 465 Main

Street, Buffalo, NY 14203–1780, OFC

Phone: (716) 551–5755 Ext. 5509, FAX:

(716) 551–3252

North Carolina

Multifamily Housing Hub, HUD Greensboro

Office—Koger Building, 2306 West

Meadowview Road, Greensboro, NC 27407,

OFC Phone: (336) 547–4034, FAX: (336)

547–4121

North Dakota

Multifamily Housing Hub, HUD Denver

Office, 633 17th Street, 14th Floor, Denver,

CO 80202–3607, OFC Phone: (303) 672–

5343, FAX: (303) 672–5153

Ohio

Multifamily Housing Hub, HUD Columbus

Office, 200 North High Street, Columbus,

OH 43215–2499, OFC Phone: (614) 469–

5737, Ext. 8111, FAX: (614) 469–2432

Multifamily Housing Program Center, HUD

Cincinnati Office, 525 Vine Street, Suite

700, Cincinnati, OH 45202–3188, OFC

Phone: (513) 684–2350, FAX: (513) 684–

6224

Multifamily Housing Program Center, HUD

Cleveland Office, 1350 Euclid Avenue,

Suite 500, Cleveland, OH 44115–1815,

OFC Phone: (216) 522–4058 Ext. 7000,

FAX: (216) 522–4067

Oklahoma

Multifamily Housing Program Center, HUD

Oklahoma City Office, 500 W. Main Street,

Suite 400, Oklahoma City, OK 73102–2233,

OFC Phone: (405) 553–7410, FAX: (405)

553–7406

Oregon

Multifamily Housing Hub, HUD Seattle

Office, 909 First Avenue, Suite 190, MS–

0AHM, Seattle, WA 98104–1000, OFC

Phone: (206) 220–5228 ext. 3250, FAX:

(206) 220–5206

Pennsylvania

Multifamily Housing Hub, HUD Philadelphia

Office, The Wanamaker Building, 100 Penn

Square, East, Philadelphia, PA 19107–

3380, OFC Phone: (215) 656–0609 Ext.

3533, FAX: (215) 656–3427

Multifamily Housing Program Center, HUD

Pittsburgh Office, 339 Sixth Avenue—Sixth

Floor, Pittsburgh, PA 15222–2515, OFC

Phone: (412) 644–6639, FAX: (412) 644–

5872

Puerto Rico

Multifamily Housing Program Center, HUD

Caribbean Office, 171 Carlos E. Chardon

Avenue, San Juan, PR 00918–0903, OFC

Phone: (787) 766–5401, FAX: (787) 766–

5522

Rhode Island

Multifamily Housing Program Center, HUD—

Providence Office, 10 Weybosset Street,

Sixth Floor, Providence, RI 02903–2808,

OFC Phone: (401) 528–5230, FAX: (401)

528–5097

South Carolina

Multifamily Housing Program Center, HUD

Columbia Office, 1835 Assembly Street,

Columbia, SC 29201–2480, OFC Phone:

(803) 765–5162, FAX: (803) 253–3043

South Dakota

Multifamily Housing Hub, HUD Denver

Office, 633 17th Street, 14th Floor, Denver,

CO 80202–3607, OFC Phone: (303) 672–

5343, FAX: (303) 672–5153

Tennessee

Multifamily Housing Program Center, HUD—

Knoxville Office, 710 Locust Street, SW,

Knoxville, TN 37902–2526, OFC Phone:

(423) 545–4411, FAX: (423) 545–4578

Multifamily Housing Program Center, HUD—

Nashville Office, 251 Cumberland Bend

Drive, Suite 200, Nashville, TN 37228–

1803, OFC Phone: (615) 736–5748, FAX:

(615) 736–2018

Texas

Multifamily Housing Hub, HUD Ft. Worth

Office, 801 Cherry Street, PO Box 2905, Ft.

Worth, TX 76102–2905, OFC Phone: (817)

978–5764, FAX: (817) 978–5520

Multifamily Housing Program Center, HUD

Houston Office, 2211 Norfolk, #200,

Houston, TX 77098–4096, OFC Phone:

(713) 313–2274 Ext. 7015, FAX: (713) 313–

2319

Multifamily Housing Program Center, HUD

San Antonio Office, 800 Dolorosa, San

Antonio, TX 78207–4563, OFC Phone:

(210) 475–6831, FAX: (210) 472–6897

Utah

Multifamily Housing Hub, HUD Denver

Office, 633 17th Street, 14th Floor, Denver,

CO 80202–3607, OFC Phone: (303) 672–

5343, FAX: (303) 672–5153

Vermont

Multifamily Housing Program Center, HUD—

Manchester Office, Norris Cotton Federal

Bldg., 275 Chestnut Street, Manchester, NH

03101–2487, OFC Phone: (603) 666–7684,

FAX: (603) 666–7697

Virginia

Multifamily Housing Hub, HUD Richmond

Office, 3600 West Broad Street, Richmond,

VA 23230–4920, OFC Phone: (804) 278–

4500 Ext. 3146, FAX: (804) 278–4613

Washington

Multifamily Housing Hub, HUD Seattle

Office, 909 First Avenue, Suite 190, MS–

0AHM, Seattle, WA 98104–1000, OFC

Phone: (206) 220–5228 ext. 3250, FAX:

(206) 220–5206

West Virginia

Multifamily Housing Program Center, HUD—

Charleston Office, 405 Capitol Street, Suite

708, Charleston, WV 25301–1795, OFC

Phone: (304) 347–7000 Ext. 103, FAX:

(304) 347–7050

Wisconsin

Multifamily Housing Program Center, HUD

Milwaukee Office, 310 West Wisconsin

Avenue, Room 1380, Milwaukee, WI

53203–2289, OFC Phone: (414) 297–3214

Ext. 8662, FAX: (414) 297–3204

Wyoming

Multifamily Housing Hub, HUD Denver

Office, 633 17th Street, 14th Floor, Denver,

CO 80202–3607, OFC Phone: (303) 672–

5343, FAX: (303) 672–5153

Appendix B

The non-standard forms required for the

Service Coordinators in Multifamily Housing

application follow:

BILLING CODE 4210–32–P

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12369

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12371

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12373

FUNDING AVAILABILITY FOR

MAINSTREAM HOUSING

OPPORTUNITIES FOR PERSONS

WITH DISABILITIES (MAINSTREAM

PROGRAM)

Program Overview

Purpose of the Program. The purpose

of this program is to provide vouchers

under the Housing Choice Voucher

Program to enable persons with

disabilities (elderly and non-elderly) to

rent affordable private housing.

Available Funds. Approximately

$54.1 million in five-year budget

authority for approximately 1,900

vouchers is available to public housing

agencies (PHAs) and nonprofit disability

organizations.

Applications are also being invited

from PHAs for one-year budget

authority funding (non-Section 811

funds) that HUD anticipates may be

available for the Mainstream Program in

FY 2001. Specifically, any portion of the

$40 million in one-year budget authority

contained in FY 2001 appropriations

related to designated housing plans;

preferences in occupancy for the elderly

in certain types of Section 8 projectbased developments; or restrictions in

occupancy to elderly only in certain

types of Section 202, Section 221(d)(3),

or Section 236 developments remaining

unobligated and not needed to fund

approvable applications under these

programs will be added to the

approximately $54.1 million in five-year

budget authority available under this

announcement. This one-year budget

authority will be used only for nonelderly disabled families.

Eligible Applicants. PHAs and

nonprofit disability organizations that

provide services to disabled families are

eligible to apply for the $54.1 million in

five-year budget authority for

applications submitted in FY 2001.

While PHAs and nonprofit disability

organizations are eligible to apply for

the $54.1 million in five-year budget

authority available under this

announcement, only PHAs are eligible

to apply for the one-year budget

authority that may also be available

under this announcement {see Section

II(A) of this announcement regarding

the possibility of one-year funding also

being available for the Mainstream

Program}. Indian Housing Authorities

(IHAs), Indian tribes and their tribally

designated housing entities are not

eligible to apply because the Native

American Housing Assistance and SelfDetermination Act of 1996 does not

allow HUD to enter into new housing

choice voucher (Section 8) annual

contributions contracts (ACC) with IHAs

after September 30, 1997.

The vouchers that HUD will provide

under this announcement must be made

available to eligible disabled families

regardless of their type of disability.

(See the definition of disabled family in

Section IV(E) of this announcement.)

The Mainstream Program vouchers must

not be issued by the administering

agency on the basis of any preference

system favoring any particular type of

disability over another, nor shall the

vouchers be issued solely on the basis

of an administering agency’s waiting list

which is based on that agency’s having

heretofore served only certain types of

disabled persons. The Housing Choice

Voucher Program regulations provide at

24 CFR 982.207(c) that a PHA may give

preference for admission of families that

include a person with disabilities;

however, the PHA may not give

preference for admission of persons

with a specific disability. This

regulatory requirement is also

applicable to nonprofit disability

organizations who receive funding

under this announcement as such

organizations must comply with the

regulatory requirements applicable to

the Housing Choice Voucher Program.

Application Deadline. July 20, 2001.

Match. None.

Additional Information

If you are interested in applying for

funding under the Mainstream Program,

please review carefully the General

Section of this SuperNOFA and the

following additional information.

I. Application Due Date, Application

Kits, Further Information and

Technical Assistance

Application Due Date. Submit your

completed application (an original and

one copy) to HUD on or before 12:00

midnight, Eastern time, on July 20,

2001.

See the General Section of this

SuperNOFA for specific procedures

concerning the form of application

submission (i.e., mailed applications,

express mail, overnight delivery, or

hand carried).

Address for Submitting Applications.

Your completed application consists of

one original and one copy. Submit your

original application and one copy to:

Michael Diggs, Director, Grants

Management Center, Department of

Housing and Urban Development, 501

School Street, SW, Suite 800,

Washington, DC 20024. Applications

which are hand carried or sent via

overnight delivery service should be

delivered to this address. The Grants

Management Center is the official place

of receipt for all applications in

response to this announcement of

funding availability. Your application

will be accepted at this address until

6:00 pm, Eastern time, on the

application deadline.

After 6:00 pm on the application

deadline date, applications will be

accepted in the South Lobby of HUD

Headquarters, 451 Seventh Street, SW,

Washington, DC 20410, until 12:00

midnight Eastern time.

A copy of the application is not

required to be submitted to the local

HUD Field Office. For ease of reference,

the term ‘‘local HUD Field Office’’ will

be used in this announcement to mean

the local HUD Field Office Hub and the

local HUD Field Office Program Center.

A listing of HUD Field Offices is

attached to the General Section of this

SuperNOFA.

For Application Kits. An application

kit is not necessary for submitting an

application in response to this

announcement. This announcement

contains all the information necessary

for the submission of your application

for voucher funding for the Mainstream

Program.

For Further Information and

Technical Assistance. Prior to the

application due date, you may contact

George C. Hendrickson, Housing

Program Specialist, Room 4216, Office

of Public and Assisted Housing

Delivery, Department of Housing and

Urban Development, 451 Seventh Street,

SW, Washington, DC 20410; telephone

(202) 708–1872, ext. 4064. Subsequent

to application submission, you may

contact the Grants Management Center

at (202) 358–0338. (These are not tollfree numbers.) Persons with hearing or

speech impairments may access these

numbers via TTY (text telephone) by

calling the Federal Information Relay

Service at 1–800–877–8339 (this is a

toll-free number).

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of an

application. For more information about

the date and time of this broadcast, you

should consult the HUD web site at

www.hud.gov.

II. Amount Allocated

(A) Available Funding for Mainstream

Program. Approximately $54.1 million

in five-year funding is available for

approximately 1,900 vouchers. This

allocation is consistent with the FY

2001 HUD Appropriations Act. The FY

2001 HUD Appropriations Act provides

that the Secretary of HUD may designate

up to 25 percent of the amounts

earmarked for capital advances

including amendments to the capital

advance contracts for supportive

12374 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

housing for persons with disabilities as

authorized by section 811 of the

Cranston-Gonzalez National Affordable

Housing Act (NAHA), for project rental

assistance, for amendments to contracts

for project rental assistance and

supportive services associated with the

housing of persons with disabilities as

authorized by section 811 of NAHA.

The FY 2001 HUD Appropriations Act

made $217 million available for the

Section 811 Program. The $54.1 million

made available to applicants under this

Mainstream Program funding

announcement is no more than 25

percent of this $217 million.

All of the approximately $54.1

million in funding is for use in the

housing of elderly and non-elderly

disabled families. HUD will supplement

the Mainstream Program funding with

additional funding, up to as much as

$40 million in one-year budget authority

for housing choice vouchers for nonelderly disabled families in support of

designated housing plans, for nonelderly disabled families who are not

currently receiving housing assistance

in certain Section 8 project-based

developments due to the owners

establishing preferences for the

admission of elderly families, and for

nonelderly disabled families not being

housed in certain section 202, section

221(d)(3) and section 236 developments

(or portions thereof) where the owners

have restricted occupancy to elderly

families. The FY 2001 HUD

Appropriations Act states that to the

extent the Secretary determines that the

FY 2001 appropriations related to

designated housing plans and certain

types of Section 8 project-based

developments and certain types of

section 202, section 221(d)(3) and

section 236 developments are not

needed to fund applications, the funds

may be used for other non-elderly

disabled families. Any such remaining

funds will be used to supplement

funding for the Mainstream Program. As

a result, as much as $40 million in oneyear budget authority may be available

in additional funding in FY 2001 for the

Mainstream Program.

(B) Funding for the Section 811

Program. The Section 811 Program of

Supportive Housing for Persons With

Disabilities provides capital advances

and project rental assistance in FY 2001

elsewhere in this SuperNOFA. The

Section 811 Program of Supportive

Housing for Persons With Disabilities

will provide funding to nonprofit

organizations (sponsors) for the

development and operation of small,

scattered-site housing to enable adults

with disabilities to live as

independently as possible in the

community. The capital advance does

not need to be repaid as long as the

housing is used for its intended purpose

for at least 40 years. The project rental

assistance funds cover the difference

between the HUD-approved operating

expenses of the housing and the tenant’s

contribution towards rent which is 30

percent of adjusted income. The types of

housing that are typically developed

through the program are small group

homes for no more than six persons,

independent living projects containing

individual apartment units for no more

than 18 persons, and condominium

units. Sponsors are required to ensure

that residents have access to any

necessary supportive services but

cannot require the acceptance of such as

a condition of occupancy.

(C) Housing Choice Voucher Funding.

(1) Lottery. HUD will select approvable

applications for funding by lottery in

the event approvable applications are

received for more funding than is

available under this Mainstream

Program announcement. In such event,

a separate lottery will be held first to

select applications for funding for the

$54.1 million available in five-year

budget authority available under this

announcement, and a separate lottery

will be held to select applications for

funding for whatever amount of oneyear budget authority may be available

during FY 2001 for the Mainstream

Program. PHAs should clearly indicate

in their applications if they are applying

for both five-year and one-year funding

in order to ensure their inclusion in

both lotteries. This would allow the last

selected application (if a PHA) under

the five-year funding lottery to be

automatically funded with one-year

budget authority for the remaining

number of vouchers requested, but for

which there was insufficient five-year

budget authority at the point the PHA

was selected in the five-year funding

lottery. This would also allow a PHA to

be automatically included in the lottery

for one-year budget authority funding if

not fortunate enough to be selected for

any funding in the five-year budget

authority lottery. PHAs applying for

one-year funding must make it clear in

their applications that they have a

sufficient number of non-elderly

disabled families to support the number

of vouchers being requested. As

indicated earlier in this announcement,

one-year budget authority funding is for

use by PHAs solely for non-elderly

disabled families, whereas five-year

budget authority is for use by PHAs and

nonprofit disability organizations for

both elderly and non-elderly disabled

families.

(2) Maximum Voucher Request. There

is a limit on the number of vouchers

that may be requested. An eligible

applicant may apply for a maximum of

75 vouchers. No more than a grand total

of 75 vouchers will be awarded to any

applicant under the FY 2001

Mainstream Program.

(3) Determination of Funding Amount

for the Applicant’s Requested Number

of Vouchers. HUD will determine the

amount of funding that an applicant

will be awarded under this

announcement based upon an actual

annual per unit cost {except that for

Moving to Work (MTW) agencies the per

unit cost will be calculated in

accordance with the agency’s MTW

Agreement for MTW units} using the

following three step process:

(a) HUD will extract the total

expenditures for all the PHA’s housing

choice voucher and certificate programs

and the unit months leased information

from the most recent approved year end

statement (Form HUD–52681) that the

PHA has filed with HUD. HUD will

divide the total expenditures for all of

the PHA’s housing choice voucher and

certificate programs by the unit months

leased to derive an average monthly per

unit cost.

(b) HUD will multiply the monthly

per unit cost by 12 (months) to obtain

an annual per unit cost.

(c) HUD will multiply the annual per

unit costs derived under paragraph (b)

above by the Housing Choice Voucher

(Section 8) Housing Assistance

Payments Program Contract Rent

Annual Adjustment Factor (with the

highest cost utility included) to generate

an adjusted annual per unit cost. For a

PHA whose jurisdiction spans multiple

annual adjustment factor areas, HUD

will use the highest applicable annual

adjustment factor.

Note: Applicants who do not currently

administer a housing choice voucher or

certificate program shall have their voucher

funding based upon the annual actual per

unit costs of the PHA in their most

immediate area administering a housing

choice voucher or certificate program, using

the three step process described immediately

above.

(4) Preliminary Fee. A preliminary fee

of up to $500 per unit for preliminary

(start-up) expenses will be paid to

applicants that have not previously

administered their own housing choice

voucher or certificate program that are

selected for funding under this

announcement. The preliminary fee will

be provided to such applicants only in

their first year administering housing

choice vouchers.

(e) Underfunding Corrections. If prior

to the award of Mainstream Program

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12375

funding under this announcement, HUD

determines that any awardees under the

FY 2000 Mainstream Program funding

announcement have been underfunded

due to an error attributable to HUD,

funding will be increased to the amount

that the awardee should have received.

III. Program Description, Eligible

Applicants and Eligible Participants

(A) Program Description. The

Secretary has established a Mainstream

Housing Opportunities for Persons with

Disabilities Program (Mainstream

Program) to provide vouchers to enable

persons with disabilities to rent

affordable private housing of their

choice.

The Mainstream Program will assist

PHAs and non-profit disability

organizations in providing housing

choice vouchers to a segment of the

population recognized by HUD’s

housing research as having one of the

worst housing needs of any group in the

United States; i.e., very low-income

households with adults with

disabilities. In addition, the Mainstream

Program will assist persons with

disabilities who often face difficulties in

locating suitable and accessible housing

on the private market.

(B) Eligible Applicants. Public

housing agencies (PHAs) and nonprofit

disability organizations that provide

services to the disabled {as defined in

Section IV(E) of this announcement} are

eligible applicants. Indian Housing

Authorities (IHAs), Indian tribes and

their tribally designated housing entities

are not eligible to apply for new

increments of housing choice voucher

funding because the Native American

Housing Assistance and SelfDetermination Act of 1996 does not

allow HUD to enter into new housing

choice voucher annual contributions

contracts (ACC) with IHAs after

September 30, 1997.

(1) PHAs. (a) A PHA established

pursuant to State law may apply for

funding under this announcement. A

regional (multi-county) or State PHA is

also eligible to apply for funding. A

PHA may submit only one application

under this announcement. This one

application per PHA limit applies

regardless of whether or not the PHA is

a State or regional PHA, except in those

instances where such a PHA has more

than one PHA code number due to its

operating under the jurisdiction of more

than one HUD Field Office. In such

instance, a separate application under

each code shall be considered for

funding, with the cumulative total of

vouchers applied for under the

applications not to exceed the

maximum number of vouchers the PHA

is eligible to apply for under section

II(C)(2) of this announcement; i.e., no

more than the number of vouchers the

same PHA would be eligible to apply for

if it only had one PHA code number.

Two or more divisions within State

government comprising separate PHAs

shall require the State to determine

which division shall submit an

application to HUD under this funding

announcement. As with other PHAs,

only one application per PHA shall be

considered (see sole exception

referenced immediately above).

(b) PHAs are encouraged to involve

nonprofit disability organizations that

provide services to disabled families, as

defined in Section III(B)(2) of this

announcement, in the administration of

the Mainstream Program’s vouchers.

(i) Such nonprofit disability

organizations could function as either a

contract administrator for the PHA’s

Mainstream vouchers, or as a

subcontractor responsible for providing

case management services or assisting

disabled families to locate suitable

housing, gain access to supportive

services, or identify private funding

sources to cover the costs of unit

modifications needed as a reasonable

accommodation.

(ii) Such contractual arrangements

must, however, ensure equal

opportunity among the wide variety of

disabled populations in the PHA’s

service area. PHAs are being encouraged

to seek out nonprofit disability

organizations to assist in the

administration of the Mainstream

vouchers due to such organizations’

capacity for assisting disabled families,

as well as their in-depth knowledge of

the disability community.

(c) Some PHAs currently

administering the housing choice

voucher and certificate programs have,

at the time of publication of this

SuperNOFA, major program

management findings from Inspector

General audits, HUD management

reviews, or independent public

accountant (IPA) audits that are open

and unresolved or other significant

program compliance problems. HUD

will not accept applications for

additional funding from these

applicants as contract administrators if,

on the application due date, the findings

are either not closed, or sufficient

progress toward closing the findings has

not been made to HUD’s satisfaction.

The PHA must also, to HUD’s

satisfaction, be making satisfactory

progress in addressing any program

compliance problems. If the PHA wants

to apply for funding under this

announcement, the PHA must submit an

application that designates another

housing agency, nonprofit agency, or

contractor, that is acceptable to HUD.

The PHA’s application must include an

agreement by the other housing agency,

nonprofit agency, or contractor to

administer the new funding increment

on behalf of the PHA, and a statement

that outlines the steps the PHA is taking

to resolve the program findings and

program compliance problems.

Immediately after the publication of this

SuperNOFA, the Office of Public

Housing in the local HUD Field Office

will notify, in writing, those PHAs that

are not eligible to apply without such an

agreement. Concurrently, the local HUD

Field Office will provide a copy of each

such written notification to the Grants

Management Center. The PHA may

appeal the decision in writing, if HUD

has mistakenly classified the PHA as

having outstanding management or

compliance problems. Any appeal must

be accompanied by conclusive evidence

of HUD’s error (i.e., documentation

showing that the finding has been

cleared or satisfactory progress toward

closing the findings or addressing

compliance problems has been made)

and must be received prior to the

application deadline. The appeal should

be submitted to the local HUD Field

Office where a final determination shall

be made. The local HUD Field Office

shall, concurrent with its response to

the PHA, provide the Grants

Management Center with a copy of its

written response to the appeal, along

with a copy of the PHA’s written appeal.

Major program management findings are

those that would cast doubt on the

capacity of the PHA to effectively

administer any new housing choice

voucher funding in accordance with

applicable HUD regulatory and statutory

requirements.

(2) Nonprofit Disability Organization.

A private organization, no part of the

net earnings of which inures to the

benefit of any member, founder,

contributor, or individual, that provides

services to persons with disabilities and

has received a federal tax-exempt

designation from the U.S. Internal

Revenue Service.

(a) The nonprofit entity must:

(i) Have a voluntary board;

(ii) Be authorized by its charter or

State law to enter into a contract with

the Federal Government to provide

housing assistance;

(iii) Have a functioning accounting

system that is operated in accordance

with generally accepted accounting

principles, or designate an entity that

will maintain a functioning accounting

system for the organization in

accordance with generally accepted

accounting principles; and

12376 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(iv) Practice nondiscrimination in the

provision of assistance.

(b) A nonprofit disability organization

meeting the definition of a nonprofit

disability organization as defined in this

Section III(B)(2), and wishing to apply

for the funding available under this

announcement must have the capacity

to:

(i) Comply with the Housing Choice

Voucher Program (Section 8)

Management Assessment Program

(SEMAP) certification requirements

under 24 CFR part 985.

(ii) Carry out such housing choice

voucher and SEMAP specific related

activities as making determinations as to

rent reasonableness, performing housing

quality standards (HQS) inspections and

enforcement, conducting annual

reexaminations of participant families,

as well as otherwise meeting housing

choice voucher program requirements

under 24 CFR part 982.

(iii) Manage the Mainstream Program

vouchers in a manner equivalent to an

overall performance rating under

SEMAP (24 CFR part 985) of ‘‘standard’’

during the first fiscal year of its

receiving Mainstream Program funding.

(iv) Administer rental housing

programs or manage rental housing, as

demonstrated by a specific list of rental

housing programs the nonprofit

disability organization has administered

or the rental housing the organization

has managed (e.g. private rental

housing, HUD or State-related housing

programs, etc.).

Nonprofit disability organizations are

encouraged to seek out PHAs in their

geographic area to develop cooperative

contractual relationships under the

Mainstream Program, and to enhance

services to disabled families. In addition

to contacting local PHAs, nonprofit

disability organizations may also wish

to contact regional (multi-county), or

state-wide PHAs who may be applying

for Mainstream Program funding.

(C) Eligible Participants. Only a

disabled family that is income eligible

under 24 CFR 982.201(b)(1), as well as

otherwise eligible under the regulations

at 24 CFR 982.201(b), may receive a

voucher awarded under the Mainstream

Program. While elderly and non-elderly

disabled families are eligible to receive

a voucher awarded to a PHA or

nonprofit disability organization using

five-year budget authority under this

announcement, only non-elderly

disabled families are eligible to receive

a voucher awarded to a PHA using oneyear budget authority that may be

available for the Mainstream Program

under this announcement. Applicants

with disabilities will be selected from

the PHA’s or nonprofit disability

organization’s housing choice voucher

waiting list.

