Notice of Funding Availability for Housing Opportunities for Persons With AIDS

Federal RegisterMay 7, 1997

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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4210-N-01]

Notice of Funding Availability for Housing Opportunities for

Persons With AIDS

AGENCY: Office of the Assistant Secretary for Community Planning and

Development, HUD.

ACTION: Notice of Funding Availability (NOFA).

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SUMMARY: This Notice announces the availability of $19,600,000 in funds

to be allocated by competition for housing assistance and supportive

services under the Housing Opportunities for Persons With AIDS (HOPWA)

program. This NOFA contains information concerning eligible applicants,

the funding available, the categories of assistance, including Special

Projects of National Significance, projects under the HIV Multiple-

Diagnoses Initiative (MDI) and projects in areas that do not receive

HOPWA formula allocations, the availability of funds for national HOPWA

technical assistance, the availability of additional funds for current

MDI grantees for additional evaluation activities, the use of

performance measures, the rating criteria, the application package, its

processing, and the selection of applications.

DEADLINE DATE: Applications for HOPWA assistance are due in HUD

Headquarters by midnight Eastern Time on July 15, 1997.

Before and on the deadline date, and during normal business hours

(up to 6:00 pm) completed applications will be accepted at the

Processing and Control Branch, Room 7251, Office of Community Planning

and Development (CPD) in Washington at the address below.

On the deadline date and after normal business hours (after 6:00

pm), hand-carried applications will be received at the South Lobby of

the Department of Housing and Urban Development at the address below.

HUD will treat as ineligible for consideration delivered applications

that are received after that deadline.

Applications Mailed. Applications will be considered timely filed

if postmarked before midnight on July 15, 1997, and received by HUD

Headquarters within ten (10) days after that date.

Applications Sent by Overnight Delivery. Overnight delivery items

will be considered timely filed if received before or on July 15, 1997,

or upon submission of documentary evidence that they were placed in

transit with the overnight delivery service by no later than July 15,

1997, and received by HUD Headquarters within ten (10) days after that

date.

No facsimile (FAX). Applications may not be sent by FAX.

Copies of Applications to Field Offices. Two copies of the

application must also be sent to the HUD Field Office serving the area

in which the applicant's projects are located or, in the case of a

project that proposes to undertake activities on a national basis, the

area in which the applicant's administering office is located. Field

office copies must be received by the application deadline as well, but

a determination that an application was received on time will be made

solely on receipt of the application at HUD Headquarters in Washington.

All three copies may be used in reviewing the application.

ADDRESSES: For a copy of the application package and supplemental

information please call the Community Connections information center at

1-800-998-9999 (voice) or 1-800-483-2209 (TTY), or by internet at

www.hud.gov/fundopp.html.

The address of the HUD Headquarters is: Processing and Control

Branch, Room 7251, Office of Community Planning and Development (CPD),

Department of Housing and Urban Development, 451 Seventh Street, S.W.,

Washington, D.C. 20410, Attention: HOPWA Funding. A list of the CPD

Directors in the area CPD offices appears at the end of this NOFA.

ELECTRONIC COPY: You may obtain an electronic copy of the HOPWA

application form that may be used in applying under this notice as well

as a copy of this NOFA with attached Frequently Asked Questions (FAQ)

and other information, via HUD's World Wide Web home page at

www.hud.gov/fundopp.html. The electronic copy of the application is

available on HUD's home page in a Portable Document Format (pdf) that

can be used in preparing the standard forms, narrative exhibits and the

budget exhibit for your application. Material from this electronic

version can be used interchangeably with the printed application. The

additional general information on the HUD Home Page provides

descriptions of grants selected in prior HOPWA competitions and

summaries of area consolidated plans, as well as information on other

HUD programs. Instructions on how to access the application and the

files are available at those sites.

Promoting Comprehensive Approaches to Housing and Community Development

HUD is interested in promoting comprehensive, coordinated

approaches to housing and community development. Economic development,

community development, public housing revitalization, homeownership,

assisted housing for special needs populations, supportive services,

and welfare-to-work initiatives can work better if linked at the local

level. Toward this end, the Department in recent years has developed

the Consolidated Planning process designed to help communities

undertake such approaches.