IV. Program Requirements and

Definitions

In addition to the civil rights

compliance and nondiscrimination

requirements listed in the General

Section of this SuperNOFA, grantees

must meet the following program

requirements:

(A) Affirmatively Furthering Fair

Housing. Each successful applicant will

have a duty to affirmatively further fair

housing. Applicants will be required to

identify the specific steps that they will

take to:

(1) Examine its own programs or

proposed programs, including an

identification of any impediments to fair

housing (identified in the jurisdiction’s

Analysis of Impediments (AI) to Fair

Housing Choice in the Consolidated

Plan); develop a plan to (a) address

those impediments in a reasonable

fashion in view of the resources

available; and (b) work with the local

jurisdictions to implement any of the

jurisdictions’ initiatives to affirmatively

further fair housing; and maintain

records reflecting these analyses and

actions;

(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 under this

announcement to address affirmatively

furthering fair housing.

(B) Certifications and Assurances.

Each applicant is required to submit

signed copies of Assurances and

Certifications. The standard Assurances

and Certifications are on Form HUD–

52515, Funding Application, which

includes the Equal Opportunity

Certification, Certification Regarding

Lobbying, and Certification Regarding

Drug-Free Workplace Requirements.

(C) Voucher Assistance Requirements.

(1) Housing Choice Voucher Program

Regulations. Applicants must

administer the Mainstream Program in

accordance with HUD regulations and

requirements governing the Housing

Choice Voucher Program.

(2) Housing Choice Voucher Program

Admission Requirements. Housing

choice voucher assistance must be

provided to eligible applicants in

conformity with regulations and

requirements governing the Housing

Choice Voucher Program and the PHA’s

administrative plan.

If there is ever an insufficient pool of

disabled families on the PHA’s or

nonprofit disability organization’s

housing choice voucher waiting list, the

PHA or nonprofit disability organization

shall conduct outreach to encourage

eligible persons to apply for this special

allocation of vouchers. Outreach may

include contacting independent living

centers, advocacy organizations for

persons with disabilities, and medical,

mental health, and social service

providers for referrals of persons

receiving such services who would

benefit from housing choice voucher

assistance. If the PHA’s or nonprofit

disability organization’s housing choice

voucher waiting list is closed, and if the

PHA or nonprofit disability organization

has insufficient applicants on its

housing choice voucher waiting list to

use all awarded vouchers under this

announcement, the PHA or nonprofit

disability organization shall open the

waiting list for applications from

disabled families.

(3) Turnover. When a voucher under

this announcement becomes available

for reissue (e.g., the family initially

selected for the program drops out of the

program or is unsuccessful in the search

for a unit), the rental assistance may be

used only for another individual or

family eligible for assistance under this

announcement for five years for the fiveyear funding or for one year for the oneyear funding under this announcement

from the date the rental assistance is

placed under an annual contributions

contract (ACC).

(D) PHA and Nonprofit Disability

Organization Responsibilities. In

addition to the responsibilities under

the Housing Choice Voucher Program

and HUD regulations concerning

nondiscrimination based on disability

(24 CFR 8.28) and to affirmatively

further fair housing, PHAs and

nonprofit disability organizations that

receive voucher funding shall:

(1) Where requested by an individual,

assist program participants to gain

access to supportive services available

within the community, but not require

eligible applicants or participants to

accept supportive services as a

condition of participation or continued

occupancy in the program.

(2) Identify public and private

funding sources to assist participants in

covering the costs of modifications that

need to be made to their units as a

reasonable accommodation for their

disabilities.

(3) Not deny persons who qualify for

rental assistance under this program

other housing opportunities, or

otherwise restrict access to PHA or

nonprofit disability organization

programs to eligible applicants who

choose not to participate.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12377

(4) Provide housing choice voucher

search assistance.

(5) In accordance with regulatory

guidance, provide higher rents to

owners necessary for the provision of

accessible units and structural

modifications for persons with

disabilities.

(6) Provide technical assistance to

owners for making reasonable

accommodations or making units

accessible to persons with disabilities.

(E) Definitions. The following

definitions apply.

(1) Disabled Family. A family whose

head, spouse, or sole member is a

person with disabilities. The term

‘‘disabled family’’ may include two or

more persons with disabilities living

together, and one or more persons with

disabilities living with one or more livein aides. A disabled family may include

a person with disabilities who is

elderly. {Note: This definition applies to

the approximately $54.1 million in fiveyear budget authority available under

the Mainstream Program, as well as to

any one-year budget authority that may

be available. This definition shall be

modified, however, to be limited solely

to non-elderly disabled families

(families whose head, spouse or sole

member is disabled and under the age

of 62) regarding any funding available

and awarded from the approximately

$40 million in FY 2000 for designated

housing allocation plans, or in

connection with certain Section 8

project-based developments or certain

section 202, section 221(d)(3) or section

236 developments. See Section II(A) of

this announcement regarding the

possibility of additional Mainstream

Program funding during FY 2001

beyond the approximately $54.1 million

available as announced under this

announcement.}

(2) Person with disabilities. A person

who—

(a) Has a disability as defined in

section 223 of the Social Security Act

(42 U.S.C. 423), or

(b) Is determined to have a physical,

mental or emotional impairment that:

(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, or

(c) Has a developmental disability as

defined in section 102 of the

Developmental Disabilities Assistance

and Bill of Rights Act (42 U.S.C.

6001(5)).

The term ‘‘person with disabilities’’

does not exclude persons who have the

disease of acquired immunodeficiency

syndrome (AIDS) or any conditions

arising from the etiologic agent for

acquired immunodeficiency syndrome

(HIV).

Note: While the above definition of a

‘‘person with disabilities’’ is to be used for

purposes of determining a family’s eligibility

for a voucher under this announcement, 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.

No individual shall be considered a

person with disabilities for the purpose

of determining eligibility solely on the

basis of any drug or alcohol

dependence.

(3) Housing choice voucher search

assistance. Assistance to increase access

by program participants to housing

units in a variety of neighborhoods

(including areas with low poverty

concentrations) and to locate and obtain

units suited to their needs.

V. Application Selection Process

After the Grants Management Center

has screened and disapproved any

applications found unacceptable for

further processing, the Grants

Management Center will review all

acceptable applications to ensure that

they are technically adequate and

responsive to the requirements of this

announcement. HUD Headquarters will

fund all applications from PHAs and

nonprofit disability organizations that

are recommended for funding by the

Grants Management Center unless HUD

receives approvable applications for

more funds than are available. If HUD

receives approvable applications for

more funds than are available, HUD will

select applicants to be funded by lottery.

A separate lottery will be held first for

those PHAs and nonprofit disability

organizations seeking funding under the

five-year budget authority available

under this announcement, and a

separate lottery will next be held for

those PHAs seeking funding under the

one-year budget authority that may be

available under this announcement.

(Nonprofit disability organizations are

not eligible to apply for the one-year

budget authority that may be available

under this announcement.) All

applicants identified by the Grants

Management Center as having submitted

technically adequate and responsive

applications will be included in the

lottery. As applicants are selected, the

cost of funding the applications will be

subtracted from the funds available. In

order to achieve geographic diversity,

HUD Headquarters will limit the

number of applications selected for

funding from any State to 10 percent of

the budget authority available for the

Mainstream Program. The 10 percent

limit shall be applied first during the

lottery for the five-year funding and

shall continue over into the lottery for

any one-year funding that may be

available. This, for instance, may result

in a State reaching the 10 percent limit

prior to the start of the lottery for any

one-year funding that may be available,

and therefore any PHAs from that State

would not be eligible for any further

Mainstream funding. If establishing this

geographic limit would result, however,

in unreserved budget authority, HUD

may modify this limit to assure that all

available funds are used.

Applications will be funded for the

total number of units requested by the

applicant and recommended for

approval by the Grants Management

Center (not to exceed 75 units) in

accordance with this announcement.

When remaining budget authority is

insufficient to fund the last selected

application in full, HUD Headquarters

will fund that application to the extent

of the funding available, unless the

applicant indicates that it will only

accept a higher number of units. In that

event, the next selected application

shall be one that has indicated a

willingness to accept the lesser amount

of funding for the units available.

VI. Application Submission

Requirements

(A) Form HUD–52515. All applicants

must complete and submit Form HUD–

52515, Funding Application, for the

Housing Choice Voucher Program

(Section 8), (dated January 1996). This

form includes all necessary

certifications for Fair Housing, Drug

Free Workplace and Lobbying

Activities. PHAs are requested to enter

their housing authority code (for

example, CT002), telephone number,

facsimile number and electronic mail

address in the same space at the top of

the form where they are also to enter the

PHA’s name and mailing address.

Section C of the form should be left

blank. A copy of Form HUD–52515 is

included in the forms found in

Appendix B to the General Section of

the SuperNOFA. Copies of the form may

also be downloaded from the HUD

Home page site on the Internet’s world

wide web (http://www.HUD.gov). (On

the HUD website click on ‘‘handbooks

and forms,’’ then click on ‘‘forms,’’ then

click on ‘‘HUD–5’’ and click on ‘‘HUD–

52515.’’ The form must be completed in

its entirety, with the exception of

Section C, signed and dated.

In the instance of a nonprofit

disability organization that does not

currently manage a housing choice

12378 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

voucher or certificate program, the

nonprofit disability organization shall

fill in Section B, Proposed Assisted

Dwelling Units, of the form HUD–

52515, by either basing the numbers the

organization enters in this section on

information requested from the nearest

public housing agency, based upon its

housing choice voucher waiting list, or

based upon information from local

advocacy groups and local public and

private service agencies familiar with

the needs of elderly and non-elderly

persons with disabilities, census data,

and pertinent information from the

Consolidated Plan applicable to the

applicant’s jurisdiction. Section C,

Average Monthly Adjusted Income,

should be left blank. Section F, New HA

Information, requires information on

Financial and Administrative Capability

and Qualification as a HA. For Financial

and Administrative Capability, a

nonprofit disability organization may

reference that part of its application

addressing the requirements of section

VI(E) of this announcement. For

Qualification as a HA, the nonprofit

disability organization should submit

information validating its qualifications

as a nonprofit disability organization as

defined in Section III(B)(2) of this

announcement. The submission of

enabling legislation is not required, but

a legal opinion supportive of the

applicant’s status as a nonprofit

disability organization, as delineated in

Section III(B)(2) of this announcement,

is required.

(B) Letter of Intent and Narrative. The

applicant must state in its cover letter to

the application whether it is a PHA

applying for five-year and/or one-year

funding, or a nonprofit disability

organization applying for five-year

funding. The applicant must also

indicate the number of vouchers being

requested, whether it will accept a

reduction in the number of vouchers,

and the minimum number of vouchers

the applicant will accept, since the

funding is limited and HUD may only

have enough funds to approve a smaller

amount than the number of vouchers

requested. The maximum number of

vouchers that an applicant may apply

for under this announcement is limited

to 75.

(C) Description of Need for

Mainstream Program Vouchers. The

PHA’s and nonprofit disability

organization’s application must

demonstrate a need for Mainstream

Program vouchers by providing

information documenting that the

demand for housing for non-elderly and

elderly persons with disabilities in

connection with a request for five-year

funding under this announcement

would equal or exceed the requested

number of vouchers. If the PHA is

requesting one-year funding, the

demand for housing for non-elderly

disabled persons must be demonstrated

as equalling or exceeding the number of

vouchers being requested. The applicant

must assess and document the housing

need for elderly and non-elderly

persons with disabilities using a range

of sources including, but not limited to:

census data, information from the

applicant’s waiting list (both public

housing and housing choice voucher),

statistics on recent public housing

admissions and housing choice voucher

and certificate use, data from local

advocacy groups and local public and

private service agencies familiar with

the housing needs of elderly and nonelderly persons with disabilities, and

pertinent information from the

Consolidated Plan [including the

Analysis of Impediments to Fair

Housing Choice (AI)] applicable to the

applicant’s jurisdiction. (See 24 CFR

91.205(d).) The applicant’s

demonstrated need for vouchers must

clearly support need on the basis of only

non-elderly disabled families when

requesting one-year funding. This

distinction is important, as any FY 2001

Mainstream Program funding that may

be available beyond the approximately

$54.1 million under this announcement,

must be used to assist only non-elderly

disabled families and will be available

only to PHAs. (See Section II(A) of this

announcement regarding the possibility

of substantially more Mainstream

Program funding being available beyond

the approximately $54.1 million.)

(D) Mainstream Program Operating

Plan. The application must include a

description of an adequate plan for

operating a program to serve eligible

disabled families, including:

(1) A description of how the applicant

will carry out its responsibilities under

24 CFR 8.28 to assist recipients in

locating units with needed accessibility

features; and

(2) A description of how the applicant

will identify private or public funding

sources to help participants cover the

costs of modifications that need to be

made to their units as reasonable

accommodations to their disabilities.

(3) A description of how the applicant

will use a nonprofit disability

organization or PHA (if any) under a

contract to administer the Mainstream

Program vouchers, or to otherwise

provide services.

(E) Certification Applicable to

Nonprofit Disability Organizations. A

nonprofit disability organization

applying for funding available under

this announcement must provide a

certification stating that the applicant

can meet the capacity requirements

applicable to a nonprofit disability

organization delineated in Section

III(B)(2)(b) of this announcement. The

certification must specifically list the

four capacity requirements from that

paragraph, and must specifically list the

rental housing programs the nonprofit

disability organization has administered

or the rental housing the nonprofit

disability organization has managed.

(F) Statement Regarding the Steps the

PHA Will Take to Affirmatively Further

Fair Housing. The areas to be addressed

in the PHA’s statement should include,

but not necessarily be limited to:

(1) The examination of the PHA’s own

programs or proposed programs,

including an identification of any

impediments to fair housing (identified

in the jurisdiction’s Analysis of

Impediments (AI) to Fair Housing

Choice in its Consolidated Plan); and a

description of a plan to (a) address those

impediments in a reasonable fashion in

view of the resources available; and (b)

work with local jurisdictions to

implement any of the jurisdictions’

initiatives to affirmatively further fair

housing; and the maintenance of records

reflecting this analyses and actions;

(2) Remedy discrimination in housing

for persons with disabilities regardless

of race, color, religion, sex, familial

status, national origin, or nature of

disability; or

(3) Promote fair housing rights and

fair housing choice.

(G) Moving to Work (MTW) PHA

Information and Certification. See

Section VII(B)(2)(c) regarding the

information to be submitted by an MTW

PHA required to report under the

Section 8 Management Assessment

Program (SEMAP) but not meeting the

95 percent lease-up or budget authority

utilization requirements, or the lease-up

or budget authority utilization

certification to be submitted by an MTW

PHA not required to report under

SEMAP.

(H) Multifamily Tenant

Characteristics System (MTCS)

Reporting Certification. In order to be

eligible to submit an application under

this announcement, the PHA must have

had a minimum reporting rate of not

less than 85 percent for housing choice

voucher and certificate resident records

to HUD’s MTCS (see 24 CFR part 908

and Notices PIH 98–30, 99–2 and 2000–

13) for the period ending December

1999, and must submit a certification

with its application certifying to having

met this requirement. In the event a

PHA received less than an 85 percent

rate of reporting under MTCS for this

period, the PHA will still be considered

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12379

to have passed the threshold

requirement if: (1) it subsequently

achieved a minimum reporting rate of

not less than 85 percent for public

housing resident records under the

MTCS as of the December 2000

reporting period; or (2) the PHA was

granted forbearance by HUD under the

applicable procedures under PIH Notice

2000–13 for the semi-annual assessment

period ending December 2000. In this

latter instance, the PHA must submit a

certification with its application

indicating that it has either achieved

such a minimum reporting rate as of the

December 2000 reporting period, or that

it has obtained a forbearance from HUD

for the semi-annual assessment period

ending December 2000.

VII. Corrections to Deficient

Applications

(A) Acceptable Applications. The

application must include all of the

information specified in section VI,

Application Submission Requirements,

of this announcement. The General

Section of the SuperNOFA provides the

procedures for corrections to deficient

applications.

(B) Unacceptable Applications. (1)

After the 14-calendar day technical

deficiency correction period, the Grants

Management Center will disapprove all

PHA applications that the Grants

Management Center determines are not

acceptable for processing. The Grant

Management Center’s notification of

rejection letter must state the basis for

the decision.

(2) Applications from PHAs that fall

into any of the following categories will

not be processed:

(a) Applications that do not meet the

fair housing and civil rights compliance

threshold requirements of Section II(B)

of the General Section of the

SuperNOFA.

(b) If the applicant is a PHA and the

PHA has major program management

findings in an Inspector General audit,

HUD management review, or

independent public accountant (IPA)

audit for its voucher or certificate

programs that are not closed or on

which satisfactory progress in resolving

the findings is not being made; or

program compliance problems for its

voucher or certificate programs on

which satisfactory progress is not being

made. The only exception to this

category is if the PHA has been

identified under the policy established

in Section III(B)(1)(c) of this

announcement and the PHA makes

application with a designated contract

administrator. Major program

management findings are those that

would cast doubt on the capacity of the

PHA to effectively administer any new

housing choice voucher funding in

accordance with applicable HUD

regulatory and statutory requirements.

(c) If the applicant is a PHA and the

PHA has failed to achieve a lease-up

rate of 95 percent for its combined

certificate and voucher units under

contract for its fiscal year ending in

1999. Category (c) may be passed,

however, if the PHA achieved a

combined certificate and voucher

budget authority utilization rate of 95

percent or greater for its fiscal year

ending in 1999. In the event the PHA is

unable to meet either of these

percentage requirements, the PHA may

still pass category (c) if the PHA submits

information to the Grants Management

Center, as part of its application,

demonstrating that the PHA was able to

either increase its combined certificate

and voucher lease-up rate to 95 percent

or greater for its fiscal year ending in

2000, or was able to increase combined

certificate and voucher budget authority

utilization to 95 percent or more for its

fiscal year ending in 2000. PHAs that

have been determined by HUD to have

passed either the 95 percent lease-up, or

95 percent budget authority utilization

requirement for their fiscal year ending

in 1999 will be listed on a HUD website:

(www.hud.gov/grants), along with this

funding announcement. A PHA not

listed must either submit information

(following the format of Appendix A of

this announcement) in its application

supportive of its 95 percent lease-up or

95 percent budget authority utilization

performance for its fiscal year ending in

2000, or submit information (following

the format of Appendix A of this

announcement) as part of its application

supportive of its contention that it

should have been included among those

PHAs HUD listed on the HUD website

as having achieved either a 95 percent

lease-up rate or 95 percent budget

authority utilization rate for fiscal years

ending in 1999. Appendix A to this

program section indicates the

methodology and data sources used by

HUD to calculate the lease-up and

budget authority utilization percentage

rates for PHAs with fiscal years ending

in 1999. Any PHA wishing to submit

information to the Grants Management

Center in connection with its 1999 fiscal

year or 2000 fiscal year for the purposes

described immediately above (so as to

be eligible under category (c) to submit

an application) will be required to use

the same methodology and data sources

indicated in Appendix A.

Moving to Work (MTW) agencies that

are required to report under the Section

8 Management Assessment Program

(SEMAP) shall be held to the 95 percent

lease-up and budget authority

utilization requirements referenced

above, except where such an MTW

agency provides information in its

application demonstrating to HUD that

a lower percentage is the result of the

implementation of specific aspects of its

program under its MTW Agreement

with HUD. MTW agencies which are not

required to report under SEMAP must

submit a certification with their

application certifying that they are not

required to report under SEMAP, and

that they meet the 95 percent lease-up

or budget authority utilization

requirements.

PHAs not currently administering a

certificate or voucher program, or who

received voucher funding for the first

time for FY 2000 will not be subject to

the 95 percent lease-up or budget

authority utilization requirements of

this section (c).

(d) The PHA or nonprofit disability

organization is involved in litigation

and HUD determines that the litigation

may seriously impede the ability of the

PHA to administer the vouchers.

(e) An application that does not

comply with the requirements of 24 CFR

982.102 and this program section after

the expiration of the 14-calendar day

technical deficiency correction period

will be rejected from processing.

(f) The application was submitted

after the application due date.

(g) The application was not submitted

to the official place of receipt as

indicated in the paragraph entitled

‘‘Address for Submitting Applications’’

at the beginning of this announcement.

(h) The applicant has been debarred

or otherwise disqualified from

providing assistance under the program.

(i) The applicant has failed to achieve

a minimum 85 percent submission rate

for housing choice voucher and

certificate resident records to HUD’s

Multifamily Tenant Characteristics

System (MTCS), (see 24 CFR part 908

and Notices PIH 98–30 and 2000–13),

for the period ending December 1999,

and December 2000, and did not receive

HUD forbearance.

VIII. Environmental Requirements

In accordance with 24 CFR

50.19(b)(11) of the HUD regulations,

tenant-based rental activities under this

program are categorically excluded from

the requirements of the National

Environmental Policy Act of 1969

(NEPA) and are not subject to

environmental review under the related

laws and authorities.

IX. Authority

Authority for this program is found in

the Departments of Veteran’s Affairs and

12380 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Housing and Urban Development, and

Independent Agencies Appropriations

Act, FY 2001 (Pub. L. 106–377,

approved October 27, 2000). This FY

2001 Appropriations Act authorized

appropriations for housing choice

vouchers to assist non-elderly disabled

families affected by the establishment of

preferences in accordance with section

651 of the Housing and Community

Development Act of 1992, or the

restriction of occupancy to elderly

families in accordance with section 658

of the Act. The FY 2000 Appropriations

Act also allows the Secretary to transfer

any unobligated funds for this purpose

to assist non-elderly disabled families to

the extent they are not needed under

Sections 651 and 658 for such families.

Therefore, any funds remaining

unobligated under this program section

of this SuperNOFA will be used first to

fund any approvable applications under

the Rental Assistance for Non-Elderly

Persons With Disabilities in Support of

Designated Housing Plans program for

which there are insufficient funds.

Thereafter, any funds still remaining

unobligated will be used to fund

applications under the Mainstream

Program in the SuperNOFA.

Appendix A—Methodology for

Determining Lease-UP and Budget

Authority Utilization Percentage Rates

Using data from the HUDCAPS system,

HUD determined which PHAs met the 95%

budget authority utilization or 95% lease-up

criteria. The data used in the determination

was based on PHA fiscal years ending in

1999. The budget authority utilization and

lease-up rates were determined based upon

the methodology indicated below.

Budget Authority Utilization

Percentage of budget authority utilization

was determined by comparing the total

contributions required to the annual budget

authority (ABA) available for the PHA 1999

year combining the certificate and voucher

programs.

Total contributions required were

determined based on the combined actual

costs approved by HUD on the form HUD–

52681, Year End Settlement Statement. The

components which make up the total

contributions required are the total of

housing assistance payments, ongoing

administrative fees earned, hard to house fees

earned, and IPA audit costs. From this total

any interest earned on administrative fees is

subtracted. The net amount is the total

contributions required.

ABA is the prorated portion applicable to

the PHA 1999 year for each funding

increment which had an active contract term

during all or a portion of the PHA year.

Example

PHA ABC FISCAL YEAR 10/1/98 THROUGH 9/30/99

[HUD 52681 Approved Data]

HAP .......................................................................................................................................................................................................... $2,500,000

Administrative Fee ................................................................................................................................................................................... 250,000

Hard to House Fee .................................................................................................................................................................................. 1,000

Audit ......................................................................................................................................................................................................... 2,000

Total .................................................................................................................................................................................................. 2,753,000

Interest earned on administrative fee ...................................................................................................................................................... (2,500)

Total contributions required .............................................................................................................................................................. 2,750,500

CALCULATION OF ANNUAL BUDGET AUTHORITY

Increments and contract term Total BA ABA

001 11/01/98–10/31/99 ......................................................................................................................................... $1,300,000 $1,191,667

002 01/01/99–12/31/99 ......................................................................................................................................... 1,200,000 900,000

003 04/01/99–03/31/00 ......................................................................................................................................... 950,000 475,000

004 07/01/99–06/30/00 ......................................................................................................................................... 1,500,000 375,000

Totals ................................................................................................................................................................ 4,950,000 2,941,667

(budget

authority)

Utilization:

Total contributions required divided by ............................................................................................................ 2,750,000

Annual budget authority equals ........................................................................................................................ 2,941,667 ........................

Budget authority utilization (percent) ................................................................................................................ 93.5 ........................

Lease-up Rate

The lease-up rate was determined by

comparing the contract units (funding

increments active as of the end of the PHA

1999 year) to the unit months leased (divided

by 12) reported on the combined HUD 52681,

Year End Settlement Statement(s) for 1999.

Active funding increments awarded by

HUD for special purposes such as litigation,

relocation/replacement, housing conversions,

Welfare to Work, and new units awarded to

the PHA during the last 12 months were

excluded from the contract units as the

Department recognizes that many of these

unit allocations have special requirements

which require extended periods of time to

achieve lease-up.

Example

Increments contract term Units

001 11/01/98–10/31/99 .................... 242

002 01/01/99–12/31/99 .................... 224

003 04/01/99–03/31/00 .................... 178

004 07/01/99–06/30/00 .................... 280

Totals ........................................... 924

Increment 003 litigation ...................... (178)

Increments contract term Units

Adjusted contract units ....................... 746

Unit months leased reported by PHA 8,726

divided by 12 ................................... 727

Units Leased ....................................... 727

Lease-up rate:

Units leased .................................... 727

divided by adjusted contract units 746

equals

Lease-up rate (percent) .................. 97.4

BILLING CODE 4210–32–P

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12381

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12383

FUNDING AVAILABILITY FOR

RENTAL ASSISTANCE FOR NONELDERLY PERSONS WITH

DISABILITIES RELATED TO CERTAIN

TYPES OF SECTION 8 PROJECTBASED DEVELOPMENTS AND

SECTIONS 202, 221(d)(3) AND 236

DEVELOPMENTS

Program Overview

Purpose of the Program. The purpose

of this program is to provide housing

choice vouchers to non-elderly disabled

families who are not currently receiving

housing assistance in certain Section 8

project-based developments due to the

owners establishing preferences for the

admission of elderly families, or in

certain types of Section 202, Section

221(d)(3), or Section 236 developments

where the owners are restricting

occupancy in the developments (or

portions thereof) to elderly families. The

vouchers will enable non-elderly

disabled families to rent affordable

housing.

Available Funds. Approximately $20

million in one-year budget authority for

approximately 3,500 Section 8

vouchers.

Eligible Applicants. Public housing

agencies (PHAs). Indian Housing

Authorities (IHAs), Indian tribes and

their tribally designated housing entities

are not eligible to apply because the

Native American Housing Assistance

and Self-Determination Act of 1996 does

not allow HUD to enter into new

Section 8 annual contributions contracts

(ACC) with IHAs after September 30,

1997.

Application Deadline. June 15, 2001.

Match. None.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Date, Application

Kits, Further Information and

Technical Assistance

Application Due Date. Submit your

original and two copies of your

completed application to HUD on or

before 12:00 midnight, Eastern time, on

June 15, 2001.

See the General Section of this

SuperNOFA for specific procedures

concerning the form of application

submission (e.g., mailed applications,

express mail, overnight delivery, or

hand carried).

Address for Submitting Applications.

Your completed application consists of

an original and one copy. Submit your

original application and one copy to:

Michael Diggs, Director, Grants

Management Center, Department of

Housing and Urban Development, 501

School Street, SW, Suite 800,

Washington, DC 20024. Applications

which are hand carried or sent via

overnight delivery service should be

delivered to this address. The Grants

Management Center is the official place

of receipt for all applications in

response to this announcement of

funding availability. Your application

will be accepted at this address on the

application deadline until 6:00 pm

Eastern time. After 6:00 pm on the

application deadline, applications will

be accepted in the South Lobby of HUD

Headquarters, 451 Seventh Street, SW,

Washington, DC 20410, until 12:00

midnight Eastern time.

A copy of your application is not

required to be submitted to the local

HUD Field Office. For ease of reference,

the term ‘‘local HUD Field Office’’ will

be used in this announcement to mean

the local HUD Field Office Hub and

local HUD Field Office Program Center.

A listing of HUD Field Offices is

attached to the General Section of this

SuperNOFA.

For Application Kits. An application

kit is not necessary for submitting an

application in response to this

announcement. This announcement

contains all the information necessary

for the submission of your application

for voucher funding under this

announcement.

For Further Information and

Technical Assistance. Prior to the

application due date, you may contact

George C. Hendrickson, Housing

Program Specialist, Room 4216, Office

of Public and Assisted Housing

Delivery, Department of Housing and

Urban Development, 451 Seventh Street,

SW, Washington, DC 20410; telephone

(202) 708–1872, ext. 4064. Subsequent

to application submission, you may

contact the Grants Management Center

at (202) 358–0338. (These are not tollfree numbers.) Persons with hearing or

speech impairments may access these

numbers via TTY (text telephone) by

calling the Federal Information Relay

Service at 1–800–877–8339 (this is a

toll-free number).

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of an

application. For more information about

the date and time of this broadcast, you

should consult the HUD web site at

www.hud.gov.

II. Amount Allocated

(A) Available Funding.

Approximately $20 million in one-year

budget authority is available to provide

assistance to approximately 3,500 nonelderly disabled families (who are not

currently receiving housing assistance

in certain Section 8 project-based

developments due to the owners

establishing a preference for the

admission of elderly families, and for

non-elderly disabled families not being

housed in certain Section 202, Section

221(d)(3) and Section 236 developments

or portions thereof where the owners

have restricted occupancy to elderly

families).

In the event approvable applications

are received for more than the

approximately $20 million announced

as available under this announcement,

funds will be transferred from the

approximately $20 million available

under the funding announcement for

Rental Assistance for Non-Elderly

Persons with Disabilities in Support of

Designated Housing Plans program to

the extent funds remain unobligated

after funding all approvable

applications under that announcement.

Any funding remaining unobligated

under this announcement providing

assistance for non-elderly persons with

disabilities related to certain

developments will be used first to fund

any approvable applications under the

announcement for Rental Assistance for

Non-Elderly Persons with Disabilities in

Support of Designated Housing Plans,

for which there may be insufficient

funds. Any funds still remaining

unobligated will be used to fund any

approvable applications under the

announcement for Mainstream Housing

Opportunities for Persons with

Disabilities for which there are

insufficient funds.

(B) Voucher Funding, Preliminary

Fees and Underfunding Corrections.

(1) Voucher Funding.

(a) Maximum Voucher Request. PHAs

are limited to applying for no more than

a maximum of 200 units (vouchers). A

PHA may apply only for the number of

units needed to house:

(i) Those non-elderly disabled

families who are on the waiting list of

an owner of a Section 8 project-based

development identified in Section

III(A)(1) of this announcement where

the owner elected to provide

preferences to elderly families and to

house other non-elderly disabled

families residing in the community who

would qualify for one- or zero-bedroom

units; and/or

(ii) Those non-elderly disabled

families who are on the waiting list of

an assisted housing development

identified in Section III(A)(2) of this

announcement, or are otherwise

residing in the community, but in either

12384 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

instance are not being housed in these

assisted housing developments where

the owners have restricted occupancy in

the developments (or portion thereof) to

elderly. Non-elderly disabled families in

this second category would also need to

qualify for one- or zero- bedroom units.

Note: The PHA may apply for a twobedroom unit under this Section II(B) in such

instances where a non-elderly disabled

family requires the extra bedroom for

purposes of a live-in aide, or for medical

equipment.

(b) Determination of Funding Amount

for the PHA’s Requested Number of

Vouchers. HUD will determine the

amount of funding that you will be

awarded under this announcement

based upon an actual annual per unit

cost {except that for Moving to Work

(MTW) agencies the per unit cost will be

calculated in accordance with the

agency’s MTW Agreement for MTW

units} using the following three step

process:

(i) HUD will extract the total

expenditures for all your housing choice

(Section 8) programs and the unit

months leased information from the

most recent approved year end

statement (form HUD–52681) that the

PHA has filed with HUD. HUD will

divide the total expenditures for all of

your housing choice (Section 8)

programs by the unit months leased to

derive an average monthly per unit cost.

(ii) HUD will multiply the monthly

per unit cost by 12 (months) to obtain

an annual per unit cost.

(iii) HUD will multiply the annual per

unit cost derived under paragraph (ii)

above by the Housing Choice Voucher

(Section 8) Housing Assistance

Payments Program Contract Rent

Annual Adjustment Factor (with the

highest utility included) to generate an

adjusted annual per unit cost. For a

PHA whose jurisdiction spans multiple

annual adjustment factor areas, HUD

will use the highest applicable annual

adjustment factor.

Note: If you do not currently administer a

housing choice certificate or voucher

program, your voucher funding will be based

upon the annual actual per unit costs of a

PHA in your most immediate area

administering a housing choice certificate or

voucher program, using the three step

process described immediately above.

(2) Preliminary Fee. A preliminary fee

of up to $500 per unit for preliminary

(start-up) expenses will be paid to PHAs

that have not previously administered

their own housing choice program that

are selected for funding under this

announcement. The preliminary fee will

be provided to such PHAs only in their

first year administering housing choice

vouchers.

(3) Underfunding Corrections. If prior

to the award of funding HUD

determines that any awardees under the

FY 2000 NOFA for the same purpose

have been underfunded due to an error

attributable to HUD, funding will be

increased to the amount that the

awardee should have received.

III. Program Description, Eligible

Applicants, and Eligible Participants

(A) Program Description. This

program provides housing choice

vouchers to non-elderly disabled

families who are not currently receiving

housing assistance in certain Section 8

project-based developments due to the

owners establishing preferences for the

admission of elderly families, or in

certain types of Section 202, Section

221(d)(3), or Section 236 developments

where the owners are restricting

occupancy in the developments (or

portions thereof) to elderly families. The

vouchers will enable non-elderly

disabled families to rent affordable

housing. The specific types of

developments covered under these two

broad categories are as follows:

(1) Section 651 of the Housing and

Community Development Act of 1992

(42 U.S.C. 13611 allowed owners of the

following covered Section 8 projectbased developments (limited to only

such developments originally designed

primarily for occupancy by elderly

families) to provide preferences to

elderly families in selecting tenants for

available assisted units in those

projects:

(a) Section 8 New Construction

Program, 24 CFR part 880;

(b) Section 8 Substantial

Rehabilitation Program, 24 CFR part

881;

(c) State Housing Agencies Program

(insofar as involving new construction

and substantial rehabilitation), 24 CFR

part 883;

(d) New Construction Set-Aside for

Section 515 Rural Rental Housing

Projects Program, 24 CFR part 884; and

(e) Section 8 Housing Assistance

Program for the Disposition of HUDOwned Projects (insofar as involving

substantial rehabilitation), 24 CFR part

886, subpart C.

(2) Section 658 of the 1992 Act

provides that an owner of a Federally

assisted project (or portion thereof) that

was designed for occupancy for elderly

families may continue to restrict

occupancy in such project (or portion)

to elderly families in accordance with

the rules, standards, and agreements

governing occupancy in such housing in

effect at the time of the development of

the housing. The three types of assisted

housing developments covered by

Section 658 are as follows:

(a) Housing assisted under section 202

of the Housing Act of 1959, as such

section existed before the enactment of

the National Affordable Housing Act

(NAHA);

(b) Housing financed by a loan or

mortgage insured under section

221(d)(3) of the National Housing Act

that bears an interest rate determined

under section 221(d)(5); and

(c) Housing insured, assisted or held

by the Secretary or a State or State

Agency under section 236 of the

National Housing Act.

(B) Eligible Applicants.

(1) A PHA established pursuant to

State law may apply for funding under

this announcement. A regional (multicounty) or State PHA is also eligible to

apply for funding. A PHA may submit

only one application. This one

application per PHA limit applies

regardless of whether or not the PHA is

a State or regional PHA, except in those

instances where such a PHA has been

assigned more than one PHA code

number due to its operating under the

jurisdiction of more than one HUD Field

Office. In such instance, a separate

application under each code shall be

considered for funding, with the

cumulative total of vouchers applied for

under the applications not to exceed the

maximum number of vouchers the PHA

is eligible to apply for under Section

II(B)(1)(a) of this announcement; i.e., no

more than the number of vouchers the

same PHA would be eligible to apply for

if it only had one PHA code number.

Two or more divisions within State

government comprising separate PHAs

shall require the State to determine

which division shall submit an

application to HUD under this funding

announcement. As with other PHAs,

only one application per PHA shall be

considered (see sole exception

referenced immediately above).

Indian Housing Authorities (IHAs),

Indian tribes and their tribally

designated housing entities are not

eligible to apply because the Native

American Housing Assistance and SelfDetermination Act of 1996 does not

allow HUD to enter into new housing

choice voucher (Section 8) annual

contributions contracts (ACC) with IHAs

after September 30, 1997.

(2) Some PHAs currently

administering the housing choice

voucher and certificate programs have,

at the time of publication of this

SuperNOFA, major program

management findings from Inspector

General audits, HUD management

reviews, or independent public

accountant (IPA) audits that are open

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12385

and unresolved or other significant

program compliance problems. HUD

will not accept applications for

additional funding from these PHAs as

contract administrators if, on the

application due date, the findings are

either not closed, or sufficient progress

toward closing the findings has not been

made to HUD’s satisfaction. The PHA

must also, to HUD’s satisfaction, be

making satisfactory progress in

addressing any program compliance

problems. If the PHA wants to apply for

funding under this announcement, the

PHA must submit an application that

designates another housing agency,

nonprofit agency, or contractor, that is

acceptable to HUD. The PHA’s

application must include an agreement

with the other housing agency,

nonprofit agency, or contractor to

administer the new funding increment

on behalf of the PHA, and a statement

that outlines the steps the PHA is taking

to resolve the program findings and the

program compliance problems.

Immediately after the publication of this

SuperNOFA, the local HUD Field Office

will notify, in writing, those PHAs that

are not eligible to apply without such an

agreement. Concurrently, the local HUD

Field Office will provide a copy of each

such written notification to the Grants

Management Center. The PHA may

appeal the decision in writing, if HUD

has mistakenly classified the PHA as

having outstanding management or

compliance problems. Any appeal must

be accompanied by conclusive evidence

of HUD’s error (i.e., documentation

showing that the finding has been

cleared or satisfactory progress toward

closing the findings or addressing

compliance problems has been made)

and must be received prior to the

application deadline. The appeal should

be submitted to the local HUD Field

Office where a final determination shall

be made. Concurrently, the local HUD

Field Office shall provide the Grants

Management Center with a copy of its

written response to the appeal, along

with a copy of the PHA’s written appeal.

Major program management findings are

those that would cast doubt on the

capacity of the PHA to effectively

administer any new housing choice

voucher funding in accordance with

applicable HUD regulatory and statutory

requirements.

(C) Eligible Participants. Eligible

participants include non-elderly

disabled families who were on the

waiting list (at the time of the PHA’s

application) of a covered development

identified in this announcement where

the owner had exercised a preference for

the admission of elderly families, or

restricted occupancy to elderly families,

respectively, at the time the PHA

received the names of these families

from the owner of the development(s)

for purposes of requesting housing

choice vouchers in response to this

announcement. These non-elderly

disabled families need not be listed on

the PHA’s housing choice voucher

waiting list in order to be offered and

receive housing choice voucher

assistance; i.e., it is sufficient that their

names are on the waiting list for a

covered development at the time their

names are provided to the PHA by the

owner. Eligible participants also include

other non-elderly disabled families

residing in the community who would

qualify for a one- or zero-bedroom unit.

(See the note in this announcement at

the end of Section II(B)(1)(a) for those

limited instances in which a PHA could

also apply for funding for a twobedroom unit.) Non-elderly disabled

families must be income eligible under

24 CFR 982.201(b)(1) in order to receive

a rental voucher, as well as otherwise

eligible for assistance under the

regulations at 24 CFR part 982.201(b).

IV. Program Requirements and

Operations

In addition to the civil rights

compliance and nondiscrimination

requirements listed in the General

Section of this SuperNOFA, grantees

must meet the following program

requirements:

(A) Affirmatively Furthering Fair

Housing. Each successful applicant will

have a duty to affirmatively further fair

housing. Applicants will be required to

identify the specific steps that they will

take to:

(1) Examine the PHA’s own programs

or proposed programs, including an

identification of any impediments to fair

housing (identified in the jurisdiction’s

Analysis of Impediments (AI) to Fair

Housing Choice in its Consolidated

Plan); develop a plan to (a) address

those impediments in a reasonable

fashion in view of the resources

available; and (b) work with the local

jurisdictions to implement any of the

jurisdictions’ initiatives to affirmatively

further fair housing; and maintain

records reflecting these analyses and

actions;

(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 under this

announcement to address affirmatively

furthering fair housing.

(B) Certifications and Assurances.

Each applicant is required to submit

signed copies of Assurances and

Certifications. The standard Assurances

and Certifications are on Form HUD–

52515, Funding Application, which

includes the Equal Opportunity

Certification, Certification Regarding

Lobbying, and Certification Regarding

Drug-Free Workplace Requirements.

(C) Voucher Assistance Requirements.

(1) Housing Choice Voucher Program

regulations. PHAs must administer the

housing choice vouchers received under

this announcement in accordance with

HUD regulations and requirements

governing the Housing Choice Voucher

Program.

(2) Housing Choice Voucher

admission requirements. Housing

choice vouchers must be provided to

eligible applicants in conformity with

regulations and requirements governing

the Housing Choice Voucher Program

and the PHA’s administrative plan.

(3) Turnover. When a voucher under

this announcement becomes available

for reissue (e.g., the family initially

selected for the program drops out of the

program or is unsuccessful in the search

for a unit), the voucher may be used

only for another individual or family

eligible for assistance under this

announcement subject to appropriations

for renewal funding, from the date the

voucher funding is placed under an

annual contributions contract (ACC).

If there is ever an insufficient pool of

disabled families on the PHA’s housing

choice voucher waiting list, the PHA

shall conduct outreach to encourage

eligible persons to apply for this special

allocation of vouchers. Outreach may

include contacting independent living

centers, advocacy organizations for

persons with disabilities, and medical,

mental health, and social service

providers for referrals of persons

receiving such services who would

benefit from housing choice voucher

assistance. If the PHA’s housing choice

voucher waiting list is closed, and if the

PHA has insufficient applicants on its

housing choice voucher waiting list to

use all awarded vouchers under this

announcement, the PHA shall open the

waiting list for applications from

disabled families.

(D) PHA Responsibilities. In addition

to PHA responsibilities under the

Housing Choice Voucher Program and

HUD regulations concerning

nondiscrimination based on disability

(24 CFR 8.28) and to affirmatively

further fair housing, PHAs that receive

voucher funding shall:

(1) Where requested by an individual,

assist program participants to gain

access to supportive services available

12386 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

within the community, but not require

eligible applicants or participants to

accept supportive services as a

condition of participation or continued

occupancy in the program.

(2) Identify public and private

funding sources to assist participants

with disabilities in covering the costs of

modifications that need to be made to

their units as a reasonable

accommodation for their disabilities.

(3) Not deny persons who qualify for

a housing choice voucher under this

program other housing opportunities, or

otherwise restrict access to PHA

programs to eligible applicants who

choose not to participate.

(4) Provide housing choice voucher

search assistance.

(5) In accordance with regulatory

guidance, provide higher rent to owners

necessary for the provision of accessible

units and structural modifications for

persons with disabilities.

(6) Provide technical assistance to

owners for making reasonable

accommodations or making units

accessible to persons with disabilities.

PHAs are encouraged to coordinate

with/involve nonprofit disability

organizations in their meeting the

requirements of paragraphs 1, 2, 4 and

6 immediately above. PHAs are

encouraged to seek out nonprofit

disability organizations in this regard

due to such organizations’ capacity for

assisting disabled families, and their indepth knowledge of the disability

community and the available resources

to assist disabled persons.

(E) Definitions.

(1) Elderly Family. A family whose

head of household, spouse, or sole

member is 62 years or older.

(2) Non-elderly Disabled Family. A

family who is not elderly, and whose

head, spouse, or sole member is a

person with disabilities. The term ‘‘nonelderly disabled family’’ may include

two or more such persons with

disabilities living together, and one or

more such persons with disabilities

living with one or more persons who are

determined essential to the care and

well-being of the person or persons with

disabilities (live-in aides).

(3) Person with Disabilities. A person

who—

(a) Has a disability as defined in

section 223 of the Social Security Act

(42 U.S.C. 423), or

(b) Is determined to have a physical,

mental or emotional impairment that:

(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, or

(c) Has a developmental disability as

defined in section 102 of the

Developmental Disabilities Assistance

and Bill of Rights Act (42 U.S.C.

6001(5)).

The term ‘‘person with disabilities’’

does not exclude persons who have the

disease of acquired immunodeficiency

syndrome (AIDS) or any conditions

arising from the etiologic agent for

acquired immunodeficiency syndrome

(HIV).

Note: While the above definition of a

‘‘person with disabilities’’ is to be used for

purposes of determining a family’s eligibility

for a housing choice voucher under this

announcement, 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 meeting the requirements of Fair

Housing laws, including providing

reasonable accommodations.

No individual shall be considered a

person with disabilities for the purpose

of determining eligibility solely on the

basis of any drug or alcohol

dependence.

(4) Housing Choice Voucher Search

Assistance. Assistance to increase

access by program participants to

housing units in a variety of

neighborhoods (including areas with

low poverty concentrations) and to

locate and obtain units suited to their

needs.

V. Application Selection Process

After the Grants Management Center

has screened all applications and

disapproved any found unacceptable for

further processing, the Grants

Management Center will review all

remaining applications to ensure that

they are technically adequate and

responsive to the requirements

identified in this program section of this

SuperNOFA.

HUD Headquarters will fund on a

first-come, first-serve basis all

approvable applications that are

recommended for funding by the Grants

Management Center, based upon the

date and time the application is

received in the Grants Management

Center. As applications are selected, the

cost of funding the applications will be

subtracted from the funds available. In

the event approvable applications are

received for more than the

approximately $20 million available,

funds will be transferred from the

approximately $20 million available

under the Rental Assistance for Nonelderly Persons with Disabilities in

Support of Designated Housing Plans

program to the extent such funds have

not been obligated under that program

for approvable applications.

Applications will be funded for the total

number of units requested and

recommended for approval by the

Grants Management Center. When

remaining budget authority is

insufficient to fund the last selected

application in full the Grants

Management Center will fund that

application to the extent of the funding

available, unless the application

indicates that the PHA will only accept

a higher number of units. In that event,

HUD will fund the next selected

application that has indicated a

willingness to accept the lesser amount

of funding for units available.

VI. Application Submission

Requirements

(A) Form HUD–52515. All PHAs must

complete and submit form HUD–52515,

Funding Application, for the Housing

Choice Voucher Program (Section 8),

(dated January 1996). This form

includes all necessary certifications for

Fair Housing, Drug Free Workplace and

Lobbying Activities. PHAs are requested

to enter their housing authority code

number (for example, CT002), telephone

number, facsimile number, and

electronic mail address in the same

space at the top of the form where they

also enter the PHA’s name and mailing

address. Section C of the form should be

left blank. A copy of Form HUD–52515

is included in the forms found in

Appendix B to the General Section of

the SuperNOFA. Copies of the form may

also be downloaded from the HUD

Home page site on the Internet’s world

wide web (http://www.HUD.gov). (On

the HUD website click on ‘‘handbooks

and forms,’’ then click on ‘‘forms,’’ then

click on ‘‘HUD–5’’ and click on ‘‘HUD–

52515.’’ The form must be completed in

its entirety, with the exception of

Section C, signed and dated.

(B) Letter of Intent and Narrative. The

PHA must state in its cover letter to the

application whether the PHA will

accept a reduction in the number of

vouchers, and the minimum number of

vouchers the PHA will accept, since the

funding is limited and HUD may only

have enough funds to approve a smaller

amount than the number of vouchers

requested. The maximum number of

vouchers that a PHA may apply for

under this announcement is limited to

200.

(C) Demonstration of Need:

Certification/Waiting List Information

and Other Non-Elderly Disabled

Families Residing in the Community. In

order to support the number of vouchers

being requested on the form HUD–

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12387

52515, the PHA’s application must

include:

(1) A certification from the owner of

a covered development (see the different

types of covered developments listed in

Section III(A)(1) and (2) of this

announcement), stating the specific type

of covered development, preferences are

provided to elderly families in selecting

tenants (Section 8 project-based

developments) or occupancy in the

development (or portion thereof) is

restricted to elderly families (assisted

housing developments), and the number

of non-elderly disabled families on the

owner’s waiting list for the

development. (PHAs may contact the

local HUD Field Office’s Director,

Multifamily Division, to get the names,

addresses and telephone numbers of the

developments falling under Section

III(A)(1) and (2) in this announcement.

The PHA will then need to contact the

management/owners of these

developments within their jurisdiction

to verify that the development is a

covered development. Owners of

covered developments are encouraged

to cooperate with PHAs and provide the

required certification (if applicable) in a

timely manner, along with the names,

addresses and telephone numbers of

those families on the development’s

waiting list that are non-elderly disabled

families.)

(2) PHAs must also submit

information supportive of the number of

other non-elderly disabled families

residing in the community who would

qualify for one-bedroom or zerobedroom units (not on the waiting lists

of covered developments). (See the note

at the end of Section II(B)(1)(a) of this

announcement which identifies those

limited instances in which a PHA may

apply for funding for a two-bedroom

unit.) The application must demonstrate

a need for vouchers by providing

information documenting that the

demand for housing for non-elderly

disabled families would equal or exceed

the requested number of vouchers (not

to exceed 200). The PHA must assess

and document the need using a range of

sources including, but not limited to:

census data, information from the PHA’s

waiting list (both public housing and

housing choice voucher), statistics on

recent public housing admissions and

certificate and voucher use, data from

local advocacy groups and local public

and private service agencies familiar

with the housing needs of non-elderly

disabled families, and pertinent

information from the Consolidated Plan

(including the Analysis of Impediments

to Fair Housing Choice) applicable to

the PHA’s jurisdiction. (See 24 CFR

91.205(d).)

(D) Statement Regarding the Steps the

PHA Will Take to Affirmatively Further

Fair Housing. The areas to be addressed

in the PHA’s statement should include,

but not necessarily be limited to:

(1) The examination of the PHA’s own

programs or proposed programs,

including an identification of any

impediments to fair housing (identified

in the jurisdiction’s Analysis of

Impediments (AI) to Fair Housing

Choice in its Consolidated Plan); and a

description of a plan developed to (a)

address those impediments in a

reasonable fashion in view of the

resources available; and (b) work with

local jurisdictions to implement any of

the jurisdictions’ initiatives to

affirmatively further fair housing; and

the maintenance of records reflecting

this analysis and actions;

(2) Remedy discrimination in housing

for persons with disabilities regardless

of race, color, religion, sex, familial

status, national origin, or nature of

disability; or

(3) Promote fair housing rights and

fair housing choice.

(E) Moving to Work (MTW) PHA

Information and Certification. See

Section VII(B)(2)(c) regarding the

information to be submitted by an MTW

PHA required to report under the

Section 8 Management Assessment

Program (SEMAP) but not meeting the

95 percent lease-up or budget authority

utilization requirements, or the lease-up

or budget authority utilization

certification to be submitted by an MTW

PHA not required to report under

SEMAP.

(F) Multifamily Tenant Characteristics

System (MTCS) Reporting Certification.