In this spirit, it may be helpful for applicants under this NOFA to

be aware of other related HUD NOFAs that have recently been published

or are expected to be published in the near future. By reviewing these

NOFAs with respect to their program purposes and the eligibility of

applicants and activities, applicants may be able to relate the

activities proposed for funding under this NOFA to the recent and

upcoming NOFAs and to the community's Consolidated Plan.

The list of related NOFAs the Department has published in the

Federal Register in the last few weeks includes:

The Continuum of Care Homeless Assistance NOFA (including the

Supportive Housing Program, the Shelter Plus Care program, and the Sec.

8 Moderate Rehabilitation Single Room Occupancy Programs for Homeless

Individuals), published on April 8, 1997 (62 FR 17024); The Family

Unification NOFA, published on April 18, 1997 (62 FR 19208); The

Designated Housing NOFA, published on April 10, 1997 (62 FR 17672); and

The NOFA for Mainstream Housing Opportunities, published on April 10,

1997 (62 FR 17666).

The related NOFAs that the Department expects to publish in the

next few weeks include the following: The Supportive Housing for the

Elderly NOFA; The Housing for Persons With Disabilities NOFA; and The

Service Coordinator Funds NOFA.

To foster comprehensive, coordinated approaches by communities, the

Department intends for the remainder of FY 1997 to continue to alert

applicants to upcoming and recent NOFAs as each NOFA is published. In

addition, a complete schedule of NOFAs to be published during the

fiscal year and those already published appears under the HUD Homepage

on the Internet, which can be accessed at http://

[[Page 25083]]

www.hud.gov/fundopp.html. Additional steps on NOFA coordination may be

considered for FY 1998.

For help in obtaining a copy of your community's Consolidated Plan,

please contact the community development office of your municipal or

State government.

FOR FURTHER INFORMATION AND TECHNICAL ASSISTANCE CONTACT: A video

presentation providing general background that can be useful in

preparing your application can be obtained for a nominal fee from the

Community Connections information center. The fee may be waived in the

event of financial hardship.

For answers to your questions, you have several options: you may

contact the HUD CPD office that serves your area, at the phone and

address shown in the appendix; you may contact the Community

Connections information center at 1-800-998-9999 (voice); 1-800-483-

2209 (TTY) or by email at [email protected]; or you may contact the

Office of HIV/AIDS Housing at 1-202-708-1934 (voice) or by 1-800-877-

8339 (TTY) at HUD Headquarters.

An appendix also provides frequently asked questions and answers on

the HOPWA competition. Information is also available on the HOPWA

program, including descriptions of the 1996 competitive grants, area

consolidated plans and other related topics on the HUD HOME Page on the

World Wide Web at http://www.hud.gov.

Prior to the application deadline, staff will be available to

provide general guidance, but not guidance in actually preparing the

application. Staff in the HUD CPD office that serves your area also

will be available to help identify organizations in your community that

are involved in developing the area's Consolidated Plan and Continuum

of Care system. Following conditional selection, HUD staff will be

available to assist in clarifying or confirming information that is a

prerequisite to the offer of a grant agreement 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 the application pertinent to the funding

decision.

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act Statement

The information collection requirements for the HOPWA program have

been approved under the Paperwork Reduction Act of 1995 (42 U.S.C.

3501-3520) by the Office of Management and Budget (OMB), and have been

assigned OMB control number 2506-0133 (exp. 5/31/97). 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.

I. Purpose and Substantive Description

(a) Purpose and General Statement

Under selection procedures established in Section II, the funds

available under this NOFA will be used to fund projects for low-income

persons with HIV/AIDS and their families under three categories of

assistance:

(1) Grants for Special Projects of National Significance (SPNS)

which, due to their innovative nature or their potential for

replication, are likely to serve as effective models in addressing the

needs of eligible persons;

(2) Grants for projects under the HIV Multiple-Diagnoses Initiative

(MDI) which establish model and innovative projects that address the

needs of eligible persons who are also homeless and have chronic

alcohol and/or other drug abuse issues and/or serious mental illness;

and

(3) Grants for projects which are part of Long-term Comprehensive

Strategies (Long-term) for providing housing and related services for

eligible persons in areas that are not eligible for HOPWA formula

allocations.

In addition, the Department proposes to select at least one Special

Project of National Significance award to operate a national HOPWA

technical assistance program over three years, as described in

paragraph (g). This notice also provides for a separate selection

process for applications that request additional funds to complete,

modify and/or expand the evaluation of MDI projects that were selected

in the 1996 HOPWA competition. The program requirements for this

separate selection process for current MDI grants are described in

Section I(f)(4) and are provided in Section III, below.

The Department recommends that applicants for HOPWA assistance

under this NOFA emphasize client access to housing and to appropriate

supportive services in designing their programs. In establishing goals

to end the epidemic of HIV and AIDS, President Clinton identified, in

The National AIDS Strategy (issued in December 1996), the national goal

of ensuring that all people living with HIV have access to services,

from health care to housing and supportive services, that are

affordable, of high quality, and responsive to their needs. The

Strategy further recognized that ``without stable housing a person

living with HIV has diminished access to care and services and a

diminished opportunity to live a productive life.'' In addition, the

Department recommends that proposals also emphasize how they will meet

requirements for the accessibility of the housing to be provided to

eligible persons, and applicants may also address the visitability of

units and structures, including integrating universal design features

that provide basic accessibility in entry and mobility throughout

structures and other modifications that respond to the needs of clients

with disabilities.

The Department anticipates selecting projects under each of the

three categories of assistance that will serve as model components of

the community's larger effort to use Federal and other resources to

meet area needs, including the development of a consolidated plan for

these resources and the creation of a continuum of care system to

assist homeless persons. For a community to successfully address its

often complex and interrelated problems, including homelessness and the

risk of homelessness among persons living with HIV/AIDS and their

families, the community must marshal its varied community and economic

development resources, and use them in a coordinated and effective

manner.

The Consolidated Plan serves as the vehicle for a community to

comprehensively identify each of its needs and to coordinate a plan of

action for addressing them. Within the context of the consolidated

plan, communities are also asked to address the needs of persons who

are homeless by creating, improving and/or maintaining the area's

Continuum of Care system.

The Continuum of Care system seeks to achieve two goals: (1)

maximum participation by non-profit providers of housing and services;

homeless and formerly homeless persons; State and local governments and

agencies; veteran service organizations; the private sector; housing

developers; homeless persons with disabilities; foundations and other

community organizations; and (2) creation, maintenance and building

upon the community-wide inventory of housing and services for homeless

families and individuals; identification of the full spectrum of needs

of homeless families and individuals; and coordination of efforts to

obtain resources, particularly resources sought through the

Department's Continuum of Care NOFA to fill gaps between the current

inventory and existing needs.

Under the MDI category, this notice continues for a second year a

HUD initiative to assist homeless persons who are living with HIV/AIDS

who have

[[Page 25084]]

chronic alcohol and/or other drug abuse issues and/or serious mental

illness. The 1996 notice was published on February 28, 1996, at 61 FR

7664. The 1996 initiative responded to recommendations expressed during

the 1995 White House Conference on HIV and AIDS, as well as to

recommendations to HUD by residents and providers of HIV/AIDS housing.

The National AIDS Strategy noted the importance of this 1996 initiative

by HUD and the Department of Health and Human Services (HHS) and stated

that efforts ``to improve integration will be continued and expanded,

with special attention to linking HIV and substance abuse prevention

and services.'' The HIV Multiple-Diagnoses Initiative continues to be a

collaborative effort to establish, evaluate and disseminate information

on model programs to provide the integration of health care and other

supportive services with housing assistance for eligible persons. The

initiative targets assistance to homeless persons who often have

complex needs and for whom service systems are often least developed.

(b) Authority

The assistance which may be made available under this NOFA is

authorized by the AIDS Housing Opportunity Act (42 U.S.C. 12901) and

from the Department's fiscal year 1997 appropriation, the ``Departments

of Veterans Affairs and Housing and Urban Development, and Independent

Agencies Appropriations Act, 1997,'' Pub. L. 104-204, approved

September 26, 1996.

The regulations for HOPWA are found at 24 CFR part 574. The Fiscal

Year 1997 program is governed by the HOPWA Final Rule, published in the

Federal Register on April 11, 1994 (59 FR 17194), 24 CFR Part 574. The

rule was amended by the Consolidated Submissions for Community Planning

and Development Programs, Final Rule, 24 CFR Part 91, published on

January 5, 1995 (60 FR 1878), amended by a Final Rule, General HUD

Program Requirements: Cross-Cutting Requirements, published on February

9, 1996 (61 FR 5198), and further amended by a Final Rule, Regulatory

Reinvention: Streamlining the Housing Opportunities for Persons with

AIDS Program, published on February 29, 1996 (61 FR 7962).