In order to be eligible to submit an

application under this announcement,

the PHA must have had a minimum

reporting rate of not less than 85 percent

for housing choice voucher and

certificate resident records to HUD’s

MTCS (see 24 CFR Part 908 and Notices

PIH 98–30, 99–2 and 2000–13) for the

period ending December 1999, and must

submit a certification with its

application certifying to having met this

requirement. In the event a PHA

received less than an 85 percent rate of

reporting under MTCS for this period,

the PHA will still be considered to have

passed the threshold requirement if: (1)

it subsequently achieved a minimum

reporting rate of not less than 85 percent

for public housing resident records

under the MTCS as of the December

2000 reporting period; or (2) the PHA

was granted forbearance by HUD under

the applicable procedures under PIH

Notices 2000–13 for the semi-annual

assessment period ending December,

2000. In this latter instance, the PHA

must submit a certification with its

application indicating that it has either

achieved such a minimum reporting rate

as of the December 2000 reporting

period, or that it has obtained a

forbearance from HUD for the semiannual assessment period ending

December 2000.

VII. Corrections to Deficient

Applications

(A) Acceptable Applications. The

application must include all of the

information specified in Section VI,

Application Submission Requirements,

of this announcement. The General

Section of the SuperNOFA provides the

procedures for corrections to deficient

applications.

(B) Unacceptable Applications. (1)

After the 14-calendar day technical

deficiency correction period (as

provided in the General Section), the

Grants Management Center will

disapprove all applications that the

Grants Management Center determines

are not acceptable for processing. The

notification of rejection letter will state

the basis for the decision.

(2) Applications that fall into any of

the following categories will not be

processed:

(a) Applications that do not meet the

threshold fair housing and civil rights

compliance requirements of Section

II(B) of the General Section of the

SuperNOFA.

(b) The PHA has major program

management findings in an Inspector

General audit, HUD management

review, or independent public

accountant (IPA) audit for its voucher or

certificate programs that are not closed

or on which satisfactory progress in

resolving the findings is not being made;

or program compliance problems for its

voucher or certificate programs on

which satisfactory progress is not being

made. The only exception to this

category is if the PHA has been

identified under the policy established

in Section III(B)(2) of this

announcement and the PHA makes

application with a designated contract

administrator. Major program

management findings are those that

would cast doubt on the capacity of the

PHA to effectively administer any new

housing choice voucher funding in

accordance with applicable HUD

regulatory and statutory requirements.

(c) The PHA has failed to achieve a

lease-up rate of 95 percent for its

combined certificate and voucher units

under contract for its fiscal year ending

in 1999. Category (c) may be passed,

however, if the PHA achieved a

combined certificate and voucher

budget authority utilization rate of 95

12388 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

percent or greater for its fiscal year

ending in 1999. In the event the PHA is

unable to meet either of these

percentage requirements, it may still

pass category (c) if it submits

information to the GMC, as part of its

application, demonstrating that it was

able to either increase its combined

certificate and voucher lease-up rate to

95 percent or greater for its fiscal year

ending in 2000, or was able to increase

combined certificate and voucher

budget authority utilization to 95

percent or more for its fiscal year ending

in 2000. PHAs that have been

determined by HUD to have passed

either the 95 percent lease-up, or 95

percent budget authority utilization

requirement for their fiscal year ending

in 1999 will be listed with this funding

announcement on a HUD website:

(www.hud.gov/grants). A PHA not

listed must either submit information

(following the format of Appendix A of

this NOFA) in its application supportive

of its 95 percent lease-up or 95 percent

budget authority utilization

performance for its fiscal year ending in

2000, or submit information (following

the format of Appendix A of this NOFA)

as part of its application supportive of

its contention that it should have been

included among those PHAs HUD listed

on the HUD website as having achieved

either a 95 percent lease-up rate or 95

percent funding utilization rate for fiscal

years ending in 1999. Appendix A of

this NOFA indicates the methodology

and data sources used by HUD to

calculate the lease-up and budget

authority utilization percentage rates for

PHAs with fiscal years ending in 1999.

Any PHA wishing to submit information

to the GMC in connection with its 1999

fiscal year or 2000 fiscal year for the

purposes described immediately above

(so as to be eligible under category (c)

to submit an application) will be

required to use the same methodology

and data sources indicated in Appendix

A.

Moving To Work (MTW) agencies that

are required to report under the Section

8 Management Assessment Program

(SEMAP) shall be held to the 95 percent

lease-up and budget authority

utilization requirements referenced

above, except where such an MTW

agency provides information in its

application demonstrating to HUD that

a lower percentage is the result of the

implementation of specific aspects of its

program under its MTW agreement with

HUD. MTW agencies which are not

required to report under SEMAP must

submit a certification with their

application certifying that they are not

required to report under SEMAP, and

that they meet the 95 percent lease-up

or budget authority utilization

requirements.

PHAs not currently administering a

certificate or voucher program, or who

received voucher funding for the first

time for FY 2000 will not be subject to

the 95 percent lease-up or budget

authority utilization requirements of

this section (c).

(d) The PHA is involved in litigation

and HUD determines that the litigation

may seriously impede the ability of the

PHA to administer the vouchers.

(e) An application that does not

comply with the requirements of 24 CFR

982.102 and this program section after

the expiration of the 14-calendar day

technical deficiency correction period

will be rejected from processing.

(f) The application was submitted

after the application due date.

(g) The application was not submitted

to the official place of receipt as

indicated in the paragraph entitled

‘‘Address for Submitting Applications’’

at the beginning of this announcement.

(h) The applicant has been debarred

or otherwise disqualified from

providing assistance under the program.

(i) The applicant has failed to achieve

a minimum 85 percent submission rate

for housing choice voucher and

certificate resident records to HUD’s

Multifamily Tenant Characteristics

System (MTCS), (see 24 CFR Part 908

and Notices PIH 98–30 and 2000–13),

for the period ending December 1999,

and December 2000, and did not receive

HUD forbearance.

VIII. Environmental Requirements

In accordance with 24 CFR

50.19(b)(11) of the HUD regulations,

tenant-based rental activities under this

program are categorically excluded from

the requirements of the National

Environmental Policy Act of 1969

(NEPA) and are not subject to

environmental review under the related

laws and authorities.

IX. Authority

Authority for this program is found in

the Departments of Veteran’s Affairs and

Housing and Urban Development, and

Independent Agencies Appropriations

Act, FY 2001 (Pub.L. 106–377, approved

October 27, 2000). This FY 2001

Appropriations Act authorized

appropriations for housing choice

vouchers to assist non-elderly disabled

families affected by the establishment of

preferences in accordance with section

651 of the Housing and Community

Development Act of 1992, or the

restriction of occupancy to elderly

families in accordance with section 658

of the Act. The FY 2000 Appropriations

Act also allows the Secretary to transfer

any unobligated funds for this purpose

to assist non-elderly disabled families to

the extent they are not needed under

Sections 651 and 658 for such families.

Therefore, any funds remaining

unobligated under this program section

of this SuperNOFA will be used first to

fund any approvable applications under

the Rental Assistance for Non-Elderly

Persons With Disabilities in Support of

Designated Housing Plans program for

which there are insufficient funds.

Thereafter, any funds still remaining

unobligated will be used to fund

applications under the Mainstream

Program in the SuperNOFA.

Appendix A—Methodology for

Determining Lease-up and Budget

Authority Utilization Percentage Rates

Using data from the HUDCAPS system,

HUD determined which PHAs met the 95%

budget authority utilization or 95% lease-up

criteria. The data used in the determination

was based on PHA fiscal years ending in

1999. The budget authority utilization and

lease-up rates were determined based upon

the methodology indicated below.

Budget Authority Utilization

Percentage of budget authority utilization

was determined by comparing the total

contributions required to the annual budget

authority (ABA) available for the PHA 1999

year combining the certificate and voucher

programs.

Total contributions required were

determined based on the combined actual

costs approved by HUD on the form HUD–

52681, Year End Settlement Statement. The

components which make up the total

contributions required are the total of

housing assistance payments, ongoing

administrative fees earned, hard to house fees

earned, and IPA audit costs. From this total

any interest earned on administrative fees is

subtracted. The net amount is the total

contributions required.

ABA is the prorated portion applicable to

the PHA 1999 year for each funding

increment which had an active contract term

during all or a portion of the PHA year.

Example

PHA ABC FISCAL YEAR 10/1/98

THROUGH 9/30/99

[HUD 52681 Approved Data]

HAP .......................................... $2,500,000

Administrative fee ..................... 250,000

Hard to house fee ..................... 1,000

Audit .......................................... 2,000

Total ................................... 2,753,000

Interest earned on administrative fee .................................. (2,500)

Total contributions

required ............................. 2,750,500

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12389

CALCULATION OF ANNUAL BUDGET AUTHORITY

Increments and contract term Total BA ABA

001 11/01/98–10/31/99 ......................................................................................................................................... $1,300,000 $1,191,667

002 01/01/99–12/31/99 ......................................................................................................................................... 1,200,000 900,000

003 04/01/99–03/31/00 ......................................................................................................................................... 950,000 475,000

004 07/01/99–06/30/00 ......................................................................................................................................... 1,500,000 375,000

Totals ................................................................................................................................................................ 4,950,000 2,941,667

Budget Authority Utilization:

Total contributions required .............................................................................................................................. 2,750,000

divided by

Annual budget authority ................................................................................................................................... 2,941,667

equals

Budget Authority Utilization (percent) ............................................................................................................... 93.5

Lease-up Rate

The lease-up rate was determined by

comparing the contract units (funding

increments active as of the end of the PHA

1999 year) to the unit months leased (divided

by 12) reported on the combined HUD 52681,

Year End Settlement Statement(s) for 1999.

Active funding increments awarded by

HUD for special purposes such as litigation,

relocation/replacement, housing conversions,

Welfare to Work, and new units awarded to

the PHA during the last twelve months were

excluded from the contract units as the

Department recognizes that many of these

unit allocations have special requirements

which require extended periods of time to

achieve lease-up.

Example

Increments and contract term Units

001 11/01/98–10/31/99 ................ 242

002 01/01/99–12/31/99 ................ 224

003 04/01/99–03/31/00 ................ 178

004 07/01/99–06/30/00 ................ 280

Totals ....................................... 924

Increment 003 litigation .................. (178)

Adjusted contract units ................... 746

Increments and contract term Units

Unit months leased reported by

PHA ............................................. 8,726

divided by 12 ............................... 727

Units leased .................................... 727

Lease-up rate:

Units leased ................................ 727

divided by adjusted contract

units ..................................... 746

equals

Lease-up rate (percent) .............. 97.4

BILLING CODE 4210–32–P

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12391

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12393

FUNDING AVAILABILITY FOR

RENTAL ASSISTANCE FOR NONELDERLY PERSONS WITH

DISABILITIES IN SUPPORT OF

DESIGNATED HOUSING PLANS

Program Overview

Purpose of the Program. The purpose

of the voucher funding being made

available under the Housing Choice

Voucher Program through this

announcement is to enable non-elderly

families with disabilities to rent

affordable private housing. The

vouchers will assist public housing

agencies (PHAs) in providing sufficient

alternative resources to meet the

housing needs of those non-elderly

disabled families who would have been

housed by the PHA if occupancy in a

designated public housing project/

building (or portion thereof) were not

restricted to elderly households, and

assist PHAs who wish to continue to

designate their buildings as ‘‘mixed

elderly and disabled buildings’’ but can

demonstrate a need for alternative

resources for non-elderly disabled

families.

Available Funds. Approximately $20

million in one-year budget authority for

approximately 3,500 housing choice

vouchers.

Eligible Applicants. Public housing

agencies (PHAs). Indian Housing

Authorities, Indian tribes and their

tribally designated housing entities are

not eligible to apply because the Native

American Housing Assistance and SelfDetermination Act of 1996 does not

allow HUD to enter into new housing

choice voucher (Section 8) annual

contributions contracts (ACC) with IHAs

after September 30, 1997. Further, IHAs

would not otherwise have been eligible

to apply under this announcement

because the requirements of section 7 of

the U.S. Housing Act of 1937 (42 U.S.C.

1437e) regarding designated housing

plans are not applicable to IHAs.

Application Deadline. The

application in its entirety must be

submitted to HUD’s Grants Management

Center by July 24, 2001.

Not later than seventy-five (75) days

prior to that date; i.e., by May 16, 2001,

the designated housing plan portion of

the application must be submitted to

HUD’s Special Application Center.

Match: None.

Additional Information

If you are interested in applying for

funding under this program, please

review carefully the General Section of

this SuperNOFA and the following

additional information.

I. Application Due Dates, Application

Kits, Further Information and

Technical Assistance

Application Due Dates. Submit your

original and one copy of your completed

application (including the designated

housing plan, as appropriate) to HUD on

or before 12:00 midnight, Eastern time,

on July 24, 2001.

See the General Section of this

SuperNOFA for specific procedures

concerning the form of application

submission (e.g., mailed applications,

express mail, overnight delivery, or

hand carried).

Address for Submitting Applications.

Your completed application consists of

an original and two copies. Submit the

original application and one copy to

Michael Diggs, Director, Grants

Management Center, Department of

Housing and Urban Development, 501

School Street, SW, Suite 800,

Washington, DC 20024. Applications

which are hand carried or sent via

overnight delivery service should be

delivered to this address. The Grants

Management Center is the official place

of receipt for all applications in

response to this announcement of

funding availability. Your application

will be accepted at this address until

6:00 pm, Eastern time, on the

application deadline.

After 6:00 pm on the application

deadline date, applications will be

accepted in the South Lobby of HUD

Headquarters, 451 Seventh Street, SW,

Washington, DC 20410, until 12:00

midnight Eastern time.

Submit one copy of the designated

housing plan portion of your

application to the Office of Public

Housing, Special Application Center

(SAC), Room 2401, 77 West Jackson

Boulevard, Chicago, IL 60604 (312–886–

9754), so as to be received by the SAC

by not later than May 16, 2001. Note:

The Special Application Center is

allowed, by statute, 60 days in which to

review a PHA’s designated housing

plan.

A PHA submitting an application for

voucher funding under this

announcement shall not be eligible for

funding if it does not submit its entire

application to the GMC, and the

designated housing plan portion of its

application (as applicable) to the SAC,

by the deadline dates specified above.

A copy of your application is not

required to be submitted to the local

HUD Field Office. For ease of reference,

the term ‘‘local HUD Field Office’’ will

be used in this announcement to mean

the local HUD Field Office Hub and

local HUD Field Office Program Center.

A listing of HUD Field Offices is

attached to the General Section of this

SuperNOFA.

For Application Kits. An application

kit is not necessary for submitting an

application in response to this

announcement. This announcement

contains all the information necessary

for the submission of your application

for voucher funding under this

announcement.

For Further Information and

Technical Assistance. Prior to the

application due date, you may contact

George C. Hendrickson, Housing

Program Specialist, Room 4216, Office

of Public and Assisted Housing

Delivery, Department of Housing and

Urban Development, 451 Seventh Street,

SW, Washington, DC 20410; telephone

(202) 708–1872, ext. 4064. Subsequent

to application submission, you may

contact the Grants Management Center

at (202) 358–0338. (These are not tollfree numbers.) Persons with hearing or

speech impairments may access these

numbers via TTY (text telephone) by

calling the Federal Information Relay

Service at 1–800–877–8339 (this is a

toll-free number).

Satellite Broadcast. HUD will hold an

information broadcast via satellite for

potential applicants to learn more about

the program and preparation of an

application. For more information about

the date and time of this broadcast, you

should consult the HUD web site at

www.hud.gov.

II. Amount Allocated

(A) Available Funding.

Approximately $20 million in one-year

budget authority is available for housing

choice vouchers for non-elderly

disabled families in support of

designated housing plans to designate

public housing for occupancy by elderly

families only, or elderly families and

disabled families only. This funding is

expected to provide assistance to

approximately 3,500 non-elderly

disabled families.

The FY 2001 HUD Appropriations Act

allows the Secretary of HUD to transfer

any unobligated funds for support of

designated housing plans to assist nonelderly disabled families to the extent

they are not needed to fund approvable

applications related to designated

housing plans during FY 2001.

Accordingly, any funds remaining

unobligated under this announcement

will first be used to fund any approvable

applications under HUD’s

announcement for Rental Assistance for

Non-Elderly Persons with Disabilities

Related to Certain Types of Section 8

Project-Based Developments and

Section 202, Section 221(d)(3) and

Section 236 Developments, for which

12394 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

there are insufficient funds. Any funds

still remaining unobligated under this

announcement for funding in support of

designated housing plans shall be used

to fund any approvable applications

under HUD’s announcement for

Mainstream Housing Opportunities For

Persons With Disabilities, for which

there are insufficient funds.

(B) Voucher Funding.

(1) Maximum Voucher Request. A

PHA may apply for only the number of

units needed to house those non-elderly

disabled families that otherwise would

have been housed if not for the

designation of a project/building (or

portion thereof) for occupancy by the

elderly only. The size of the units

applied for must bear a direct

relationship to the size of the units

designated. PHAs are limited to

applying for no more than a maximum

of 200 units (vouchers).

(2) Determination of Funding Amount

for the PHA’s Requested Number of

Vouchers. HUD will determine the

amount of funding that a PHA will be

awarded under this announcement

based upon an actual annual per unit

cost {except that for Moving to Work

(MTW) agencies the per unit cost will be

calculated in accordance with the

agency’s MTW Agreement for MTW

units} using the following three step

process:

(a) HUD will extract the total

expenditures for all the PHA’s housing

choice (Section 8) programs and the unit

months leased information from the

most recent approved year end

statement (form HUD–52681) that the

PHA has filed with HUD. HUD will

divide the total expenditures for all of

the PHA’s housing choice (Section 8)

programs by the unit months leased to

derive an average monthly per unit cost.

(b) HUD will multiply the monthly

per unit cost by 12 (months) to obtain

an annual per unit cost.

(c) HUD will multiply the annual per

unit cost derived under section (ii)

above by the Housing Choice Voucher

(Section 8) Housing Assistance

Payments Program Contract Rent

Annual Adjustment Factor (with the

highest cost utility included) to generate

an adjusted annual per unit cost. For a

PHA whose jurisdiction spans multiple

annual adjustment factor areas, HUD

will use the highest applicable annual

adjustment factor.

Note: Applicants who do not currently

administer a housing choice certificate or

voucher program shall have their voucher

funding based upon the actual annual per

unit costs of the PHA in their most

immediate area administering a housing

choice certificate or voucher program, using

the three step process described immediately

above.

(3) Preliminary Fee. A preliminary fee

of up to $500 per unit for preliminary

(start-up) expenses will be paid to PHAs

that have not previously administered

their own housing choice voucher

program and that are selected for

funding under this announcement. The

preliminary fee will be provided to such

PHAs only in their first year

administering housing choice vouchers.

(4) Underfunding Corrections. If prior

to the award of funding under this

Designated Housing announcement,

HUD determines that any awardees

under the FY 2000 Designated Housing

announcement have been underfunded

due to an error attributable to HUD,

funding will be increased to the amount

that the awardee should have received.

III. Program Description, Eligible

Applicants, and Eligible Participants

(A) Program Description. This

program provides housing choice

vouchers to assist non-elderly disabled

families who would have been housed

by a PHA if occupancy in the designated

public housing project/building (or

portion thereof) were not restricted to

elderly households, and assist PHAs

that wish to continue to designate their

projects/buildings (or portions thereof)

as ‘‘mixed elderly and disabled

buildings’’ and can demonstrate a need

for alternative housing resources for

non-elderly disabled families that is

consistent with the jurisdiction’s

Consolidated Plan and the low-income

housing needs of the jurisdiction.

(B) Eligible Applicants. A PHA

established pursuant to State law may

apply for funding under this

announcement. A regional (multicounty) or State PHA is also eligible to

apply for funding. A PHA may submit

only one application under this

announcement. This one application per

PHA limit applies regardless of whether

the PHA is a State or regional PHA,

except in those instances where such a

PHA has more than one PHA code

number due to its operating under the

jurisdiction of more than one HUD Field

Office. In such instance, a separate

application under each code shall be

considered for funding, with the

cumulative total of vouchers applied for

under the applications not to exceed the

maximum number of vouchers the PHA

is eligible to apply for under section

II(B)(1) of this announcement; i.e., no

more than the number of vouchers the

same PHA would be eligible to apply for

if it only had one PHA code number.

Two or more divisions within State

government comprising separate PHAs

shall require the State to determine

which division shall submit an

application to HUD under this funding

announcement. As with other PHAs,

only one application per PHA shall be

considered (see sole exception

referenced immediately above).

Indian Housing Authorities (IHAs),

Indian tribes and their tribally

designated housing entities are not

eligible to apply because the Native

American Housing Assistance and SelfDetermination Act of 1996 does not

allow HUD to enter into new Housing

Choice Voucher Program (Section 8)

annual contributions contracts (ACC)

with IHAs after September 30, 1997.

Further, IHAs would not otherwise have

been eligible to apply under this

announcement because the

requirements of section 7 of the U.S.

Housing Act of 1937 (42 U.S.C. 1437e)

regarding designated housing plans are

not applicable to IHAs.

Some PHAs currently administering

the housing choice voucher and

certificate programs have, at the time of

publication of this SuperNOFA, major

program management findings from

Inspector General audits, HUD

management reviews, or independent

public accountant (IPA) audits that are

open and unresolved or other significant

program compliance problems. HUD

will not accept applications for

additional funding from these PHAs as

contract administrators if, on the

application due date, the findings are

either not closed, or sufficient progress

toward closing the findings has not been

made to HUD’s satisfaction. The PHA

must also, to HUD’s satisfaction, be

making satisfactory progress in

addressing any program compliance

problems. If the PHA wants to apply for

funding under this announcement, the

PHA must submit an application that

designates another housing agency,

nonprofit agency, or contractor, that is

acceptable to HUD. The PHA’s

application must include an agreement

by the other housing agency, nonprofit

agency, or contractor to administer the

new funding increment on behalf of the

PHA, and a statement that outlines the

steps the PHA is taking to resolve the

program findings and program

compliance problems. Immediately after

the publication of this SuperNOFA, the

local HUD Field Office will notify, in

writing, those PHAs that are not eligible

to apply without such an agreement.

Concurrently, the local HUD Field

Office will provide a copy of each such

written notification to the Grants

Management Center. The PHA may

appeal the decision in writing, if HUD

has mistakenly classified the PHA as

having outstanding management or

compliance problems. Any appeal must

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12395

be accompanied by conclusive evidence

of HUD’s error (i.e., documentation

showing that the finding has been

cleared or satisfactory progress toward

closing the findings or addressing

compliance problems has been made)

and must be received prior to the

application deadline. The appeal should

be submitted to the local HUD Field

Office where a final determination shall

be made. Concurrently, the local HUD

Field Office shall provide the Grants

Management Center with a copy of its

written response to the appeal, along

with a copy of the PHA’s written appeal.

Major program management findings are

those that would cast doubt on the

capacity of the PHA to effectively

administer any new housing choice

voucher funding in accordance with

applicable HUD regulatory and statutory

requirements.

(C) Eligible Participants. Only nonelderly disabled families that are

income eligible under 24 CFR

982.201(b)(1) and who live in public

housing that has been designated for

occupancy by the elderly, or non-elderly

disabled families who are on the PHA’s

public housing waiting list, may receive

a voucher awarded in conjunction with

an approved designated housing plan.

Such families need not be listed on the

PHA’s housing choice voucher waiting

list in order to be offered and receive a

housing choice voucher. These families

may be admitted to the housing choice

voucher program as a special admission

(24 CFR 982.203).

IV. Program Requirements and

Definitions

In addition to the civil rights

compliance and nondiscrimination

requirements listed in the General

Section of this SuperNOFA, grantees

must meet the following program

requirements:

(A) Affirmatively Furthering Fair

Housing. Each successful applicant will

have a duty to affirmatively further fair

housing. Applicants will be required to

identify the specific steps that they will

take to:

(1) Examine the PHA’s own programs

or proposed programs, including an

identification of any impediments to fair

housing (identified in the jurisdiction’s

Analysis of Impediments (AI) to Fair

Housing Choice in its Consolidated

Plan); develop a plan to (a) address

those impediments in a reasonable

fashion in view of the resources

available; and (b) work with the local

jurisdictions to implement any of the

jurisdictions’ initiatives to affirmatively

further fair housing; and maintain

records reflecting these analyses and

actions;

(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 under this

announcement to address affirmatively

furthering fair housing.

(B) Certifications and Assurances.

Each applicant is required to submit

signed copies of Assurances and

Certifications. The standard Assurances

and Certifications are on Form HUD–

52515, Funding Application, which

includes the Equal Opportunity

Certification, Certification Regarding

Lobbying, and Certification Regarding

Drug-Free Workplace Requirements.

(C) Voucher Assistance Requirements.

(1) Housing Choice Voucher Program

regulations. PHAs must administer the

housing choice vouchers received under

this announcement in accordance with

HUD regulations and requirements

governing the Housing Choice Voucher

Program.

(2) Housing Choice Voucher

admission requirements. Housing

choice vouchers must be provided to

eligible applicants in conformity with

regulations and requirements governing

the Housing Choice Voucher Program

and the PHA’s administrative plan.

(3) Turnover. When a voucher under

this announcement becomes available

for reissue (e.g., the family initially

selected for the program drops out of the

program or is unsuccessful in the search

for a unit), the rental assistance may be

used only for another individual or

family eligible for assistance under this

announcement subject to appropriations

for renewal funding, from the date the

rental assistance is placed under an

annual contributions contract (ACC).

(D) PHA Responsibilities. In addition

to PHA responsibilities under the

Housing Choice Voucher Program and

HUD regulations concerning

nondiscrimination based on disability

(24 CFR 8.28) and to affirmatively

further fair housing, PHAs that receive

voucher funding shall:

(1) Where requested by an individual,

assist program participants to gain

access to supportive services available

within the community, but not require

eligible applicants or participants to

accept supportive services as a

condition of participation or continued

occupancy in the program.

(2) Identify public and private

funding sources to assist participants

with disabilities in covering the costs of

structural alterations and other

accessibility features that are needed as

accommodations for their disabilities.