This notice will provide funds under three categories of assistance

for new grants that will be selected under section II:

(1) Grants for Special Projects of National Significance (SPNS)

which, due to their innovative nature or their potential for

replication, are likely to serve as effective models in addressing the

needs of eligible persons, including at least one grant for national

HOPWA technical assistance;

(2) Grants for projects under the HIV Multiple-Diagnoses Initiative

(MDI) which establish model and innovative projects that address the

needs of eligible persons who are also homeless and have chronic

alcohol and/or other drug abuse issues and/or serious mental illness;

and

(3) Grants for projects which are part of Long-term Comprehensive

Strategies (Long-term) for providing housing and related services for

eligible persons in areas that are not eligible for HOPWA formula

allocations in fiscal year 1997.

This notice will also provide funds for current MDI grantees under

section III.

(d) Eligibility

For new grants that will be selected under section II:

(1) States, units of general local government, and nonprofit

organizations may apply for grants for Special Projects of National

Significance and grants under the HIV Multiple-Diagnoses Initiative.

(2) Certain states and units of general local government may apply

for grants for projects under the Long-term category of grants, if the

proposed activities will serve areas that were not eligible to receive

HOPWA formula allocations in fiscal year 1997; an appendix describes

these areas. Nonprofit organizations are not eligible to apply directly

for the Long-term category of grants but may serve as a project sponsor

for an eligible state or local government grantee.

(e) Award Amounts and Performance Benchmarks

(1) Amount of Available Funds

A total of $19,600,000 is being made available by this NOFA. The

Department expects that approximately $9 million will be used under an

initiative to address the needs of multiply-diagnosed homeless persons

who are living with HIV/AIDS and have chronic alcohol and/or other drug

abuse issues and/or serious mental illness. Subject to the

reprogramming procedures required by the 1997 VA-HUD-Independent

Agencies Appropriations Act, P.L. 104-204, section 218, additional

funds may be awarded if funds are recaptured, deobligated, appropriated

or otherwise made available during the fiscal year.

(2) Maximum Grant Amounts

The maximum amount that an applicant may receive is $1,000,000 for

program activities. An applicant may receive up to 3 percent of the

amount that is awarded for program activities for grantee

administrative costs and, if the application involves project sponsors,

up to 7 percent of the amount that is provided to project sponsors for

program activities for the project sponsors' administrative costs. For

example, an applicant might receive up to an additional $100,000 for

administrative costs (potentially up to $30,000 for grantee

administrative costs and up to $70,000 for project sponsors'

administrative costs). Due to statutory limits on administrative costs,

no project sponsor administrative costs are available in cases where

the grantee directly carries out the program activities and that

grantee is limited to using up to 3 percent of the grant amount for

administering the grant. An applicant should note that the costs of

staff that are carrying out the program activities may be included in

those program activity costs and that costs may be prorated between

categories as may be appropriate. A sponsor is only eligible to use up

to 7 percent of the amount that they receive for the sponsor's

administrative costs.

For a MDI applicant only, this notice also makes available up to

$170,000 for program development support to undertake the MDI

evaluation and dissemination component described below in paragraph

(f)(3).

(3) Award Modifications

HUD reserves the right to fund less than the full amount requested

in any application, to make mathematical corrections, to remove funds

designated for an ineligible activity and to modify requests

accordingly. If a request is modified by HUD, the conditionally

selected applicant will be required to modify its project plans and

application to conform to the terms of HUD approval before execution of

a grant agreement. HUD also reserves the right to ensure that a project

that is applying for and eligible for selection under this and other

competitions, including the 1997 Continuum of Care Homeless Assistance

NOFA, is not awarded funds that duplicate activities.

(4) Performance Benchmarks

Funds received under this competition are expected to be expended

within three years following the date of the signing of a grant

agreement. As a condition of the grant, selected projects are expected

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undertake activities based on the following performance benchmarks: (a)

a project that involves the acquisition or leasing of a site is

required to gain site control within one year of their selection, i.e,

one year from the date of the signing of their selection letter by HUD;

(b) if the project is proposing to use HOPWA funds to undertake

rehabilitation or new construction activities, the project is required

to begin the rehabilitation or construction within eighteen months of

their selection and to complete the activity within three years of that

date; and (c) except for a project that involves HOPWA-funded

rehabilitation or construction activities, the project is required to

begin program operations within one year of their selection. If a

selected project does not meet the appropriate performance benchmark,

the Department reserves the right to cancel or withdraw the grant

selection or otherwise deobligate awarded funds. In exercising this

right, the Secretary may waive a termination action in cases that HUD

determines evidence that the delay and failure to meet the performance

benchmark are due to factors that were beyond the control of the

grantee.

(f) HIV Multiple-Diagnoses Initiative

(1) Overview of MDI

This notice implements, for a second year, an initiative to address

the needs of multiply-diagnosed homeless persons who are living with

HIV/AIDS and have chronic alcohol and/or other drug abuse issues and/or

serious mental illness. In 1996, this HUD-HHS initiative began to

address these needs by funding projects for model programs for

multiply-diagnosed clients under the Special Projects of National

Significance components of the HOPWA program administered by HUD and

the Ryan White CARE Act programs administered by HHS. During the 1996

competition, HUD received 78 approvable MDI applications which

requested over $79 million in HOPWA program funds. Based on their

responsiveness to the rating criteria, eight of these applications were

selected by the Department and awarded a total of $8,171,233 under the

MDI category of assistance. Applications that were not selected in

1996, as a result of available funds, constitute an example of the

unmet need in communities throughout the nation in assisting persons

who are homeless and are living with HIV/AIDS who also have chronic

alcohol and/or other drug abuse issues and/or serious mental illness.

The HOPWA assistance announced in this notice may be undertaken in

conjunction with related assistance available under the Ryan White CARE

Act as administered by the Department of Health and Human Services,

programs under the Department of Veterans Affairs, and other Federal,

state and local programs. Projects to be selected under the fiscal year

1997 HOPWA funding will also benefit from guidance or experience on

project successes and lessons learned as well as other information that

will be developed on the fiscal year 1996 MDI grantees through the

efforts of the HHS-funded Evaluation Technical Assistance Center. The

Center is undertaking national and multi-site evaluations and providing

support for project assessment for the MDI projects selected by HUD and

by HHS in 1996.

The Department estimates that approximately $9 million will be used

to address the needs of MDI clients. This expected amount will help

ensure that a sufficient number of applications, estimated to be six to

nine projects, are selected under the initiative in 1997 in order to

provide for the operation and evaluation of a variety of model programs

as well as provide additional resources to the targeted underserved

population. HUD reserves the right to reduce this estimate for the HIV

Multiple-Diagnoses Initiative and reallocate funds to the other

categories of assistance if an insufficient number of approvable

applications are received for this initiative.

(2) Standard MDI Elements

The Department advises applicants that, in proposing activities to

be funded under HOPWA and other sources, the following standard program

elements should be addressed in providing assistance to multiply-

diagnosed homeless persons who are living with HIV/AIDS and have

chronic alcohol and/or other drug abuse issues and/or serious mental

illness. Among those elements are:

Outreach to homeless persons who are living with HIV/AIDS

and have chronic alcohol and/or other drug abuse issues and/or serious

mental illness;

Client needs assessment and monitoring;

Short-term or transitional supportive housing;

Permanent supportive housing;

Health care and other supportive services that address the

needs of eligible homeless persons with chronic alcohol and/or other

drug abuse issues and/or serious mental illness;

Safe haven residences or other housing assistance for

homeless persons with serious mental illness that have minimal initial

demands on residents and do not require participation in services. It

is hoped and anticipated that, in time, safe haven clients will

participate in mental health programs and/or substance abuse programs

and move to or accept short-term, transitional or other supportive

housing;

Participant involvement in decision-making and project

operations;

Participant safety, how activities address required

accessibility to housing units and other structures, transportation

needs and access to community amenities are addressed;

Program evaluation in coordination with a nation-wide

multi-site evaluation; and

Optionally, other innovative features of the project.