(3) Not deny persons who qualify for

a housing choice voucher under this

program other housing opportunities, or

otherwise restrict access to PHA

programs to eligible applicants who

choose not to participate.

(4) Provide housing choice voucher

search assistance.

(5) In accordance with regulatory

guidance, provide higher rent to owners

necessary for the provision of accessible

units and structural modifications for

persons with disabilities.

(6) Provide technical assistance to

owners for making reasonable

accommodations or making units

accessible to persons with disabilities.

PHAs are encouraged to coordinate

with/involve nonprofit disability

organizations in their meeting the

requirements of sections 1, 2, 4 and 6

immediately above. PHAs are

encouraged to seek out nonprofit

disability organizations in this regard

due to such organizations’ capacity for

assisting disabled families, and their indepth knowledge of the disability

community and the available resources

to assist disabled persons.

(E) Definitions.

(1) Designated Housing Plan. A HUDapproved designated housing plan

required of PHAs seeking to designate a

project/building (or portion thereof) for

occupancy by elderly families only, or

elderly and disabled families only. See

section 10(a) of the Housing

Opportunity Extension Act of 1996

(Pub. L. 104–120, approved March 28,

1996) as explained in Notice PIH 97–12

(HA), Requirements for Designation of

Public Housing Projects. This Notice

was extended by Notice PIH 2000–20

(HA). Section 10(a) amended section 7

of the United States Housing Act of

1937 (42 U.S.C. 1437e).

(2) Elderly Family. A family whose

head of household, spouse, or sole

member is 62 years or older.

(3) Non-elderly Disabled Family. A

family who is not elderly, and whose

head, spouse, or sole member is a

person with disabilities. The term ‘‘nonelderly disabled family’’ may include

two or more such persons with

disabilities living together, and one or

more such persons with disabilities

living with one or more persons who are

determined essential to the care and

well-being of the person or persons with

disabilities (live-in aides).

(4) Person with disabilities. A person

who—

(a) Has a disability as defined in

section 223 of the Social Security Act

(42 U.S.C. 423), or

(b) Is determined to have a physical,

mental or emotional impairment that:

12396 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(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, or

(c) Has a developmental disability as

defined in section 102 of the

Developmental Disabilities Assistance

and Bill of Rights Act (42 U.S.C.

6001(5)).

The term ‘‘person with disabilities’’

does not exclude persons who have the

disease of acquired immunodeficiency

syndrome (AIDS) or any conditions

arising from the etiologic agent for

acquired immunodeficiency syndrome

(HIV).

Note: While the above definition of a

‘‘person with disabilities’’ is to be used for

purposes of determining a family’s eligibility

for a housing choice voucher under this

announcement, 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 meeting the requirements of Fair

Housing laws, including providing

reasonable accommodations.

No individual shall be considered a

person with disabilities for the purpose

of determining eligibility solely on the

basis of any drug or alcohol

dependence.

(5) Housing Choice Voucher search

assistance. Assistance to increase access

by program participants to housing

units in a variety of neighborhoods

(including areas with low poverty

concentrations) and to locate and obtain

units suited to their needs.

V. Application Selection Process

After the Grants Management Center

has screened PHA applications and

disapproved any applications found

unacceptable for further processing, the

Grants Management Center will review

all acceptable applications (exclusive of

the Designated Housing Plan portion of

the application—which is reviewed by

the Special Application Center) to

ensure that they are technically

adequate and responsive to the

requirements of this announcement of

funding availability.

The Special Application Center will

send to the Grants Management Center

the following information on each

designated housing plan submitted in

conjunction with this announcement:

(1) A copy of the letter to the PHA

approving or disapproving its

designated housing plan.

(2) Special Application Center contact

person and telephone number.

HUD Headquarters will fund on a

first-come, first-serve basis all

approvable applications from PHAs that

are recommended for funding by the

Grants Management Center and that the

Special Application Center advises has

an approved designated housing plan,

based upon the date and time the

application is received in the Grants

Management Center. As PHAs are

selected, the cost of funding the

applications will be subtracted from the

funds available. In the event approvable

applications are received for more than

the approximately $20 million available

under this announcement, funds will be

transferred from the approximately $20

million available under the

announcement for non-elderly disabled

families not receiving housing

assistance in certain Section 8 projectbased developments, or certain Section

202, Section 221(d)(3) or Section 236

developments, to the extent funds are

not needed for approvable applications

under that announcement. Applications

will be funded for the total number of

units requested by the PHA and

approved by the Grants Management

Center in accordance with this funding

announcement for support of

Designated Housing Plans. When

remaining budget authority is

insufficient to fund the last selected

PHA application in full, however, HUD

Headquarters will fund that application

to the extent of the funding available,

unless the PHA’s application indicates

that the PHA will only accept a higher

number of units. In that event, the next

selected application shall be one that

has indicated a willingness to accept the

lesser amount of funding for the units

available.

VI. Application Submission

Requirements

(A) Form HUD–52515. All PHAs must

complete and submit form HUD–52515,

Funding Application, for the Housing

Choice Voucher Program (Section 8),

(dated January 1996). This form

includes all necessary certifications for

Fair Housing, Drug Free Workplace and

Lobbying Activities. PHAs are requested

to enter their housing authority code

number (for example, CT002), telephone

number, facsimile number, and

electronic mail address in the same

place at the top of the form where they

are also to enter the PHA’s name and

mailing address. The information

entered in Section B of the form for

bedroom size and number of requested

units must bear a direct relationship to

the bedroom size and number of units

designated in the PHA’s designated

housing plan that will no longer be

available for the future admission of

non-elderly disabled families. Section C

of the form should be left blank. A copy

of Form HUD–52515 is included in the

forms found in Appendix B to the

General Section of the SuperNOFA.

Copies of the form may also be

downloaded from the HUD Home page

site on the Internet’s world wide web

(http://www.HUD.gov). (On the HUD

website click on ‘‘handbooks and

forms,’’ then click on ‘‘forms,’’ then

click on ‘‘HUD–5’’ and click on ‘‘HUD–

52515.’’ The form must be completed in

its entirety, with the exception of

Section C, signed and dated.

(B) Letter of Intent and Narrative. The

PHA must state in its cover letter to the

application whether the PHA will

accept a reduction in the number of

vouchers, and the minimum number of

vouchers that the PHA will accept, since

the funding is limited and HUD may

only have enough funds to approve a

smaller amount than the number of

vouchers requested. The maximum

number of vouchers that a PHA may

apply for under this announcement is

limited to 200.

(C) Approvable Designated Housing

Plan. The application must include an

approvable plan to designate housing in

accordance with section 10(a) of the

Housing Opportunities Extension Act of

1996 (Pub. L. 104–120, approved March

28, 1996) as explained in Notice PIH

97–12 (HA), Requirements for

Designation of Public Housing Projects.

This Notice was extended by Notice PIH

2000–20 (HA), dated May 8, 2000.

PHAs should also bear in mind that

the regulations at 24 CFR 903.3(b)

require PHAs to submit an Annual Plan

which must provide a statement

regarding any public housing project (or

portion thereof) which the PHA plans to

designate as elderly only or mixed

elderly and disabled {see 24 CFR 903.7

(h)(2)(i)}. Only those PHAs which are

designated by HUD as high performing

PHAs, or are small PHAs (less than 250

public housing units) that are not

designated as troubled, are excluded

from the requirement to address the

designation of elderly and disabled

public housing units in the Annual

Plan. The Special Application Center

will not process a designated housing

plan if the PHA’s intent to designate is

not covered in its Annual Plan.

(D) Designated Housing Plan

Previously Approved. Any PHA wishing

to rely on a designated housing plan

previously approved by HUD that did

not require housing choice vouchers or

certificates for non-elderly disabled

families or that now requires more

vouchers than previously justified, will

require the PHA to submit the

information required in sections (A) and

(B) immediately above, a copy of the

previously HUD-approved designated

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12397

housing plan, and updated needs data

supporting the need now for vouchers

not previously deemed necessary as an

alternative housing resource. The

updated needs data should indicate why

the PHA does not have the appropriate

resources to carry out the previously

approved plan, identify the number of

vouchers needed for non-elderly

disabled families, and address the

housing needs in its Consolidated Plan.

Conversely, any PHA wishing to rely

on a designated housing plan previously

approved by HUD, contingent upon the

PHA’s future submission of an

application for housing choice vouchers

or certificates as an alternative housing

resource for non-elderly disabled

families, will need to only submit the

HUD-approval letter for the designated

housing plan in lieu of the plan itself

(updated needs data also unnecessary).

(E) Statement Regarding the Steps the

PHA Will Take to Affirmatively Further

Fair Housing. The areas to be addressed

in the PHA’s statement should include,

but not necessarily be limited to:

(1) The examination of the PHA’s own

programs or proposed programs,

including an identification of any

impedimemts to fair housing (identified

in the jurisdiction’s Analysis of

Impediments (AI) to Fair Housing

Choice in its Consolidated Plan); and a

description of a plan to (a) address those

impediments in a reasonable fashion in

view of the resources available; and (b)

work with local jurisdictions to

implement any of the jurisdictions’

initiatives to affirmatively further fair

housing; and the maintenance of records

reflecting these analyses and actions;

(2) Remedy discrimination in housing

for persons with disabilities regardless

of race, color, religion, sex, familial

status, national origin, or nature of

disability; or (3) Promote fair housing

rights and fair housing choice.

(F) Moving to Work (MTW) PHA

Information and Certification. See

section VII(B)(2)(c) regarding the

information to be submitted by an MTW

PHA required to report under the

Section 8 Management Assessment

Program (SEMAP) but not meeting the

95 percent lease-up or budget authority

utilization requirements, or the lease-up

or budget authority utilization

certification to be submitted by an MTW

PHA not required to report under

SEMAP.

(G) Multifamily Tenant

Characteristics System (MTCS)

Reporting Certification. In order to be

eligible to submit an application under

this announcement, the PHA must have

had a minimum reporting rate of not

less than 85 percent for housing choice

voucher and certificate resident records

to HUD’s MTCS (see 24 CFR Part 908

and Notices PIH 98–30, 99–2 and 2000–

13) for the period ending December

1999, and must submit a certification

with its application certifying to having

met this requirement. In the event a

PHA received less than an 85 percent

rate of reporting under MTCS for this

period, the PHA will still be considered

to have passed the threshold

requirement if: (1) it subsequently

achieved a minimum reporting rate of

not less than 85 percent for public

housing resident records under the

MTCS as of the December 2000

reporting period; or (2) the PHA was

granted forbearance by HUD under the

applicable procedures under PIH Notice

2000–13 for the semi-annual assessment

period ending December 2000. In this

latter instance, the PHA must submit a

certification with its application

indicating that it has either achieved

such a minimum reporting rate as of the

December 2000 reporting period, or that

it has obtained a forbearance from HUD

for the semi-annual assessment period

ending December 2000.

VII. Corrections to Deficient

Applications

(A) Acceptable Applications. The

application must include all of the

information specified in section VI,

Application Submission Requirements.

The General Section of the SuperNOFA

provides the procedures for corrections

to deficient applications.

(B) Unacceptable Applications.

(1) After the 14-calendar day technical

deficiency correction period, the Grants

Management Center will disapprove all

PHA applications that the Grants

Management Center determines are not

acceptable for processing. The Grant

Management Center’s notification of

rejection letter must state the basis for

the decision.

(2) Applications from PHAs that fall

into any of the following categories will

not be processed:

(a) Applications that do not meet the

fair housing and civil rights compliance

threshold requirements of Section II(B)

of the General Section of the

SuperNOFA.

(b) The PHA has major program

management findings in an Inspector

General audit, HUD management

review, or independent public

accountant (IPA) audit for its voucher or

certificate programs that are not closed

or on which satisfactory progress in

resolving the findings is not being made;

or program compliance problems for its

voucher or certificate programs on

which satisfactory progress is not being

made. The only exception to this

category is if the PHA has been

identified under the policy established

in Section III(B) of this announcement

and the PHA makes application with a

designated contract administrator. Major

program management findings are those

that would cast doubt on the capacity of

the PHA to effectively administer any

new housing choice voucher funding in

accordance with applicable HUD

regulatory and statutory requirements.

(c) The PHA has failed to achieve a

lease-up rate of 95 percent for its

combined certificate and voucher units

under contract for its fiscal year ending

in 1999. Category (c) may be passed,

however, if the PHA achieved a

combined certificate and voucher

budget authority utilization rate of 95

percent or greater for its fiscal year

ending in 1999. In the event the PHA is

unable to meet either of these

percentage requirements, the PHA may

still pass category (c) if the PHA submits

information to the Grants Management

Center, as part of its application,

demonstrating that the PHA was able to

either increase its combined certificate

and voucher lease-up rate to 95 percent

or greater for its fiscal year ending in

2000, or was able to increase combined

certificate and voucher budget authority

utilization to 95 percent or more for its

fiscal year ending in 2000. PHAs that

have been determined by HUD to have

passed either the 95 percent lease-up, or

95 percent budget authority utilization

requirement for their fiscal year ending

in 1999 will be listed on a HUD website:

(www.hud.gov/grants), along with this

funding announcement. A PHA not

listed must either submit information

(following the format of Appendix A of

this announcement) in its application

supportive of its 95 percent lease-up or

95 percent budget authority utilization

performance for its fiscal year ending in

2000, or submit information (following

the format of Appendix A of this

announcement) as part of its application

supportive of its contention that it

should have been included among those

PHAs HUD listed on the HUD website

as having achieved either a 95 percent

lease-up rate or 95 percent budget

authority utilization rate for fiscal years

ending in 1999. Appendix A to this

program section indicates the

methodology and data sources used by

HUD to calculate the lease-up and

budget authority utilization percentage

rates for PHAs with fiscal years ending

in 1999. Any PHA wishing to submit

information to the Grants Management

Center in connection with its 1999 fiscal

year or 2000 fiscal year for the purposes

described immediately above (so as to

be eligible under category (c) to submit

an application) will be required to use

12398 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

the same methodology and data sources

indicated in Appendix A.

Moving To Work (MTW) agencies that

are required to report under the Section

8 Management Assessment Program

(SEMAP) shall be held to the 95 percent

lease-up and budget authority

utilization requirements referenced

above, except where such an MTW

agency provides information in its

application demonstrating to HUD that

a lower percentage is the result of the

implementation of specific aspects of its

program under its MTW Agreement

with HUD. MTW agencies which are not

required to report under SEMAP must

submit a certification with their

application certifying that they are not

required to report under SEMAP, and

that they meet the 95 percent lease-up

or budget authority utilization

requirements.

PHAs not currently administering a

certificate or voucher program, or who

received voucher funding for the first

time for FY 2000 will not be subject to

the 95 percent lease-up or budget

authority utilization requirements of

this section (c).

(d) The PHA is involved in litigation

and HUD determines that the litigation

may seriously impede the ability of the

PHA to administer the vouchers.

(e) An application that does not

comply with the requirements of 24 CFR

982.102 and this program section after

the expiration of the 14-calendar day

technical deficiency correction period

will be rejected from processing.

(f) The application was submitted

after the application due date.

(g) The application was not submitted

to the official place of receipt as

indicated in the paragraph entitled

‘‘Address for Submitting Applications’’

at the beginning of this announcement.

(h) The applicant has been debarred

or otherwise disqualified from

providing assistance under the program.

(i) The applicant has failed to achieve

a minimum 85 percent submission rate

for housing choice voucher and

certificate resident records to HUD’s

Multifamily Tenant Characteristics

System (MTCS), (see 24 CFR Part 908

and Notices PIH 98–30 and 2000–13),

for the period ending December 1999,

and December 2000, and did not receive

HUD forbearance.

VIII. Environmental Requirements

In accordance with 24 CFR

50.19(b)(11) of the HUD regulations,

tenant-based rental activities under this

program are categorically excluded from

the requirements of the National

Environmental Policy Act of 1969

(NEPA) and are not subject to

environmental review under the related

laws and authorities.

IX. Authority

Authority for this program is found in

the Departments of Veteran’s Affairs and

Housing and Urban Development, and

Independent Agencies Appropriations

Act, FY 2001 (Pub.L. 106–377, approved

October 27, 2000). This FY 2001

Appropriations Act authorized

appropriations for housing choice

vouchers to assist non-elderly disabled

families affected by the establishment of

preferences in accordance with section

651 of the Housing and Community

Development Act of 1992, or the

restriction of occupancy to elderly

families in accordance with section 658

of the Act. The FY 2000 Appropriations

Act also allows the Secretary to transfer

any unobligated funds for this purpose

to assist non-elderly disabled families to

the extent they are not needed under

Sections 651 and 658 for such families.

Therefore, any funds remaining

unobligated under this program section

of this SuperNOFA will be used first to

fund any approvable applications under

the Rental Assistance for Non-Elderly

Persons With Disabilities in Support of

Designated Housing Plans program for

which there are insufficient funds.

Thereafter, any funds still remaining

unobligated will be used to fund

applications under the Mainstream

Program in the SuperNOFA.

Appendix A—Methodology for

Determining Lease-Up and Budget

Authority Utilization Percentage Rates

Using data from the HUDCAPS system,

HUD determined which PHAs met the 95%

budget authority utilization or 95% lease-up

criteria. The data used in the determination

was based on PHA fiscal years ending in

1999. The budget authority utilization and

lease-up rates were determined based upon

the methodology indicated below.

Budget Authority Utilization

Percentage of budget authority utilization

was determined by comparing the total

contributions required to the annual budget

authority (ABA) available for the PHA 1999

year combining the certificate and voucher

programs.

Total contributions required were

determined based on the combined actual

costs approved by HUD on the form HUD–

52681, Year End Settlement Statement. The

components which make up the total

contributions required are the total of

housing assistance payments, ongoing

administrative fees earned, hard to house fees

earned, and IPA audit costs. From this total

any interest earned on administrative fees is

subtracted. The net amount is the total

contributions required.

ABA is the prorated portion applicable to

the PHA 1999 year for each funding

increment which had an active contract term

during all or a portion of the PHA year.

Example

PHA ABC FISCAL YEAR 10/1/98

THROUGH 9/30/99

[HUD 52681 approved data]

HAP .......................................... $2,500,000

Administrative fee ..................... 250,000

Hard to House fee .................... 1,000

Audit .......................................... 2,000

Total ................................... 2,753,000

Interest earned on administrative fee .................................. (2,500)

Total contributions required 2,750,500

CALCULATION OF ANNUAL BUDGET AUTHORITY

Increments and contract term Total BA ABA

001 11/01/98–10/31/99 ......................................................................................................................................... $1,300,000 $1,191,667

002 01/01/99–12/31/99 ......................................................................................................................................... 1,200,000 900,000

003 04/01/99–03/31/00 ......................................................................................................................................... 950,000 475,000

004 07/01/99–06/30/00 ......................................................................................................................................... 1,500,000 375,000

Totals ................................................................................................................................................................ 4,950,000 2,941,667

Budget Authority Utilization:

Total contributions required .............................................................................................................................. 2,750,000

divided by

Annual budget authority ................................................................................................................................... 2,941,667

equals

Budget Authority Utilization (percent) ............................................................................................................... 93.5

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12399

Lease-up Rate

The lease-up rate was determined by

comparing the contract units (funding

increments active as of the end of the PHA

1999 year) to the unit months leased (divided

by 12) reported on the combined HUD 52681,

Year End Settlement Statement(s) for 1999.

Active funding increments awarded by

HUD for special purposes such as litigation,

relocation/replacement, housing conversions,

Welfare to Work, and new units awarded to

the PHA during the last twelve months were

excluded from the contract units as the

Department recognizes that many of these

unit allocations have special requirements

which require extended periods of time to

achieve lease-up.

Example

Increments and contract term Units

001 11/01/98–10/31/99 ................ 242

002 01/01/99–12/31/99 ................ 224

003 04/01/99–03/31/00 ................ 178

004 07/01/99–06/30/00 ................ 280

Totals ....................................... 924

Increment 003 litigation .................. (178)

Adjusted contract units ................... 746

Increments and contract term Units

Unit months leased reported by

PHA ............................................. 8,726

divided by 12 ............................... 727

Units leased .................................... 727

Lease-up rate:

Units leased ................................ 727

divided by adjusted contract

units ..................................... 746

equals

Lease-up rate (percent) .............. 97.4

BILLING CODE 4210–32–P

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12401

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12403

FUNDING AVAILABILITY FOR

RENTAL CERTIFICATE/HOUSING

CHOICE VOUCHER FAMILY SELFSUFFICIENCY (FSS) PROGRAM

COORDINATORS

Program Overview

Purpose of Program. The Rental

Certificate/Housing Choice Voucher FSS

program (referred to in previous NOFAs

as the Section 8 FSS program) is

intended to promote the development of

local strategies to coordinate the use of

assistance under the Rental Certificate

and Housing Choice Voucher programs

with public and private resources to

enable participating families to achieve

economic independence and selfsufficiency. An FSS program

coordinator assures that program

participants are linked to the supportive

services they need to achieve selfsufficiency. Funding under this NOFA

is not available to pay the salary of an

FSS coordinator for a public housing

FSS program. Operating subsidy may be

used to fund the salary of a public

housing FSS coordinator.

Available Funds. This NOFA

announces the availability of up to $45

million in Fiscal Year (FY) 2001 to fund

Rental Certificate/Housing Choice

Voucher FSS program coordinators.

Eligible Applicants. Public housing

agencies (PHAs) eligible to receive

funding under this NOFA are: (1) those

that received funding under the FY 2000

NOFA or one of the FY 1999 NOFAs for

Rental Certificate/Housing Choice

Voucher FSS Program Coordinators and

that continue to operate an FSS

program; (2) PHAs that were not funded

under one of the FY 1999 or FY 2000

FSS NOFAs that are authorized through

their HUD-approved FSS Action Plan to

administer a Rental Certificate/Housing

Choice Voucher FSS program of at least

25 slots; or, if they are PHAs with HUD

approval to administer Rental

Certificate/Housing Choice Voucher FSS

programs of fewer than 25 slots, they

apply jointly with one or more other

PHAs so that between or among them

they have HUD approval to administer

at least 25 Rental Certificate/Housing

Choice Voucher FSS slots.

Under this NOFA, both the voluntary

Rental Certificate/Housing Choice

Voucher FSS slots and the mandatory

Rental Certificate/Housing Choice

Voucher FSS slots reflected in the

PHA’s HUD-approved FSS Action Plan

are counted in determining the PHA’s

Rental Certificate/Housing Choice

Voucher FSS program size.

All awards are subject to a cap of

$60,000 per full time coordinator

position funded. Evidence of salary

comparability to positions in the local

jurisdiction for each position must be

kept on file in the PHA office.

There is no maximum Rental

Certificate/Housing Choice Voucher

program size limit cap for PHAs eligible

to apply for funding under this NOFA.

Application Deadline. April 25, 2001.

Match. None

Additional Information

If you are interested in applying for

funding for Rental Certificate/Housing

Choice Voucher FSS Program

Coordinator funding under this NOFA,

please review carefully the General

Section of this SuperNOFA and the

following additional information.

I. Application Due Date, Application

Kits, and Technical Assistance

Application Due Date. Submit your

completed application (an original and

two copies) to HUD on or before 12

midnight, Eastern time, on April 25,

2001.

See the General Section of this

SuperNOFA for specific procedures

concerning the form of application

submission (i.e., mailed applications,

express mail, overnight delivery, or

hand carried).

Address for Submitting Applications.

Your completed application consists of

one original and two copies. Submit

your original application and one copy

with an Acknowledgment of

Application Receipt, form HUD–2993,

to: Michael E. Diggs, Director, PIH

Grants Management Center, U.S.

Department of Housing and Urban

Development, 501 School Street, Suite

800, Washington, DC 20024.

Applications which are hand carried or

sent via overnight delivery service

should be delivered to this address. The

Grants Management Center is the

official place of receipt for all

applications in response to this

announcement of funding availability.

Your application will be accepted at this

address until 6:00 pm, Eastern time, on

the application deadline.

After 6:00 pm on the application

deadline date, applications will be

accepted in the South Lobby of HUD

Headquarters, 451 Seventh Street, SW,

Washington, DC 20410, until 12:00

midnight Eastern time.

Submit the second copy of your

application to your local HUD Field

Office Hub or local HUD Field Office

Program Center. A listing of HUD Field

Offices is attached to the General

Section of this SuperNOFA.

For Application Kits. There is no

application kit for this NOFA. This

announcement contains all the

information necessary for the

submission of your application for

Rental Certificate/Housing Choice

Voucher FSS program coordinator

funding.

For Further Information and

Technical Assistance. For answers to

your questions, you may contact the

Public and Indian Housing Resource

Center at 1–800–955–2232 or the Hub

Director of Public Housing or the

Program Center Coordinator in the local

HUD Field Office or you may contact

the Grants Management Center at (202)

358–0221, extension 118. Hearing-or

speech-impaired individuals may call

HUD’s TTY number 1–800–877–8339,

the Federal Information Relay Service

TTY, (this is a toll free number).

Information can be accessed via the

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

Prior to the application deadline, staff

at the numbers given above will be

available to provide general guidance,

but not guidance in actually preparing

the application. Following selection, but

prior to award, HUD staff will be

available to assist in clarifying or

confirming information that is a

prerequisite to the offer of an award by

HUD.

Satellite Broadcast. HUD plans to

hold an information broadcast via

satellite for potential applicants to learn

more about the program and preparation

of an application. For more information

about the date and time of this

broadcast, you should consult the HUD

web site at www.hud.gov.

II. Amount Allocated

For FY 2001, up to $45 million may

be made available for PHA

administrative fees for Rental

Certificate/Housing Choice Voucher FSS

program coordinators. This amount is

from HUD’s Congressional justifications

that were submitted in support of the

Departments of Veterans Affairs and

Housing and Urban Development, and

Independent Agencies Appropriations

Act, 2001 (Pub.L. 106–377, approved

October 27, 2000). This is the eighth

fiscal year of funding for Rental

Certificate/Housing Choice Voucher FSS

program coordinators.

HUD Corrections to Funding Provided

Under the FY 2000 NOFA

If prior to award of funding under the

FY 2001 Rental Certificate/Housing

Choice Voucher FSS NOFA, HUD

determines that any PHAs have been

underfunded in amounts awarded under

the FY 2000 FSS Program Coordinator

NOFA, before funding any applications

under the FY 2001 NOFA, the

Department will increase funding of the

FY 2000 awards to the amount that the

PHAs should have received under the

12404 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

FY 2000 NOFA with funding available

under the FY 2001 FSS NOFA.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. Through

annual NOFAs, HUD has provided

funding to PHAs that are operating a

Rental Certificate/Housing Choice

Voucher FSS program to enable those

PHAs to hire a Rental Certificate/

Housing Choice Voucher FSS program

coordinator.

In this FY 2001 FSS Program

Coordinator NOFA, HUD is making

sufficient funding available to fund all

applicants that received funding under

either the FY 1999 or FY 2000 FSS

program coordinator NOFAs to allow

those PHAs to continue to pay a Rental

Certificate/Housing Choice Voucher FSS

program coordinator for another year.

Because of the importance of the FSS

program in helping families increase

earned income and develop assets, HUD

is also making a sufficient amount

available under this FY 2001 FSS NOFA

to enable ‘‘new’’ PHAs that were not

funded in FY 1999 or FY 2000 to apply.

Each of these ‘‘new’’ PHAs may apply

for funding to hire at least one Rental

Certificate/Housing Choice Voucher FSS

program coordinator for one year at a

reasonable cost, as determined by the

PHA based on salaries for similar

positions in the locality. Under this

NOFA, for the first time both new and

renewal state and regional PHAs that

administer Rental Certificate/Housing

Choice Voucher FSS programs in

different parts of their jurisdiction may

apply for up to one full time Rental

Certificate/Housing Choice Voucher FSS

program coordinator in each area where

they have HUD approval to administer

a separate Rental Certificate/Housing

Choice Voucher FSS program of at least

25 slots.

Because the workload of a large FSS

program is too heavy for a single FSS

program coordinator, this NOFA invites

each eligible new and renewal PHA

with HUD-approval to operate a Rental

Certificate/Housing Choice Voucher FSS

program of 100 slots in a single

jurisdiction to apply for up to one full

time coordinator for each 50 HUDapproved slots above their initial 50

Rental Certificate/Housing Choice

Voucher FSS program slots. A state or

regional agency with HUD approval to

operate a Rental Certificate/Housing

Choice Voucher FSS program of 100 or

more slots in more than one part of its

jurisdiction may apply for one or more

full time Rental Certificate/Housing

Choice Voucher FSS program

coordinator for each additional 50

approved FSS slots above the initial 50

Rental Certificate/Housing Choice

Voucher slot level in that area.

(B) Eligible Applicants. Subject to the

availability of sufficient funding, all

PHAs in the following categories are

eligible applicants under this NOFA:

(1) PHAs that received funding under

one of the FY 1999 NOFAs or the FY

2000 NOFAs for Rental Certificate/

Housing Choice Voucher FSS program

coordinators that are still operating FSS

programs will be funded in FY 2001,

except those PHAs submitting

applications that are ineligible under

Section VII.(B) of this NOFA, provided

the PHA continues to operate an FSS

program, has hired an FSS program

coordinator with funding awarded for

that purpose under one of the FY 1999

FSS or FY 2000 FSS program

coordinator NOFAs, and has made

progress in implementing the FSS

program demonstrated by having

completed activities in each of the

categories in section 2 of the required

Attachment A certification of this

NOFA. Subject to the availability of

funds, the eligible PHAs funded in FY

1999 or FY 2000 will receive 103

percent of the latest of its FY 1999 or FY

2000 funding (not to exceed $60,000)

unless the PHA requests a higher or

lower amount. All awards are subject to

the cap of $60,000 per full time FSS

program coordinator position. HUD will

not provide FY 2001 funding to any

PHA that received Rental Certificate/

Housing Choice Voucher FSS Program

Coordinator funding in FY 1999 or FY

2000 that does not comply with all of

the above requirements.

(2) PHAs, including state and regional

PHAs, that did not receive Rental

Certificate/Housing Choice Voucher FSS

program coordinator funding in either

FY 1999 or FY 2000, are eligible to

apply under this NOFA if the PHA has

a HUD-approved FSS Action Plan

authorizing the PHA to administer a

Rental Certificate/Housing Choice

Voucher FSS program of at least 25 FSS

slots. PHAs with HUD approval to

administer Rental Certificate/Housing

Choice Voucher FSS programs of fewer

than 25 slots may also apply if they

apply jointly with one or more other

PHAs so that between or among the

PHAs they have HUD approval to

administer at least 25 Rental Certificate/

Housing Choice Voucher FSS slots. If

PHAs apply jointly, the $60,000

maximum amount that may be

requested applies to each full time

coordinator position in the application

as a whole, not to each PHA separately.

Joint applicants must specify a lead coapplicant which will receive and

administer the FSS program coordinator

funding.

(3) State and regional PHAs that are

eligible under (1) or (2) of this section

may also apply for up to one additional

Rental Certificate/Housing Choice

Voucher FSS program coordinator for

each portion of their jurisdiction where

they have HUD approval to operate a

Rental Certificate/Housing Choice

Voucher FSS program of at least 25

slots.

(4) PHAs that are eligible applicants

under (1), (2) or (3) of this section, with

HUD approval to operate a Rental

Certificate/Housing Choice Voucher FSS

program of 100 or more slots may apply

for one Rental Certificate/Housing

Choice Voucher FSS program

coordinator for each 50 HUD approved

Rental Certificate/Housing Choice

Voucher FSS slots above the first 50

approved slots in the PHA’s Rental

Certificate/Housing Choice Voucher FSS

program. A state or regional PHA that

has applied under this NOFA for FSS

coordinators in different parts of its

jurisdiction may apply for additional

coordinators in any area where it is

authorized to operate a Rental

Certificate/Housing Choice Voucher

program of 100 or more slots. In each of

these areas, the PHA may apply for up

to one additional coordinator for each

50 HUD approved Rental Certificate/

Housing Choice Voucher Program FSS

slots above the first 50 slots in the

PHA’s Rental Certificate/Housing

Choice Voucher FSS Program.

(C) Eligible Activities. Funds are

available to PHAs under this NOFA to

employ or otherwise retain the services

of Rental Certificate/Housing Choice

Voucher FSS program coordinators for

one year. A part-time Rental Certificate/

Housing Choice Voucher FSS program

coordinator may be retained where

appropriate. In the Rental Certificate/

Housing Choice Voucher FSS program,

PHAs are required to use rental

assistance under the Rental Certificate

and Housing Choice Voucher programs

together with public and private

resources to provide supportive services

to enable participating families to

achieve economic independence and

self-sufficiency. Effective delivery of

supportive services is a critical element

in a successful FSS program. The FSS

program supports the Department’s

objective of helping poor and

disadvantaged families and individuals

become self-sufficient and develop

assets. The program provides critical

tools that can be used by communities

to support welfare reform and help

families develop new skills that will

lead to increased wages and self

sufficiency.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12405

IV. Program Requirements

(A) Program Coordinator Role. PHAs

administering the FSS program use

program coordinating committees

(PCCs) to assist them to secure resources

and implement the FSS program. The

PCC is made up of representatives of

local government, job training and

employment agencies, local welfare

agencies, educational institutions, child

care providers, nonprofit service

providers, and businesses.

An FSS program coordinator works

with the PCC and with local service

providers to assure that program

participants are linked to the supportive

services they need to achieve selfsufficiency. The FSS program

coordinator may ensure, through case

management, that the services included

in participants’ contracts of

participation are provided on a regular,

ongoing and satisfactory basis, and that

participants are fulfilling their

responsibilities under the contracts.

(B) Staffing Guidelines. Under normal

circumstances, a full-time FSS program

coordinator should be able to serve

approximately 50 FSS participants,

depending on the coordinator’s case

management functions.

(C) Other Requirements. In addition to

the civil rights compliance and

nondiscrimination requirements listed

in the General Section of this

SuperNOFA, PHAs must meet the

following program requirements:

(1) Affirmatively Furthering Fair

Housing. Each successful applicant will

have a duty to affirmatively further fair

housing. After the application is

approved, applicants will be required to

identify the specific steps that they will

take to (a) address the elimination of

impediments to fair housing that were

identified in the jurisdiction’s Analysis

of Impediments (AI) to Fair Housing

Choice; (b) remedy discrimination in

housing; or (c) promote fair housing

rights and fair housing choice. Further,

applicants have a duty to carry out the

specific activities cited in their

responses in a manner which will

affirmatively further fair housing.

V. Application Selection Process

The funds available under this NOFA

are not being awarded on a competitive

basis. The Department anticipates that

there will be sufficient funds available

under the NOFA to fund all applications

that meet the NOFA requirements.

Applications will be reviewed by the

Grants Management Center (GMC) to

determine whether or not they are

technically adequate based on the

NOFA requirements. Categories of

applications that will not be funded are

stated in section VII(B) of this NOFA.

All technically adequate applications

will be funded to the extent funds are

available. If HUD receives applications

for funding greater than the amount

made available under this NOFA, HUD

will fund eligible applicants as follows:

Applications will be divided into three

categories of funding priority:

Priority 1—Applications from PHAs,

including state and regional PHAs, for

continuation of the position most

recently funded under either the FY

1999 for FY 2000 FSS NOFA.

Priority 2—Priority 2 will consist of:

(a) Applications for up to one initial

FSS coordinator position from PHAs

that were not funded under the FY 1999

and FY 2000 FSS NOFAs including, for

state and regional PHAs with HUD

approval to operate FSS programs in

different parts of their jurisdictions, up

to one FSS coordinator position per area

where they are authorized to operate a

Rental Certificate/Housing Choice

Voucher FSS program of at least 25 FSS

slots.

(b) Applications from Priority 1 state

and regional PHAs for up to one full

time FSS program coordinator position

in any area where they are authorized to

operate a Rental Certificate/Housing

Choice Voucher FSS program of at least

25 FSS slots, but have not received

funding under this NOFA for a full time

FSS program coordinator position for

the area.

Priority 3—Applications for one or

more additional FSS coordinators

submitted by PHAs eligible for funding

in Priority 1 and 2 categories above with

HUD approval to operate a Rental

Certificate/Housing Choice Voucher FSS

program of 100 or more slots.

HUD will first fund all eligible

Priority 1 applications to continue

funding for up to one full time Rental

Certificate/Housing Choice Voucher FSS

program coordinator. If funding

remains, HUD will then provide funding

to eligible Priority 2 applicants for up to

one Rental Certificate/Housing Choice

Voucher FSS program coordinator

position per PHA, or in the case of state

and regional PHAs up to one full time

coordinator for each area where they are

authorized to operate a Rental

Certificate/Housing Choice Voucher

program of at least 25 slots. If there is

insufficient funding for all Priority 2

applicants, funding will be awarded to

applicants in Rental Certificate/Housing

Choice Voucher program size order

starting from the PHAs with the smallest

total combined Rental Certificate/

Housing Choice Voucher programs first.

Rental Certificate/Housing Choice

Voucher program size will be

determined by HUD using baseline data

developed by the Department. If there

are not sufficient monies to fund all

applications from Priority 2 PHAs with

the same combined Rental Certificate/

Housing Choice Voucher program size,

funding will be provided based on the

size of the PHA’s Rental Certificate/

Housing Choice Voucher FSS program,

reflected in the PHA’s HUD-approved

Rental Certificate/Housing Choice

Voucher FSS Action Plan, starting with

the largest approved Rental Certificate/

Housing Choice Voucher FSS program

first.

If monies remain after funding all

eligible Priority 2 applications, Priority

3 applications will be funded for up to

the full number of additional FSS

coordinator slots for which the PHA is

eligible and which it has requested in its

application. If there are not sufficient

monies to fund all eligible Priority 3

applicants, applications will be funded

in two stages. In stage 1, PHAs will first

be sorted into three categories by HUDapproved FSS program size as follows:

(a) PHAs with HUD approval to operate

Rental Certificate/Housing Choice

Voucher FSS programs of 1,000 or more

slots; (b) PHAs with HUD approval to

operate Rental Certificate/Housing

Choice Voucher FSS programs of 500 to

999 slots; and (c) PHAs with approval

to operate Rental Certificate/Housing

Choice Voucher FSS programs of 100 to

499 slots. In determining the FSS

program size of a state or regional PHA

that operates FSS programs in more

than one area of their jurisdiction, the

total number of approved slots for the

entire PHA FSS program will be used to

determine the appropriate size category

for Priority 3 funding. HUD will then

determine if there is sufficient funding

to provide each eligible PHA with 1,000

or more slots with up to 5 additional

coordinators, PHAs with 500 to 999

slots with three additional coordinators

and PHAs with 100 to 499 slots with 1

additional coordinator. If not, HUD will

begin awarding funding requests from

the PHAs with the largest HUDapproved FSS programs first.

If after funding all eligible positions

requested in stage 1 funding remains,

HUD will begin funding remaining

applications in a second stage for up to

the full number of positions each PHA

is eligible to receive and has requested

starting with the PHAs with the largest

size HUD-approved FSS program first.

In stage 2, state and regional PHAs

approved to operate FSS programs may

receive the full amount of eligible

positions requested in each part of their

jurisdiction where they are approved to

operate a program of 100 or more FSS

slots. If insufficient funding is available

to fund for each separate area where the

state or regional PHA operates the FSS

12406 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

program, the PHA may decide how the

total funding available in stage 2 will be

divided among the areas where it

operates its FSS program.

If there is insufficient money

remaining to fully fund the last

application funded in any of the above

priority categories, HUD will provide

residual funding to that application in

an amount less than the amount

requested by the PHA, unless the PHA

is unwilling to accept the lower amount.

If funding remains after all eligible

applications submitted in response to

this NOFA are funded, the Grants

Management Center will use any

funding still available through the end

of FY 2001 to fund applications

submitted after the due date of this

NOFA that meet all other requirements

of this NOFA. These applications will

be funded on a first-come, first-serve

basis through September 30, 2001 as

long as funds are available.

VI. Application Submission

Requirements

(A) Application Requirement for

PHAs that Received FY 1999 or FY 2000

FSS Program Coordinator Funding.

Each PHA that received funding for a

Rental Certificate/Housing Choice

Voucher FSS program coordinator

under one of the FY 1999 NOFAs or

under the FY 2000 FSS NOFA that

wishes to receive funding under this

NOFA must complete a certification in

the format shown as ‘‘Attachment A’’ of

this NOFA, and must include all

information required in ‘‘Attachment A’’

of this FSS NOFA. The completed

Attachment A certification along with

the Fair Housing Certification

(Attachment C of this NOFA) and the

Certification Regarding Lobbying

(Attachment D of this NOFA) constitute

the entire PHA application for funding

under this section. These certifications

must be submitted to the GMC by the

due date to be eligible for the initial

round of funding under this NOFA.

(B) Request for FSS Program

Coordinator Funds by Eligible PHAs

that were not Funded in FY 1999 or FY

2000. PHAs that did not receive funding

under the FY 1999 or FY 2000 FSS

Program Coordinator NOFAs must

complete a certification in the format

shown as ‘‘Attachment B’’ of this FSS

NOFA and must include all information

required in Attachment B. The

completed Attachment B certification

along with the Fair Housing

Certification (Attachment C of this

NOFA) and the Certification Regarding

Lobbying (Attachment D of the NOFA)

constitute the entire PHA application

for funding under this section. These

certifications must be submitted to the

GMC by the due date to be considered

for funding for the initial round of

funding under this NOFA.

(C) Fair Housing Certification and

Certification Regarding Lobbying. All

PHAs applying for funding under this

NOFA must submit the Certification

Regarding Fair Housing and Equal

Opportunity which is included as

Attachment C of this NOFA and the

Certification Regarding Lobbying which

is Attachment D of this NOFA.

VII. Corrections to Deficient

Applications

(A) Acceptable Applications. The

General Section of the SuperNOFA

provides the procedures for corrections

to deficient applications.

(B) Unacceptable Applications

(1) After the 14-calendar day technical

deficiency correction period (as

provided in the General Section), the

GMC will disapprove PHA applications

that it determines are not acceptable for

processing under the initial round of

funding. The HUD notification of

rejection letter must state the basis for

the decision.

(2) Applications from PHAs that fall

into any of the following categories are

ineligible for funding under this NOFA

and will not be processed:

(a) An application from a PHA that is

not an eligible PHA under III.(B) of this

NOFA or an application that does not

comply with the requirements of VI. of

this NOFA.

(b) An application from a PHA that

does not meet the requirements of fair

housing and civil rights compliance

requirements of Section II(B) of the

SuperNOFA.

(c) An application from a PHA that at

the end of the 14-calendar day technical

correction period has not made progress

satisfactory to HUD in resolving serious

outstanding Inspector General audit

findings, or serious outstanding HUD

management review or independent

public accountant (IPA) audit findings

for one or more of the following

programs: Housing Choice Voucher,

Rental Certificate or Moderate

Rehabilitation. Serious program

management findings are those that

would cast doubt on the capacity of the

PHA to administer its Rental Certificate/

Housing Choice Voucher programs in

accordance with applicable HUD

regulatory and statutory requirements.

(d) The application was not submitted

to the official place of receipt as

indicated in the paragraph entitled

‘‘Address for Submitting Applications’’

at the beginning of this announcement.

(e) The applicant has been debarred or

otherwise disqualified from providing

assistance under the program.

(3) Otherwise eligible applications

that are not received by the due date of

this NOFA will not be funded unless

funds remain available after all eligible

applications received by the due date

have been funded. If at that time all the

funding under this NOFA has not been

awarded, then otherwise eligible

applications received after the due date

will be funded on a first come, first

serve basis through the end of FY 2001,

as long as funding remains available. If

more than one such application is

received at the same date and time, the

application from the PHA with the

smallest combined Rental Certificate/

Housing Choice Voucher program will

be funded first.

VIII. Environmental Requirements

No environmental review is required

in connection with the award of

assistance under this NOFA, because

the NOFA only provides funds for

employing a coordinator that provides

public and supportive services, which

are categorically excluded from

environmental review under the

National Environmental Policy Act of

1969 (42 U.S.C. 4321) and not subject to

compliance actions for related

environmental authorities under 24 CFR

50.19(b)(4) and (12).

IX. Authority

The Departments of Veterans Affairs

and Housing and Urban Development

and Independent Agencies

Appropriations Act, 2001 (Pub.L. 106–

377, approved October 27, 2000) allows

funding for program coordinators under

the Rental Certificate/Housing Choice

Voucher FSS program. As a result, the

Department determined to make a

sufficient amount available under this

NOFA, under Part 984, in accordance

with section 984.302(b), to enable PHAs

to employ one or more Rental

Certificate/Housing Choice Voucher FSS

program coordinator for one year at a

reasonable cost as determined by the

PHA and HUD, based on salaries for

similar positions in the locality.

Attachment A—Required Certification

Format for FY 2001 Rental Certificate/

Housing Choice Voucher FSS Program

Coordinator Funding for PHAs That

Received Funding Under a FY 1999 or FY

2000 Rental Certificate/Housing Choice

Voucher FSS Program Coordinator NOFA

Mr. Michael E. Diggs, Director, Grants

Management Center, 501 School Street,

Suite 800, Washington, DC 20024

Dear Mr. Diggs: In connection with the FY

2001 NOFA for Rental Certificate/Housing

Choice Voucher FSS program coordinators, I

hereby certify for the lll (enter PHA

name. For joint applications, please indicate

the names of all co-applicants and identify

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12407

the lead PHA that received and administered

funds received under the FY 1999 or FY 2000

NOFA.) that:

(1) The PHA received funding under the

FY lll FSS program coordinator NOFA

(enter either FY 1999 or FY 2000 as

appropriate), continues to operate an FSS

program and has hired (Enter name of

coordinator) as its FSS program coordinator

at a salary of (Enter salary amount) using

HUD funds provided for that purpose on

lll (enter the most recent ACC effective

date for funding received by the PHA under

the Rental Certificate/Housing Choice

Voucher FY 1999 or FY 2000 FSS program

coordinator funding increment), and

(2) The PHA has (check all that apply):

ll (a) Formed and convened an FSS

program coordinating committee,

ll (b) Obtained HUD approval of its FSS

action plan,

ll (c) Executed contracts of participation

with FSS participants.

(3) The PHA is/is not (indicate appropriate

choice) a state or regional PHA operating

separate Rental Certificate/Housing Choice

Voucher FSS programs in more than one part

of its jurisdiction.

(4) Total number of Rental Certificate/

Housing Choice Voucher FSS program slots

based on the number of FSS slots (both

voluntary and mandatory) identified in the

PHA’s HUD-approved Action Plan OR, when

PHAs are applying jointly, the combined

total of Rental Certificate/Housing Choice

Voucher FSS program slots in the HUDapproved Action Plans of the PHAs: lll.

(A State or regional PHA applying for

coordinator positions for programs operated

in different parts of its jurisdiction must

identify below in (7) each area where it is

authorized to operate a program and the

number of slots approved for each area.)

(5) Total Number of Rental Certificate/

Housing Choice Voucher program

coordinator positions requested under the FY

2001 Rental Certificate/Housing Choice

Voucher FSS NOFA: lll.

(6) Rental Certificate/Housing Choice

Voucher FSS Program Coordinator Salary

level requested under this NOFA to continue

the FSS program coordinator position that

was funded under the FY 1999 or FY 2000

FSS NOFA based on salaries for comparable

jobs: lll.

(7) (If applicable) Rental Certificate/

Housing Choice Voucher FSS program

coordinator salary level for each position

requested, based on comparables, for any

Rental Certificate/Housing Choice Voucher

FSS program coordinator positions other

than the position described in (6) above.

(State/regional agencies applying for one or

more positions in more than one location in

their jurisdiction, must provide information

in the format below for each location where

positions are requested. If positions for the

location are at different Salary levels,

indicate the number of positions at each

Salary level. Location: ll # of approved

slots: ll # of positions requested: ll

Salary: ll)

(8) Evidence demonstrating salary

comparability to similar positions in the local

jurisdiction for each of the above positions is

on file at the PHA.

If there are any questions, please contact

lll at lll

Sincerely,

Executive Director

Attachment B—Required Format for

Certification from PHAs that Did Not

Receive Rental Certificate/Housing Choice

Voucher FSS Program Coordinator Funding

under FY 1999 or FY 2000 NOFAs

Mr. Michael E. Diggs, Director, Grants

Management Center, 501 School Street,

Suite 800, Washington, DC 20024

Dear Mr. Diggs: In connection with the FY

2001 NOFA for FSS program coordinators,

this is a request for funds to pay the salary

of lll (Enter number of positions) Rental

Certificate/Housing Choice Voucher FSS

program coordinators for one year. I hereby

certify for the lll (Enter PHA name. For

joint applications, indicate the names of all

co-applicants and identify the lead PHA that

will receive and administer the funding

requested under this NOFA.) that:

1. The total number of HUD-approved

Rental Certificate/Housing Choice Voucher

FSS program slots (both voluntary and

mandatory) identified in the PHAs HUDApproved FSS Action Plan OR when PHAs

are applying jointly, the combined total of

Rental Certificate/Housing Choice Voucher

FSS program slots in the HUD-approved

Action plans of the PHAs: ll

2. The PHA is/is not (indicate appropriate

choice) a State or regional PHA operating

separate Rental Certificate/Housing Choice

Voucher FSS programs in more than one part

of its jurisdiction.

3. Rental Certificate/Housing Choice

Voucher FSS Program Coordinator salary

level for each position requested based on

salaries for comparable jobs. (If funding is

being requested by a state or regional PHA for

one or more positions in more than one

location in their jurisdiction, the PHA must

provide information in the format below for

each location where positions are requested.

If positions for the location are at different

Salary levels, indicate the number of

positions at each Salary level. Location: ll

# of approved FSS slots: ll # of positions

requested: ll Salary: ll)

4. Evidence demonstrating salary

comparability to similar position in the local

jurisdiction is on file in the PHA office.

If there are any questions, please contact

ll at ll.

Sincerely,

Executive Director

Attachment C—Fair Housing and Equal

Opportunity Certifications

The housing agency (PHA) certifies that in

administering the funding for the Rental

Certificate/Housing Choice Voucher Family

Self-Sufficiency program coordinators it 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.

lllllllllllllllllllll

Name of PHA

Signature and Title of PHA Representative

lllllllllllllllllllll

Date

lllllllllllllllllllll

Attachment D—Certification Regarding

Lobbying

The undersigned certifies, to the best of his

or her knowledge and belief, that:

(1) No Federal appropriated funds have

been paid or will be paid, by or on behalf of

the undersigned, to any person for

influencing or attempting to influence an

officer or employee of any agency, a Member

of Congress, an officer or employee of

Congress, or an employee of a Member of

Congress in connection with the awarding of

any Federal contract, the making of any

Federal grant, the making of any Federal

loan, the entering into of any cooperative

agreement, and the extension, continuation,

renewal, amendment, or modification of any

Federal contract, grant, loan, or cooperative

agreement.

(2) If any funds other than Federal

appropriated funds have been paid or will be

paid to any person for influencing or

attempting to influence an officer or

employee of any agency, a Member of

Congress, an officer or employee of Congress,

or an employee of a Member of Congress in

connection with this Federal contract, grant,

loan, or cooperative agreement, the

undersigned shall complete and submit

Standard Form-LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

(3) The undersigned shall require that the

language of this certification be included in

the award documents for all subawards at all

tiers (including subcontracts, subgrants, and

contracts under grants, loans and cooperative

agreements) and that all subrecipients shall

certify and disclose accordingly.