The elements may be funded under this initiative or funded in part

under this initiative in connection with efforts supported from other

federal, state, local or private sources, including health-care and

other supportive services funded under the Ryan White CARE Act and

services for veterans under the Department of Veterans Affairs. Given

the limited amount of housing assistance funds available under this

program, HUD encourages applicants to fund supportive services

activities from non-HOPWA sources.

Under this initiative, the targeting of assistance to homeless

persons means that assistance is provided to persons who are sleeping

in emergency shelters (including hotels or motels used as shelter for

homeless families), other facilities for homeless persons, or places

not meant for human habitation, such as cars, parks, sidewalks, or

abandoned buildings. This includes persons who ordinarily live in such

places but are in a hospital or other institution on a short-term basis

(short-term is considered to be 30 consecutive days or less). In

targeting assistance, HUD expects that only an incidental percentage of

clients who are not homeless, as described above, but are at risk of

homelessness will be assisted under this initiative.

An applicant may propose to assist eligible persons in a Safe

Haven, which is a form of assistance designed to provide persons with

serious mental illness who have been living on the streets with a

secure, non-threatening, non-institutional, supportive environment. A

safe haven proposal should: (1) propose to serve hard-to-serve homeless

persons; (2) provide 24 hour residence; (3) provide private or semi-

private accommodations; (4) provide for accessibility, including,

optionally, for the common use of accessible kitchen facilities, dining

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rooms, and bathrooms; and (5) limit overnight occupancy to no more than

25 persons in any one structure. The rating criteria have been modified

for safe haven proposals to ensure that the special characteristics of

safe havens are not considered less competitive than alternative

supportive housing proposals.

(3) MDI Evaluations

A prime feature of any model project that will be selected under

the HIV Multiple-Diagnoses Initiative is the project's active

participation in the national evaluation of project activities and the

dissemination of information to other organizations in order to help

improve the systems of care and continuum-of-care initiatives for the

targeted population in other localities and nationally. The MDI

applicant must establish measurable objectives for their project in

their application and must agree to participate in the process and

outcome evaluation and dissemination component. This notice provides up

to $170,000 in additional funds to MDI applicants that sign the

agreement that is provided in the 1997 application package.

To ensure the highest degree of coordination in a nation-wide

multi-site evaluation of MDI projects that were selected in 1996 by HUD

and by HHS, this notice requires applicants for MDI grants to acquire

the services of the Evaluation Technical Assistance Center (ETAC). This

center was established by HHS in 1996 in collaboration with HUD to

advance knowledge and skills in HIV services delivery to stimulate the

design of innovative models of care by providing technical support and

evaluation of MDI projects selected under the related HUD and HHS

notices. In continuing MDI under this notice, HUD also recognizes the

continued national significance of creating effective evaluation tools

and disseminating information on a national basis on the success or

lessons learned from MDI projects.

As a condition of the MDI grant award, the grantee will use up to

$170,000 in additional program development and evaluation funds to

conduct their local evaluation activities as well as participate in

national evaluation meetings (for up to $90,000 of these funds) and to

acquire ETAC services to evaluate project performance and disseminate

information on project outcomes (for up to $80,000 of these funds). The

Department expects that six semiannual evaluation meetings will be held

with MDI participants over the three year operating period for these

grants.

Although successful MDI applicants will be assigned an ETAC

evaluator after selection, the applicant should consider designing and

proposing activities in their application that anticipate the planned

role of this evaluator. In assisting MDI grantees, the ETAC evaluator

will help: (1) Define research questions that will be addressed and

examined during the project period; (2) Design the full local

evaluation in consultation with the project director and staff; (3)

Develop instruments to assess qualitative and quantitative variables;

(4) Train project staff in the collection of data or collect the data;

(5) Monitor data collection activities to assure that submissions are

complete and accurate, including data coding and entry; (6) Analyze the

data collected; (7) Prepare reports summarizing findings; (8) Maintain

communications with the project director and staff in furtherance of

evaluation activities; (9) Assist in the ETAC 1997 national multi-site

data evaluation effort; and (10) Serve as a liaison to the national

multi-site data evaluation effort underway for MDI grantees that were

selected in 1996.