This certification is a material

representation of fact upon which reliance

was placed when this transaction was made

or entered into. Submission of this

certification is a prerequisite for making or

entering into this transaction imposed by

section 1342, title 31, U.S. Code. Any person

who fails to file the required certification

shall be subject to a civil penalty of not less

than $10,000 and not more than $100,000 for

each such failure.

lllllllllllllllllllll

Signature of PHA Representative

lllllllllllllllllllll

Name of PHA

lllllllllllllllllllll

Name of Signatory (Print or Type)

lllllllllllllllllllll

Date signed

lllllllllllllllllllll

BILLING CODE 4210–32–P

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12409

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12411

FUNDING AVAILABILITY FOR

EARLY DOCTORAL STUDENT

RESEARCH GRANT PROGRAM

Program Overview

Purpose of the Program. To help

eligible doctoral students cultivate their

research skills through the preparation

of research manuscripts that focus on

housing and urban development issues.

Available Funds. Approximately

$150,000.

Eligible Applicants: Only predissertation Ph.D. students whose

studies include urban economics as a

major or concentration within another

field related to housing and urban

development.

Application Deadline. April 26, 2001.

Match. None.

Additional Information

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application is due on or

before 12:00 midnight, Eastern Time on

April 26, 2001. You should read the

General Section of the SuperNOFA

because it contains more detailed

information about the application due

date.

Address for Submitting Applications.

Your completed application consists of

an original signed application and an

electronic copy of the application. If you

are submitting your application by mail,

you should send it to the following

address: University Partnerships

Clearinghouse, Aspen Systems

Corporation, Mail Stop 5B, 2277

Research Blvd., Rockville, MD 20850. If

you are hand-delivering your

application on or before the due date,

you should deliver it to Room 8110

during normal business hours or to the

South Lobby after these hours and

before midnight. You should read the

General Section of the SuperNOFA

because it contains more detailed

information on submission deadlines.

Please mark on the envelope for your

application that it is for the Early

Doctoral Student Research Grant

Program.

HUD will accept only one application

per doctoral student.

For Application Kits. The application

requirements are contained in this

program NOFA. There is no separate

application kit for the program.

For Further Information and

Technical Assistance. You may contact

Jane Karadbil of HUD’s Office of

University Partnerships at 202–708–

1537, extension 5918. If you have a

hearing or speech impairment, you may

access this number via TTY by calling

the Federal Information Relay Service

toll-free at 1–800–877–8339. You may

also write to Ms. Karadbil via email at

Jane_R._Karadbil@hud.gov.

II. Amount Allocated

Approximately $150,000 in FY 2001

funds is being made available under this

SuperNOFA for Early Doctoral Student

Research Grant Program (EDSRG).

The maximum grant period is 12

months. The performance period will

commence on the effective date of the

grant agreement.

The maximum amount to be

requested by and awarded to a doctoral

student is $15,000. HUD reserves the

right to make awards for less than the

maximum amount or less than the

amount requested in your application.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. The purpose

of the EDSRG is to enable doctoral

students to cultivate their research skills

through the preparation of research

manuscripts that focus on policyrelevant housing and urban

development issues. The program will

also provide a forum for new scholars to

share their research findings through

presentation of this research to a

scholarly conference and/or publication

in a refereed journal. The FY 2001

EDSRG Program seeks to fund research

studies that will inform Federal

problem-solving and policy making

relating to HUD’s policy priorities for

this year. These priorities are:

(1) Economic development in

‘‘untapped’’ markets—e.g., studies of

reinvestment pressures; efforts to create

or expand businesses while meeting the

needs of under-served inner-city, older

suburb, or rural areas; expansion of

access to capital; joint ventures with

community-based organizations;

(2) Development of inner cities—e.g.,

studies of reinvestment pressures;

theories of capital/land/market failure

that explain why vast areas of many

cities have essentially lain dormant or

suffered depopulation and/or

disinvestment; government policies or

market interventions that would

alleviate these patterns;

(3) Issues in housing finance—e.g.,

institutional barriers to efficiency in the

housing finance system; enabling the

housing finance system to better serve

low-income and minority borrowers

more effectively; the present and future

role of FHA in housing finance;

(4) Affordability of rental housing—

e.g., policy and program options in tight

or ‘‘hot’’ markets; innovative

partnerships or finance; impacts on

very-low-income families; preservation

of existing housing stock;

(5) Homeownership—e.g., relative

importance of factors in tenure

decisions; estimation of private and

social benefits and costs of

homeownership; role in household

savings and investment decisions;

effects of demographics, macroeconomic environment, and government

policies on homeownership;

(6) Regionalism and ‘‘Smart

Growth’’—e.g., the economic

interdependence of cities and suburbs;

connecting the disadvantaged to

metropolitan resources; sustainable

growth attentive to the economy, the

environment, and social equity;

rehabilitation and infill development;

fiscal disparity issues; and regional

problem-solving and coalition building;

(7) Housing markets—e.g., factors

affecting rents, home values, tenure,

vacancy rates, market absorption of new

units, construction activity;

(8) Housing stock—e.g., durability of

stock; factors determining rehabilitation

and remodeling; comparisons with stock

in other developed countries;

(9) Workforce development through

the roles of place-based initiatives,

community-based organizations,

educational institutions, and housing

providers—e.g., roles; impacts and

effectiveness; links to welfare-to-work;

emerging models;

(10) Fair housing—e.g., effectiveness

of local initiatives; emerging models;

links to schooling or other services;

zoning and land use; political

management and coalition building;

NIMBY-ism; effect on low-income

families; gentrification; housing choice;

environmental justice;

(11) Housing needs of the elderly and

persons with disabilities—e.g.,

availability; design and quality;

affordability; accessibility; linked

services; aging in place;

(12) Community development and

community building—e.g., impacts and

effectiveness; faith-based and higher

education community building efforts;

emerging models; challenges and

pitfalls;

(13) Home equity conversion

mortgages (HECMs)—e.g., impact of

HECMS on social welfare, availability of

housing for younger families, effect on

optimal aggregate debt to housing equity

ratio as the population ages;

(14) Evaluation of existing housing

programs—e.g., opting out of Section 8

project-based contracts, cost-benefit

analyses of alternative methods for

providing housing assistance; and

(15) Evaluation of college/community

partnerships focused on community and

economic development and methods for

12412 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

institutionalizing these partnerships at

colleges and universities.

(B) Eligible Applicants. You must

meet the following requirements:

(1) You must be a currently enrolled

and full-time student in an accredited

doctoral program at an accredited

institution of higher education;

(2) You must have urban economics

as your major field or as a concentration

within a major in another field related

to housing and urban development;

(3) You must not have taken your

preliminary/comprehensive

examinations;

(4) You must have completed at least

two semesters or three terms of your

doctoral studies program (depending on

the course structure of the institution);

and

(5) You must have been assigned a

faculty advisor to supervise your

research manuscript.

You must provide documentation

from the chair of your department that

you meet all of these conditions and

that in his/her opinion it is realistic to

believe that the research manuscript can

be completed within the one-year grant

period. In addition, you and your

institution must meet all the applicable

threshold requirements found in Section

II(B) of the General Section of the

SuperNOFA.

(C) Eligible Activities. Your grant must

support direct costs incurred in the

timely completion of a research

manuscript. Eligible costs include

stipends, computer software, the

purchase of data, travel expenses to

collect data; transcription services, and

compensation for interviews. Three

thousand dollars of the grant will be

held back until you have completed

your research manuscript and either it

has been accepted for presentation at a

conference or for publication in a

refereed journal by September 30, 2002,

or a committee of three faculty members

(including your faculty sponsor, as the

principal investigator of the grant) has

determined and certified to HUD that

the manuscript is of high quality and

worthy of submission to conferences or

journals.

(D) Ineligible Activities. Your grant

may not be used to pay for tuition,

computer hardware, or meals.

(E) Other Requirements. (1) Support

from your university. Support from your

university is required. Such support

might include tuition waivers, office

space, equipment, computer time, or

similar items you might need in order

to complete your dissertation. This

support may not replace support or

assistance that your institution would

otherwise provide you.

(2) University sponsorship. The

university shall enter into a Grant

Agreement with HUD that provides for

payment of the grant by HUD to the

university and from the university to the

approved applicant, and that further

provides all required certifications and

assurances. The university shall agree to

provide as the Principal Investigator

under the Grant Agreement a

dissertation advisor or chair of the

applicant’s dissertation committee who

shall supervise the work of the

applicant under the Grant Agreement.

(3) Progress reporting. You will be

required to submit a report, half way

through your grant, on the progress you

have made towards completion of the

research manuscript and the likelihood

that you will complete it on time.

IV. Application Selection Process

HUD will conduct two types of review:

a threshold review to determine your

eligibility to apply; and a technical

review to rate your application based on

the rating factors in this section.

(A) Threshold Factors for Funding

Consideration. Under this threshold

review, your application can only be

rated if the following standards are met:

(1) You are an eligible doctoral

student, as defined in Section III(B)

above and have provided a letter from

your department chair, in the format in

Appendix A, confirming this;

(2) You have requested no more than

the grant maximum of $15,000; and

(3) Your institution has agreed to

provide some support to you as part of

this grant.

(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.

Rating Factor 1: Relevance of Your

Research Manuscript to the

Department’s Mission and Research

Priorities (35 points)

In reviewing this factor, HUD will

determine the extent to which your

research manuscript will produce

policy-relevant information that is

directly related to one of the research

priorities listed above (i.e., the research

that will be produced could have an

effect on HUD’s strategic goals and

HUD’s programs and policies to achieve

these goals—see the HUD web site at

http://www.hud.gov/reform/strpln.html

for a discussion of these goals The less

directly related to one of these topics

your research is, the less points you will

receive. For example, a study of

minorities’ housing choice decisions

would have high relevance to HUD’s

strategic goals; a study of transportation

inequities would have medium

relevance; and a study of the effects of

global warming on urban development

would have low relevance.

Rating Factor 2: Quality of Your

Research Design (35 points)

In reviewing this factor, HUD will

determine the extent to which your

research design and methodology are

likely to produce data and information

that will successfully answer your

research hypotheses. HUD will also

evaluate the extent to which the

methodology you propose to use is

sound and generally accepted by the

relevant research community. Reviewers

will be looking at the extent to which

you use standard methodological

practices in line with research already

completed or existing publications in

the field related to your research

questions.

Rating Factor 3: Your Skills and

Preparation and the Furtherance of

Them (20 points)

In reviewing this factor, HUD will

determine the extent to which:

(1) Your skills and experience are

relevant to your proposed research

manuscript (e.g., course work, teaching,

research projects, presentations);

(2) You have undertaken appropriate

preparation (e.g., preliminary design of

the survey collection instruments, preclearance on interviews) to undertake

the dissertation; and

(3) Your proposed research will help

to further your research skills (i.e, it is

relevant to the kinds of projects you will

continue to work on as you earn your

Ph.D.).

Rating Factor 4: Timely Completion

and Issuance of Your Research

Manuscript (10 points)

In reviewing this factor, HUD will

determine the extent to which your

research design and methodology and

plan for completion of your research

manuscript can feasibly be completed

within the one-year grant period and the

likelihood that, either by September 30,

2002, the manuscript will be presented

at a conference or for publication in a

refereed journal by September 30, 2002,

or a small committee of three faculty

members can certify that the manuscript

is high quality and worthy of

submission to conferences or refereed

journals. Applications that propose

extremely complex and time-consuming

data collection efforts (e.g., major

longitudinal studies or a very large

number of sites visits within the grant

period) will determined to be less

feasible of completion within the

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12413

allowed time frame. For example, if you

propose a methodology based on

information that may not be publicly

available until after the end of the grant

period (e.g., Census information), or a

data collection plan that will take longer

than the time you have allowed for it,

you will get a lower score than if you

have presented a time line and

methodology that show evidence that

the research project can be completed

within the grant period.

(C) Selections. In order to be funded,

you must receive a minimum score of 70

points. HUD will fund applications in

rank order, until it has awarded all

available funds. If two or more

applications have the same number of

points, the application with the most

points for Factor 1, Relevance to HUD’s

Mission, shall be selected. If there is

still a tie, the application with the most

points for Factor 2, Quality of the

Research Design, shall be selected.

After all application selections have

been made, HUD may require that you

participate in negotiations to determine

the specific terms of the Statement of

Work and the grant budget. In cases

where HUD cannot successfully

complete negotiations, or you fail to

provide HUD with requested

information, an award 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 that applicant.

V. Application Submission

Requirements

You should include an original and

one computer disk (in Word 6.0 or

higher) of the items listed below. In

order to be able to recycle paper, please

do not submit applications in bound

form; binder clips or loose leaf binders

are acceptable. Also, please do not use

colored paper. Please note the page

limits for some of the items listed below

and do not exceed them.

Your application must contain the

items listed in this section and they

must be included in the order shown

here. There is no separate application

kit for this program. These items

include the standard forms,

certifications, and assurances listed in

the General Section of the SuperNOFA

that are applicable to this funding

(collectively referred to as the ‘‘standard

forms’’). The standard forms can be

found in Appendix B to the General

Section of the SuperNOFA. The

remaining application, referred to as the

‘‘non-standard forms,’’ can be found as

Appendix A to this program section of

the SuperNOFA. Sample documents are

also included in this appendix. The

items are as follows:

(A) SF–424, Application for Federal

Assistance. Include the name and

address of the person authorized to

execute the grant agreement in Block 5.

Include the institution’s tax ID number

in Block 6. The Catalogue of Federal

Domestic Assistance number for the

program is 14.517. The form should be

signed by the appropriate university

official.

(B) Table of contents of the

application.

(C) Transmittal Letter, from you,

containing the following information:

(1) Title of your research project;

(2) Your name, university and home

addresses, university and home

telephone numbers, facsimile numbers,

and email address;

(3) Your university’s name,

department, mailing address, telephone

and facsimile numbers.

(4) Your faculty advisor’s name,

address, telephone and facsimile

numbers—this person will serve as the

Principal Investigator for the grant.

(D) A statement from your department

chair that you have met all the

eligibility criteria described in Section

III(B) (see Appendix A for a sample).

(E) A statement from the appropriate

official that describes your university’s

support, as described in Section III(E)

(see Appendix B for a sample).

(F) An abstract of 500 words or less

that addresses the following topics:

(1) Specific purpose of the

dissertation;

(2) Methodology being used; and

(3) How you meet the eligibility

criteria.

(G) A narrative of the proposed

research, not to exceed 5 double-spaced

typed pages. This narrative must

include the following items in the

following order:

(1) Statement of the problem;

(2) Research design and methodology;

(3) Policy relevance of the research;

(4) Your resume including

educational background, research

experience, background in statistics and

empirical research, computer

experience, and background in housing

and/or urban studies.

(H) A proposed budget (See Appendix

C for a sample).

(I) Certifications. These forms must be

signed by the doctoral candidate and

can be downloaded from the HUD web

site at www.hud.gov.

(1) HUD–2992, Certification regarding

debarment and suspension pursuant to

24 CFR part 24.

(2) HUD–50071, Disclosure of

lobbying pursuant to 24 CFR part 87.

(3) HUD–50070, Certification of DrugFree Workplace, pursuant to 24 CFR

24.600 et seq.

(J) Acknowledgment of Receipt of

Applications (HUD–2993). If you wish

to confirm that HUD received your

application, please complete this form.

This form is optional.

VI. Environmental Requirements

The provision of assistance under this

program is categorically excluded from

environmental review under the

National Environmental Policy Act of

1969 (42 U.S.C. 4321) and not subject to

compliance actions for related

environmental authorities under

§ 50.19(b)(1) and (b)(9).

VII. Authority

This program is being undertaken

under HUD’s research authority under

Title V of the Housing and Urban

Development Act of 1970.

Appendices A, B and C

The non-standard sample forms and letters,

which follow, are required for your Early

Doctoral Student Research Grant application.

Appendix A—Sample Statement From

Advisor

March 10, 2001

To Whom It May Concern: Jane Jones is a

doctoral student at Northern State University.

As of the date of this letter her major field

of study is (e.g., planning, public policy,

urban studies) with a concentration in urban

economics. She has completed three terms of

her doctoral coursework and has not yet

taken her comprehensive examinations. An

advisor has been assigned to her for the work

she would do under this grant. It is realistic

to expect that the proposed research

manuscript will be completed within the

one-year grant period and either accepted for

presentation at a scholarly conference and/or

publication in a refereed journal by

September 30, 2002, or certified by a faculty

committee that it is worthy of being

submitted for presentation or publication.

Sincerely,

Dr. Peter Paul, Professor and Chair,

Department of City Planning

Appendix B—Sample Description of

University Support

March 9, 2001

To Whom It May Concern: John Grey is a

doctoral student in the Planning Department

at Eastern University, working on a research

manuscript titled ‘‘The Economics of Smart

Growth.’’ Office space, computer hardware,

software for preparing statistical summaries,

a research library, and several bibliographic

databases will be available to Mr. Grey

without charge to the grant for which he is

applying.

Prof. Bradley Street, Department of

Geography, Dissertation Committee Chair

Appendix C—Budget Instructions

A sample budget for an application is

shown below. The categories of expenses

shown do not necessarily apply to all

12414 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

applications, and some applications may

have expense categories not shown. The

sample is representative, not binding.

‘‘The Economics of Smart Growth’’

John Jones, 621 Elm Street, Academia, USA

12345, March 10, 2000

Services:

Applicant (J. Jones):

___days @ $___/day ......................................................................................................................................................... = $ x,xxx

Other professionals:

A. Smith, ___ days @ $___/day ....................................................................................................................................... = $ xx,xxx

B. Brown, ___days @ $___/day ........................................................................................................................................ = $ xxx

Clerical:

C. Johnson, ___ days @ $___/day .................................................................................................................................... = $ xxx

Subtotal, service ....................................................................................................................................................... = $ xx,xxx

Other:

Travel: ___ trips @ $___/trip ........................................................................................................................................... = $ x,xxx

Computer usage ............................................................................................................................................................... = $ xxx

Reproduction costs .......................................................................................................................................................... = $ xxx

Phone, mailing, misc. materials ...................................................................................................................................... = $ xxx

Subtotal, other .......................................................................................................................................................... = $ x,xxx

Total estimated cost ................................................................................................................................................. = $ xx,xxx

BILLING CODE 4210–32–P

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12415

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12417

FUNDING AVAILABILITY FOR

DOCTORAL DISSERTATION

RESEARCH GRANT PROGRAM

Program Overview

Purpose of the Program. To assist

Ph.D. candidates complete their

research and dissertations on housing

and urban development issues.

Available Funds. Approximately

$600,000.

Eligible Applicants. Only Ph.D.

candidates who have completed all of

their doctoral program requirements

except the preparation of the

dissertation.

Application Deadline. April 26, 2001.

Match. None.

Additional Information

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application is due on or

before 12:00 midnight, Eastern Time on

April 26, 2001. You should read the

general section of the SuperNOFA

because it contains more detailed

information about the application due

date.

Address for Submitting Applications.

Your completed application consists of

an original signed application and an

electronic copy of the application. If you

are submitting your application by mail,

you should send it to the following

address: University Partnerships

Clearinghouse, Aspen Systems

Corporation, Mail Stop 5B, 2277

Research Blvd., Rockville, MD 20850. If

you are hand-delivering your

application on or before the due date,

you should deliver it to Room 8110

during normal business hours or to the

South Lobby after these hours and

before midnight. You should read the

General Section of the SuperNOFA

because it contains more detailed

information on submission deadlines.

Please mark on the envelope for your

application that it is the Doctoral

Dissertation Research Grant Program.

HUD will accept only one application

per Ph.D. candidate.

For Application Kits. The application

requirements are contained in this

program NOFA. There is no separate

application kit for the program.

For Further Information and

Technical Assistance. You may contact

Jane Karadbil of HUD’s Office of

University Partnerships at 202–708–

1537, extension 5918. If you have a

hearing or speech impairment, you may

access this number via TTY by calling

the Federal Information Relay Service

toll-free at 1–800–877–8339. You may

also write to Ms. Karadbil via email at

Jane_R._Karadbil@hud.gov.

II. Amount Allocated

Approximately $600,000 in FY 2001

funds is being made available under this

SuperNOFA for the Doctoral

Dissertation Research Grant Program

(DDRG).

The maximum grant period is 24

months. The performance period will

commence on the effective date of the

grant agreement.

The maximum amount to be

requested by and awarded to a Ph.D.

candidate is $30,000. HUD reserves the

right to make awards for less than the

maximum amount or less than the

amount requested in your application.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. The purpose

of DDRG is to enable Ph.D. candidates

enrolled at accredited institutions of

higher education to complete their

research and dissertations on HUDrelated housing and urban development

issues. The FY 2001 DDRG program

seeks to fund dissertations that will

inform Federal problem-solving and

policy making relating to HUD’s policy

priorities for this year. These priorities

are:

(1) Economic development in

‘‘untapped’’ markets—e.g., efforts to

create or expand businesses while

meeting the needs of under-served

inner-city, older suburb, or rural areas;

expansion of access to capital; joint

ventures with community-based

organizations;

(2) Development of inner cities—e.g.,

studies of reinvestment pressures;

theories of capital/land/market failure

that explain why vast areas of many

cities have essentially lain dormant or

suffered depopulation and/or

disinvestment patterns; government

policies or market interventions that

would alleviate these patterns;

(3) Issues in housing finance—e.g.,

institutional barriers to efficiency in the

housing finance system; enabling the

housing finance system to better serve

low-income and minority borrowers

more effectively; the present and future

role of FHA in housing finance;

(4) Affordability of rental housing—

e.g., policy and program options in tight

or ‘‘hot’’ markets; innovative

partnerships or finance; impacts on

very-low-income families; preservation

of existing housing stock;

(5) Homeownership—e.g., relative

importance of factors in tenure

decisions; estimation of private and

social benefits and costs of

homeownership; role in household

savings and investment decisions;

effects of demographics, macroeconomic environment, and government

policies on homeownership;

(6) Regionalism and ‘‘Smart

Growth’’—e.g., the economic

interdependence of cities and suburbs;

connecting the disadvantaged to

metropolitan resources; sustainable

growth attentive to the economy, the

environment, and social equity;

rehabilitation and infill development;

fiscal disparity issues; and regional

problem-solving and coalition building;

(7) Housing markets—e.g., factors

affecting rents, home values, tenure,

vacancy rates, market absorption of new

units, construction activity;

(8) Housing stock—e.g., durability of

stock; factors determining rehabilitation

and remodeling; comparisons with stock

in other developed countries;

(9) Workforce development through

the roles of place-based initiatives,

community-based organizations,

educational institutions, and housing

providers—e.g., roles; impacts and

effectiveness; links to welfare-to-work;

emerging models;

(10) Fair housing—e.g., effectiveness

of local initiatives; emerging models;

links to schooling or other services;

zoning and land use; political

management and coalition building;

NIMBY-ism; effect on low-income

families; gentrification; housing choice;

environmental justice;

(11) Housing needs of the elderly and

persons with disabilities—e.g.,

availability; design and quality;

affordability; accessibility; linked

services; aging in place;

(12) Community development and

community building—e.g., impacts and

effectiveness; faith-based and higher

education community building efforts;

emerging models; challenges and

pitfalls;

(13) Home equity conversion

mortgages (HECMs)—e.g., impact of

HECMS on social welfare, availability of

housing for younger families, effect on

optimal aggregate debt to housing equity

ratio as the population ages;

(14) Evaluation of existing housing

programs—e.g., opting out of Section 8

project-based contracts, cost-benefit

analyses of alternative methods for

providing housing assistance; and

(15) Evaluation of college/community

partnerships focused on community and

economic development and methods for

institutionalizing these partnerships at

colleges and universities.

(B) Eligible Applicants. You must be

a currently enrolled and matriculating

student who has been accepted into

candidacy in an accredited doctoral

program at an accredited institution of

12418 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

higher education and have a fully

developed and approved dissertation

proposal. You must provide

documentation from your dissertation

committee chair that:

(1) By the application due date, your

dissertation proposal has been accepted

by your full dissertation committee and

you have been assigned a dissertation

advisor;

(2) By September 1, 2001, you will

have satisfactorily completed all other

written and oral Ph.D. requirements,

including all your examinations and

defense of your proposal, except the

dissertation; and

(3) It is realistic to believe that the

dissertation can be completed within

the two-year grant period.

In addition, you and your institution

must meet all the applicable threshold

requirements found in Section II(B) of

the General Section of the SuperNOFA.

(C) Eligible Activities. Your grant must

support direct costs incurred in the

timely completion of a dissertation.

Eligible costs include stipends,

computer software, the purchase of data,

travel expenses to collect data;

transcription services, and

compensation for interviews. Six

thousand dollars of the grant will be

held back until you have completed

your dissertation, had it approved by

your committee, and submitted it to

HUD.

(D) Ineligible Activities. Your grant

may not be used to pay for tuition,

computer hardware, or meals.

(E) Other Requirements. (1) Support

from your university. Support from your

university is required. Such support

might include tuition waivers, office

space, equipment, computer time, or

similar items you might need in order

to complete your dissertation. This

support may not replace support or

assistance that your institution would

otherwise provide you.

(2) University sponsorship. The

university shall enter into a Grant

Agreement with HUD that provides for

payment of the grant by HUD to the

university and from the university to the

approved applicant, and that further

provides all required certifications and

assurances. The university shall agree to

provide as the Principal Investigator

under the Grant Agreement a

dissertation advisor or chair of the

applicant’s dissertation committee who

shall supervise the work of the

applicant under the Grant Agreement.

(3) Progress reporting. You will be

required to submit a report, at the end

of the first year of your grant, on the

progress you have made towards

completion of the dissertation and the

likelihood that you will complete it on

time.