The program development support and evaluation activities are

eligible HOPWA activities under 24 CFR 574.300(b) (2) and (11) as:

``Resource identification to establish, coordinate and develop housing

assistance resources for eligible persons (including conducting

preliminary research and making expenditures necessary to determine the

feasibility of specific housing-related initiatives''; and ``For

competitive grants only, any other activity proposed by the applicant

and approved by HUD.'' The later paragraph is based on section 855 of

the AIDS Housing Opportunity Act (AHOA) that authorizes grantees

selected by HOPWA competitive funds to carry out other activities that

the Secretary develops in cooperation with eligible States and

localities. The Department has received recommendations that the

program place additional emphasis on technical assistance in the

planning, development and operation of projects as well as greater use

of information obtained through the evaluation of programs. In

addition, as noted by HUD in 1996 in establishing MDI, communities have

requested that additional efforts be made to address the needs of the

MDI target population, multiply-diagnosed homeless persons who are

living with HIV/AIDS who have chronic alcohol and/or other drug abuse

issues and/or serious mental illness. The use of funds for program

evaluation and dissemination of information responds to these

recommendations.

(4) Additional Evaluation Funds for Current MDI Grantees

The Department has decided to set aside part of the amounts

available under this NOFA to promote the evaluation and dissemination

of information among current MDI grantees. Therefore, as provided in

section III, a separate competition within this year's funding will be

undertaken to select applications from current MDI grantees that

propose responsive evaluation and dissemination activities. Under the

funds available in this NOFA, up to $400,000 will be set aside for a

competition among the grantees awarded MDI grants in fiscal year 1996.

It is estimated that the eight grantees that were selected under the

Department's 1996 HIV Multiple-Diagnoses Initiative will apply for and

be selected for up to $50,000 each under this selection to be used in

completing, modifying and/or expanding the planned evaluation of

project performance and dissemination of information on project

outcomes and in acquiring the services of the Evaluation Technical

Assistance Center, as described in paragraph 3. If any funds set aside

for current MDI grantees are not awarded at the time of selection, the

funds will be awarded under Part II for new grants.

The Department recognizes that the eligible applicants under this

paragraph were selected in the first national competition under MDI and

that, except for activities that would be completed, modified and/or

expanded for project evaluation with these 1997 funds, the grantees

will be carrying out activities that were already determined on a

competitive basis to be exemplary and/or innovative in responding to

the needs of the target population. The Department is therefore not

requiring that these potential applicants for 1997 funds resubmit their

1996 application that the Department has already reviewed and selected

for grant award in that prior competition. However, the Department will

require this group of applicants to submit a SF-424, Applicant

certifications, and a letter or other written documentation which

provides a justification based on need for and their plan to use funds

for evaluation activities. As provided in Section III, the Department

will review these 1997 applications based on rating criteria that have

been modified.

(g) National HOPWA Technical Assistance

The Department proposes to select at least one Special Project of

National

[[Page 25087]]

Significance award to operate a national HOPWA technical assistance

program over three years. From the funds to be made available under

this category, HUD reserves up to $1 million to be awarded to the

highest rated application (or applications) that proposes national

HOPWA technical assistance activities.

The Department anticipates that the selected national HOPWA

technical assistance proposal would provide technical assistance and

consultations to improve community-based needs assessments, multiple-

year HIV/AIDS housing planning, facility operations and other

management practices of organizations which provide or plan to provide

housing assistance and/or related supportive services for persons

living with HIV/AIDS and their families. The assistance would also

provide support for HOPWA grantees and project sponsors, including

recipients of HOPWA formula allocations and competitive awards and

designated first-time recipients of formula allocations. The

organizations would receive advice and training on capacity-building

and housing development and operation and the use of the Department's

Consolidated Planning Process, Integrated Disbursement and Information

System, and Grants Management System. The program may also provide

assistance in developing community-based needs assessments and

assistance for State-wide, metropolitan, non-metropolitan and/or rural

areas in development of area multi-year HIV and AIDS housing plans. A

research and information services component of this effort may include

the development of information on HIV/AIDS housing and the performance

of HOPWA grants which will be published for national distribution. This

component should emphasize the collection and dissemination of

information on the ``best practices'' of HUD grantees that should serve

as a basis for peer support, technical assistance, and program

improvement. As part of this technical assistance grant, the grantee

should plan for conducting grantee and sponsor workshops, developing

training materials and sponsoring conferences. HUD employees involved

in the management of the consolidated planning process and development

of Continuum of Care systems may also use materials developed under

this grant.