IV. Application Selection Process

HUD will conduct two types of

review: a threshold review to determine

your eligibility to apply; and a technical

review to rate your application based on

the rating factors in this section.

(A) Threshold Factors for Funding

Consideration. Under this threshold

review, your application can only be

rated if the following standards are met:

(1) You are an eligible Ph.D.

candidate, as defined in Section III(B)

above and have provided a letter from

your dissertation committee chair, in

the format in Appendix A, confirming

this;

(2) You have requested no more than

the $30,000 grant maximum; and

(3) Your institution has agreed to

provide some support to you as part of

this grant.

(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.

Rating Factor 1: Relevance of Your

Dissertation to the Department’s

Mission and Research Priorities (35

points)

In reviewing this factor, HUD will

determine the extent to which your

dissertation will produce policyrelevant information that is directly

related to one of the research priorities

listed above (i.e., the research that will

be produced could have an effect on

HUD’s strategic goals and HUD’s

programs and policies to achieve these

goals—see the HUD web site at http://

www.hud.gov/reform/strpln.html for a

discussion of these goals). The less

directly related to one of these topics

your dissertation is, the less points you

will receive. For example, a study of

minorities’ housing choice decisions

would have high relevance to HUD’s

strategic goals; a study of transportation

inequities would have medium

relevance; and a study of the effects of

global warming on urban development

would have low relevance.

Rating Factor 2: Quality of Your

Research Design (35 points)

In reviewing this factor, HUD will

determine the extent to which your

research design and methodology are

likely to produce data and information

that will successfully answer your

research hypotheses. HUD will also

evaluate the extent to which the

methodology you propose to use is

sound and generally accepted by the

relevant research community. Reviewers

will be looking at the extent to which

you use standard methodological

practices in line with research already

completed or existing publications in

the field related to your research

questions.

Rating Factor 3: Your Skills and

Preparation (20 points)

In reviewing this factor, HUD will

determine the extent to which your

skills and experience are relevant to

your proposed dissertation (e.g., course

work, teaching, research projects,

presentations). HUD will determine the

extent to which you have undertaken

appropriate preparation (e.g., selecting

sites for data collection, identifying

potential interviewees and categories of

interviewees, pre-clearance on

interviews) to undertake the

dissertation. HUD will also determine

the extent to which your previous

research experience (e.g., graduate-level

research projects, presentations at

conferences, publications, etc.) is

relevant to and supportive of your

proposed dissertation

Rating Factor 4: Timely Completion of

Your Dissertation (10 points)

In reviewing this factor, HUD will

determine the extent to which your

research design and methodology and

plan for completion of the dissertation

can be completed within the two-year

grant period. Applications that propose

extremely complex and time-consuming

data collection efforts (e.g., major

longitudinal studies or a very large

number of sites visits within the two

year grant period) will be determined to

be less feasible of completion within the

allowed time frame. For example, if you

propose a methodology based on

information that may not be publicly

available until after the end of the twoyear grant period (e.g., Census

information), or a data collection plan

that will take longer than the time you

have allowed for it, you will get a lower

score than if you have presented a time

line and methodology that show

evidence that the dissertation can be

completed within the grant period.

(C) Selections. In order to be funded,

you must receive a minimum score of 70

points. HUD will fund applications in

rank order, until it has awarded all

available funds. If two or more

applications have the same number of

points, the application with the most

points for Factor 1, Relevance to HUD’s

Mission, shall be selected. If there is

still a tie, the application with the most

points for Factor 2, Quality of the

Research Design, shall be selected.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12419

After all application selections have

been made, HUD may require that you

participate in negotiations to determine

the specific terms of the Statement of

Work and the grant budget. In cases

where HUD cannot successfully

complete negotiations, or you fail to

provide HUD with requested

information, an award 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 that applicant.

V. Application Submission

Requirements

You should include an original and

one computer disk (in Word 6.0 or

higher) of the items listed below. In

order to be able to recycle paper, please

do not submit applications in bound

form; binder clips or loose leaf binders

are acceptable. Also, please do not use

colored paper. Please note the page

limits for some of the items listed below

and do not exceed them.

Your application must contain the

items listed in this section and they

must be included in the order shown

here. There is no separate application

kit for this program. These items

include the standard forms,

certifications, and assurances listed in

the General Section of the SuperNOFA

that are applicable to this funding

(collectively referred to as the ‘‘standard

forms’’). The standard forms can be

found in Appendix B to the General

Section of the SuperNOFA. The

remaining application, referred to as the

‘‘non-standard forms,’’ can be found as

Appendix A to this program section of

the SuperNOFA. Sample documents are

also included in this appendix. The

items are as follows:

(A) SF–424, Application for Federal

Assistance. Include the name and

address of the person authorized to

execute the grant agreement in Block 5.

Include the institution’s tax ID number

in Block 6. The Catalogue of Federal

Domestic Assistance number for the

program is 14.516. The form should be

signed by the appropriate university

official.

(B) Table of contents of the

application.

(C) Transmittal Letter, from you,

containing the following information:

(1) Title of your dissertation;

(2) Your name, university and home

addresses, university and home

telephone and facsimile numbers, and

email address;

(3) Your university’s name,

department, mailing address, telephone

and facsimile numbers.

(4) Your dissertation advisor’s name,

address, telephone and facsimile

numbers—this person will serve as the

Principal Investigator for the grant.

(D) A statement from your dissertation

advisor or chair of the dissertation

committee that you have met all the

eligibility criteria described in Section

III(B) (see Appendix A for a sample).

(E) A statement from the appropriate

official that describes your university’s

support, as described in Section III(E)

(see Appendix B for a sample).

(F) An abstract of 500 words or less

that addresses the following topics:

(1) Specific purpose of the

dissertation;

(2) Methodology being used; and

(3) How you meet the eligibility

criteria.

(G) A narrative of the proposed

research, not to exceed 10 doublespaced typed pages. Do not submit your

dissertation proposal itself. This

narrative must include the following in

the following order:

(1) Statement of the problem;

(2) Research design and methodology;

(3) Policy relevance of the research;

(4) Your resume including

educational background, research

experience, publications, background in

statistics and empirical research,

computer experience, and background

in housing and/or urban studies.

(H) A proposed budget (See Appendix

C for a sample).

(I) Certifications. These forms must be

signed by the doctoral candidate and

can be downloaded from the HUD web

site at www.hud.gov.

(1) HUD–2992, Certification regarding

debarment and suspension pursuant to

24 CFR part 24.

(2) HUD–50071, Disclosure of

lobbying pursuant to 24 CFR part 87.

(3) HUD–50070, Certification of Drug–

Free Workplace, pursuant to 24 CFR

24.600 et seq.

(J) Acknowledgment of Receipt of

Applications (HUD–2993). If you wish

to confirm that HUD received your

application, please complete this form.

This form is optional.

VI. Environmental Requirements

The provision of assistance under this

program is categorically excluded from

environmental review under the

National Environmental Policy Act of

1969 (42 U.S.C. 4321) and not subject to

compliance actions for related

environmental authorities under

§ 50.19(b)(1) and (b)(9).

VII. Authority

This program is being undertaken

under HUD’s research authority under

Title V of the Housing and Urban

Development Act of 1970.

Appendices A, B and C

The non-standard sample forms and letters,

which follow are required for your Doctoral

Dissertation Research Grant application.

Appendix A—Sample Statement From

Advisor

March 10, 2001

To Whom It May Concern: John Jones,

Ph.D. candidate in urban studies at Northern

State University, as of the date of this letter,

he will have defended his dissertation

proposal, it has been formally approved by

the dissertation committee, and a dissertation

advisor has been assigned to him. In

addition, he will have completed all written

and oral Ph.D. examination requirements by

September 1, 2001. It is realistic to believe

that Mr. Jones’ dissertation can be completed

within a two-year period.

Sincerely,

Dr. Peter Paul, Professor of Urban Studies

and Chairman of John Jones’ Dissertation

Committee

Appendix B—Sample Description of

University Support

March 9, 2001

To Whom It May Concern: Sarah Grey is

a Ph.D. student in the Geography Department

of Eastern University, working on a

dissertation titled ‘‘Redevelopment Practices

in Lower Manhattan.’’ Office space, computer

hardware, software for preparing statistical

summaries, a research library, and several

bibliographic databases will be available to

Ms. Grey without charge to the grant for

which she is applying.

Sincerely,

Prof. Bradley Street, Department of

Geography, Dissertation Committee Chair

Appendix C—Budget Instructions

A sample budget for an application is

shown below. The categories of expenses

shown do not necessarily apply to all

applications, and some applications may

have expense categories not shown. The

sample is representative, not binding.

‘‘A Study of Faith-Based Organizations’s

Effectiveness in Local Community

Development Projects’’

John Jones, 621 Elm Street, Academia, USA

12345, March 10, 2000

Services:

Applicant (J. Jones):

llldays @ $lll/day ............................................................................................................................................... = $ x,xxx

12420 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

Other Professionals:

A. Smith,llldays @ $lll/day ............................................................................................................................... = $ xx,xxx

B. Brown,llldays @ $lll/day .............................................................................................................................. = $ xxx

Clerical:

C. Johnson,llldays @ $lll/day ............................................................................................................................= $ xxx

Subtotal, service ....................................................................................................................................................... = $ xx,xxx

Other:

Travel:llltrips @ $lll/day ................................................................................................................................... = $ x,xxx

Computer usage ............................................................................................................................................................... = $ xxx

Reproduction costs .......................................................................................................................................................... = $ xxx

Phone, mailing, misc. materials ...................................................................................................................................... = $ xxx

Subtotal, Other .......................................................................................................................................................... = $ x,xxx

Total Estimated Cost ................................................................................................................................................ = $ xx,xxx

BILLING CODE 4210–32–P

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12421

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12423

FUNDING AVAILABILITY FOR HUD

URBAN SCHOLARS FELLOWSHIP

PROGRAM

Program Overview

Purpose of the Program. To provide

encouragement to new scholars to

undertake research now, and throughout

their careers, on research topics of

interest to HUD.

Available Funds. Approximately

$550,000.

Eligible Applicants: Only Ph.D.s who

have an academic appointment at an

institution of higher education and have

received their Ph.D.s no earlier than

January 1, 1996.

Application Deadline. June 5, 2001.

Match. University support in terms of

course load reductions, indirect costs

waived, space, etc. are required.

Additional Information

I. Application Due Date, Application

Kits, Further Information, and

Technical Assistance

Application Due Date. Your

completed application must be received

on or before 5:00 pm Eastern time, on

June 5, 2001.

Address for Submitting Applications.

Your completed application consists of

an original signed application, which

can be submitted in hard copy or

electronically. Submit your completed

application to the following address:

The Fellowship Office/HUD TJ 2041,

National Research Council, 2101

Constitution Avenue, N.W.,

Washington, DC 20418. Please mark on

the envelope for your application that it

is the HUD Urban Scholars Fellowship

Program.

HUD will accept only one application

for an applicant.

For Application Kits. An application

kit can be obtained by calling or writing

the Fellowship Office/HUD, TJ 2041,

National Research Council, 2101

Constitution Avenue, N.W., Washington

DC 20418, telephone number 202–334–

2872 and facsimile number 202–334–

3419. The application kit can be

downloaded from the Internet at

http://national-academies.org/osep/fo.

For Further Information and

Technical Assistance. You may call the

above number. You may also write to

NAS via e-mail at infofell@nas.edu.

II. Amount Allocated

Approximately $550,000 in FY 2001

funds is being made available under this

SuperNOFA for the HUD Urban

Scholars Fellowship Program.

The maximum grant period is 15

months. The performance period will

commence on the effective date of the

grant agreement.

The maximum amount to be

requested by and awarded to an

applicant is $55,000. NAS reserves the

right to make awards for less than the

maximum amount or less than the

amount requested in your application.

III. Program Description; Eligible

Applicants; Eligible Activities

(A) Program Description. The

purposes of the HUD Urban Scholars

Program are to:

(1) Fund research relevant to HUD

priorities and issues;

(2) Provide encouragement to new

scholars to undertake research now, and

for the rest of their careers, on research

topics of interest to HUD; and

(3) Have an impact on the academic

context in which these scholars work so

that this kind of research becomes

highly valued. The research priorities

for the HUD Urban Scholars Program are

designed to inform Federal problemsolving and policy making relating to

HUD’s strategic goals for this year.

Listed below are these goals and

examples of research topics. Proposals

are not limited to these example topics

but should, in any case, relate to one of

the HUD strategic goals listed below.

Goal #1, Improving Community Quality

of Life and Economic Vitality

(1) Economic development in

‘‘untapped’’ markets—e.g., efforts to

create or expand businesses while

meeting the needs of under-served

inner-city, older suburb, or rural areas;

expansion of access to capital; joint

ventures with community-based

organizations.

(2) Evaluation of college/community

partnerships focused on community and

economic development and methods for

institutionalizing these partnerships at

colleges and universities.

(3) Development of inner cities—e.g.,

studies of reinvestment pressures;

theories of capital/land/market failure

that explain why vast areas of many

cities have essentially lain dormant or

suffered depopulation or disinvesment;

government policies or market

interventions that would alleviate these

patterns.

(4) Regionalism and ‘‘Smart Growth—

e.g., the economic interdependence of

cities and suburbs; connecting the

disadvantaged to metropolitan

resources; sustainable growth attentive

to the economy, the environment, and

social equity; rehabilitation and infill

development; fiscal disparity issues;

and regional problem-solving and

coalition building.

(5) Community development and

community building—e.g., impacts and

effectiveness; faith-based and higher

education community building efforts;

emerging models; challenges and

pitfalls.

(6) Understanding the basic processes

of urban demographic, social, and/or

political change.

Goal #2, Promoting Self-sufficiency and

Asset Development by Families and

Individuals

(1) Workforce development through

the roles of placed-based initiatives,

education providers, community-based

organizations, educational institutions,

and housing providers—e.g., roles;

impacts and effectiveness; links to

welfare-to-work; one-stop shops;

emerging models.

(2) Home equity conversion mortgages

(HECMs)—e.g., impact of HECMS on

social welfare, availability of housing

for younger families, effect on optimal

aggregate debt to housing equity ratio as

the population ages.

(3) Strategies to combat

homelessness—e.g., effective models,

causes; links to welfare-to-work and

affordable housing; issues of and

responses to youth homelessness.

Goal #3, Increasing the Availability of

Decent, Safe, and Affordable Housing in

American Communities

(1) Housing finance—e.g.,

institutional barriers to efficiency in the

housing finance system; enabling the

housing finance system to better serve

low-income and minority borrowers

more effectively; the present and future

role of FHA in housing finance.

(2) Affordability of rental housing—

e.g., policy and program options in tight

or ‘‘hot’’ markets; innovative

partnerships or finance; impacts on

very-low-income families; preservation

of existing housing stock.

(3) Homeownership—e.g., relative

importance of factors in tenure

decisions; estimation of private and

social benefits and costs of

homeownership; role in employment,

household savings, and investment

decisions; effects of demographics,

macro-economic environment, and

government policies on

homeownership.

(4) Housing markets—e.g., factors

affecting rents, home values, tenure,

vacancy rates, market absorption of new

units, construction activity.

(5) Housing stock—e.g., durability of

stock; factors determining rehabilitation

and remodeling; comparisons with stock

in other developed countries.

(6) Housing needs of the elderly and

persons with disabilities—e.g.,

availability; design and quality;

affordability; accessibility; linked

services; aging in place.

12424 Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices

(7) Evaluation of existing housing

programs—e.g., opting out of Section 8

project-based contracts, cost-benefit

analyses of alternative methods for

providing housing assistance.

Goal #4, Ensuring Equal Opportunity in

Housing for All Americans

(1) Fair housing—e.g., effectiveness of

local initiatives; emerging models; links

to schooling or other services;

gentrification; housing choice;

environmental justice; zoning and land

use; political management and coalition

building; NIMBY-ism; effect on lowincome families.

(2) Discrimination in housing and

lending—e.g., methods to detect

discrimination; systemic patterns and

practices.

(3) Concentration of poverty—e.g.,

impact of housing strategies; effective

strategies to promote deconcentration.

(B) Eligible Applicants. You must

have your Ph.D. and meet the following

conditions:

(1) You must have an academic

appointment with an institution of

higher education. This means that you

must either be on a tenure track or be

on a term (teaching or research)

appointment that will extend beyond

the 15-month duration of this

fellowship;

(2) You must have received your

Ph.D. no earlier than January 1, 1996;

(3) It is realistic to believe that your

proposed research project can be

completed within the 15-month

fellowship period; and

(4) You must have support from your

institution as attested to in the letter

described below in Section III(E)(1).

In addition, you must meet all the

applicable threshold requirements

found in Section II(B) of the General

Section of the SuperNOFA.

(C) Eligible Activities. Your grant must

support costs related to completion of

your research project. Eligible costs

include, but are not limited to, your

salary for two summers, graduate

assistants to work on the project, up to

$2,500 per course for the cost of

employing a replacement for the

course(s) your university relieves you

from teaching, computer software,

survey development and administration,

the purchase of data, travel expenses to

collect data or to make presentations at

meetings on your findings; transcription

services, compensation for interviews;

and no more than eight (8) percent of

the university’s indirect costs.

(D) Ineligible Activities. Your grant

may not be used to pay for tuition,

computer hardware, meals, relocation

costs, or other costs not directly related

to your research project. Fellowship

funding cannot be used to substitute for

university funding.

(E) Other Requirements. (1) Support

from your university. Support from your

university is required. Institutions will

be required to contribute, at a minimum,

the following:

(a) Designating a faculty advisor to

monitor your progress on your research

project;

(b) Office space, computer usage, etc.;

and

(c) Waived indirect costs above the

eight percent allowed to be covered by

this fellowship. In addition, your

application will be viewed more

favorably if your institution agrees to

reduce your course load by at least one

course per term or semester, but to

continue paying you your full salary.

(2) Progress reporting. You will be

required to submit a report, halfway

through your fellowship, on the

progress you have made towards

completion of the research project and

the likelihood that you will complete it

on time.

(3) Mentors. You will be required to

work with a mentor on your research

project. The mentor, who can be

someone in your institution or

elsewhere, should be a well-respected

scholar in the area of your research

topic. The mentor will be expected to

provide you with advice and direction

on substantive research issues. The

mentor and the faculty monitor

described above can be, but do not have

to be, the same person.

IV. Application Selection Process

The competition and selection

process for this program will be run by

the National Academy of Sciences

(NAS). NAS will conduct two types of

review: a threshold review to determine

your eligibility to apply; and a technical

review to rate your application based on

the rating factors in this section.

(A) Threshold Factors for Funding

Consideration. Under this threshold

review, your application can only be

rated if the following standards are met:

(1) You are eligible to apply for this

program, as defined in Section III(B)

above and have provided a letter from

department chair confirming this;

(2) You have obtained a mentor and

have included a letter from this person

confirming this and describing his/her

role in your research;

(3) Your institution has agreed to

provide some support to you, above that

provided by this funding, as part of this

grant.

(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.

Rating Factor 1: Appropriateness of

Your Methodology and Approach to the

Topic (25 points)

In reviewing this factor, NAS will

determine the extent to which your

research design and methodology are

likely to produce data and information

that will successfully answer your

research hypotheses. NAS will also

evaluate the extent to which the

methodology you propose to use is

sound and generally accepted by the

relevant research community. Reviewers

will be looking at the extent to which

you use standard methodological

practices in line with research already

completed or existing publications in

the field related to your research

questions.

Rating Factor 2: Ability of Your

Research Project To Add to the

Knowledge Base of the Topic To Be

Studied (20 points)

In reviewing this factor, NAS will

determine the extent to which your

proposed project undertakes research on

an area not covered by previous

research or proposes to look at a

previously studied research topic in a

new and different way. Reviewers will

look the clarity and compellingness of

the case the applicant makes for this

project in the context of the existing

literature and knowledge base for that

topic.

Rating Factor 3: Relevance of Your

Research to HUD’s Strategic Goals (15

points)

In reviewing this factor, NAS will

determine the extent to which your

proposed research project will produce

policy-relevant information that is

directly related to one of the strategic

goals listed above (i.e., the research

could have an effect on one of the goals

and on HUD’s programs and policies to

achieve these goals). More information

can be found about these goals by going

to the HUD web site at http://

www.hud.gov/reform/strpln.html. The

less directly related to one of these goals

your research project is, the less points

you will receive. For example, a study

of minorities’ housing choice decisions

would have high relevance to HUD’s

strategic goals; a study of transportation

inequities would have medium

relevance; and a study of the effects of

global warming on urban development

would have low relevance.

Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / Notices 12425

Rating Factor 4: Your Skills and

Preparation (15 points)

In reviewing this factor, NAS will

determine the extent to which your

training, past employment, and past

written work, such as your dissertation,

teaching, coursework, and previously

completed research papers that were

accepted for presentation or publication,

lay a foundation for this proposed work.

Rating Factor 5: Commitment of the

University (10 points)

In reviewing this factor, NAS will

determine the extent of the commitment

of your university, beyond that required

in Section III(E)(1). The quality of your

institution’s commitment, in terms of its

furthering your research project will

also be evaluated under this factor. For

example, your university could propose

to cover the cost of a graduate assistant

to work on your research project in

order to demonstrate its commitment

beyond what is required of it. The larger

the commitment, translated into dollar

terms, the higher the points. Full points

can only be received if your institution

agrees to reduce your course load by one

course a semester or term but to

continue paying you your full salary.

Rating Factor 6: Timely Completion of

Your Research Project (10 points)

In reviewing this factor, NAS will

determine the extent to which your

research design and methodology and

plan for completion of your research

project can feasibly be completed within

the fifteen-month fellowship period.

Applications that propose extremely

complex and time-consuming data

collection efforts (e.g., major

longitudinal studies or a very large

number of sites visits within the grant

period) will determined to be less

feasible of completion within the

allowed time frame. For example, if you

propose a methodology based on

information that may not be publicly

available until after the end of the grant

period (e.g., Census information), or a

data collection plan that will take longer

than the time you have allowed for it,

you will get a lower score than if you

have presented a time line and

methodology that show evidence that

the research project can be completed

within the grant period.

Rating Factor 7: Quality of the

Mentoring Plan (5 points)

In reviewing this factor, NAS will

determine the appropriateness of the

person chosen to be your mentor (in

terms of his/her previous work (e.g.,

research, publications, presentations,

standing in the research community)

and availability) and the role the mentor

has agreed to play in your project. The

higher the time commitment the mentor

makes to you, the higher points your

will receive.

(C) Selections. NAS will fund

applications in rank order, until it has

awarded all available funds. However,

as noted in Section II, NAS reserves the

right to make awards for less than the

amount requested in your application.

After all application selections have

been made, NAS may require that you

participate in negotiations to determine

the specific terms of the fellowship and

the grant budget. In cases where NAS

cannot successfully complete

negotiations, or you fail to provide NAS

with requested information, an award

will not be made. In such instances,

NAS may elect to offer an award to the

next highest ranking applicant, and

proceed with negotiations with that

applicant.

V. Application Submission

Requirements

You should include an original or

electronic copy of your application.

Please note the page limits for some of

the items listed below and do not

exceed them.

The application kit made available by

NAS will include, but may not be

limited to, the following items:

(A) Applicant information including:

(1) Title of your research project;

(2) Your name, university and home

addresses, university and home

telephone and facsimile numbers, and email address;

(3) Your university’s name,

department, mailing address, telephone

and facsimile numbers.

(4) Your advisor’s name, address,

telephone and facsimile number, and email address;

(5) Your mentor’s name, address,

telephone and facsimile number, and email address;

(6) Evidence of being eligible to apply

because you received your Ph.D. no

earlier than January 1, 1996;

(7) Your graduate and post-graduate

educational background.

(B) A letter from the chair of your

department that you have met all the

eligibility criteria described in Section

III(B).

(C) A letter from the appropriate

official that describes your university’s

support, as described in Section III(E).

(D) A letter from your mentor stating

his/her qualifications to be your mentor,

his/her proposed role in your research

project, and his/her availability to be

your mentor.

(E) A one-page abstract of your

research project.

(F) A narrative of the proposed

research, not to exceed 10 doublespaced typed pages. This narrative must

include the following in the following

order:

(1) Statement of the problem;

(2) Research design and methodology;

(3) Policy relevance of the research;

(4) How the research will add to the

current knowledge base.

(G) A working bibliography of your

proposed project.

(H) An annotated bibliography, e.g., a

two- or three-sentence annotation for

ten to twelve key sources in your

working bibliography.

(I) List of your publications: books,

refereed journal articles, chapters

contributed to books, articles in

published proceedings, and any other

articles.

(J) List of text and poster

presentations made during the last five

years.

(K) A one-page abstract of your

dissertation.

(L) Grants and awards received during

the last five years.

(M) Teaching load during the last five

years.

(N) Two letters of reference.

(O) A proposed budget.

(P) Certifications. These forms must

be signed by the applicant and can be

downloaded from the HUD web site at

www.hud.gov.

(1) HUD–2992, Certification regarding

debarment and suspension pursuant to

24 CFR part 24.

(2) HUD–50071, Disclosure of

lobbying pursuant to 24 CFR part 87.

(3) HUD–50070, Certification of DrugFree Workplace, pursuant to 24 CFR

24.600 et seq.

VI. Environmental Requirements

The provision of assistance under this

program is categorically excluded from

environmental review under the

National Environmental Policy Act of

1969 (42 U.S.C. 4321) and not subject to

compliance under related

environmental authorities under 24 CFR

50.19(b)(1) and (b)(9).

VII. Authority

This program is being undertaken

under HUD’s research authority under

Title V of the Housing and Urban

Development Act of 1970 (Pub.L. 91–

609).

[FR Doc. 01–4310 Filed 2–23–01; 8:45 am]

BILLING CODE 4210–32–P