In proposing to select this award, the Department advises that

other proposals may also propose and be selected to use HOPWA funds for

program development and evaluation activities. HOPWA funds may be used

for these activities at 24 CFR 574.300(b) under these related

categories: technical assistance in establishing and operating a

community residence; resource identification to establish, coordinate

and develop housing assistance resources; housing information services;

and other proposed activities that are accepted by HUD. Applications

that propose these activities will be considered under the appropriate

category of assistance.

In addition, the full scope of technical assistance activities that

may be undertaken are eligible HOPWA activities under section 855 of

AHOA that authorizes grantees selected by HOPWA competitive funds to

carry out other activities that the Secretary develops in cooperation

with eligible States and localities. The Department has received

community recommendations that the program place additional emphasis on

technical assistance in the planning, development and operation of

projects as well as in undertaking the evaluation of performance from

grantees and project sponsors which have been administering HOPWA

formula allocations and/or competitive grants. The use of funds for

national technical assistance responds to these recommendations.

(h) Performance Measures and Measurable Objectives

(1) General Measures

Applicants under all three categories of assistance should

establish general HOPWA-related performance measures in connection with

more specific goals and objectives of their proposed activities. The

measures should reflect area needs assessments, priorities and other

elements of the strategic plan and one-year action plans under the

area's consolidated planning process and area Continuum of Care

systems. In soliciting proposed performance measures, the Department

anticipates that applications to be selected under this competition

will provide examples of best practices in developing and documenting

performance standards and outcomes in programs that assist HOPWA

eligible beneficiaries. The Department also anticipates that

information on these examples will be shared with other entities to

further promote the use of performance standards and program outcome

measures under the HOPWA program.

As general guidance, the applicant's objectives should relate to

two overall goals of the HOPWA program. These general goals are:

maximizing independent living; and maximizing self-determination. In

developing more standard, program-wide performance measures, this

notice recommends that applicants may benefit from using the following

examples of general performance measures:

A. In the area to be served, increase the number of short-term

housing units (or beds) that include access to related supportive

services by an estimated ``xx'' by the end of the program year and that

allow a client to maintain or to access permanent housing at the

completion of the short-term program; for example, a short-term program

that provides drug and/or alcohol abuse treatment and counseling or

mental health services with an outplacement to housing.

B. In the area to be served, increase the number of housing units

(or beds of supportive housing) by an estimated ``xx'' by the end of

the program year; for example, a program designed to offer housing with

access to service components which could assist clients in maintaining

daily living activities through an appropriate range of support.

(2) Measurable Objectives

In addition to performance measures, more responsive programs are

also likely to provide specific measurable objectives or milestones,

i.e. a time sensitive statement of planned accomplishments. For

measurable objectives or milestones, HUD will not consider the level of

expectation described for each objective. An application that sets 85%

for an objective is not necessarily ``better'' than one that sets 25%

as a realistic numerical objective for achievement. Once a program is

operating, the objectives become tools for monitoring the results that

are being accomplished.

(3) Goal: Maximizing Independent Living

This goal refers to assisting persons with HIV/AIDS to avoid, to

the maximum extent possible, institutional living and the expense of

hospitalization by increasing the availability of housing alternatives.

The housing to be provided may offer clients access to related

supportive services that could assist a client in maintaining daily

living activities through an appropriate range of support, including

helping to prevent homelessness by assisting clients maintain their

current residences. Efforts may also address the needs of HOPWA-

eligible clients who are homeless by coordinating assistance with area

Continuum of Care programs that assist persons who are homeless. The

goal recognizes that the economic burdens imposed by diseases related

[[Page 25088]]

HIV and AIDS can lead to homelessness and institutional living if

assistance is not available to help persons with HIV/AIDS remain in

their homes, with homecare as necessary, or move to community

residences offering health care services or more intensive care in a

non-institutional setting. This goal also recognizes that periods of

hospitalization can be unnecessarily prolonged if housing and health

care alternatives are not available.

Consistent with this goal, proposals should be designed to increase

the availability of non-institutional housing alternatives. Because a

single project funded under this notice cannot be expected by itself to

address the range of needed housing alternatives, the proposed

activities should be coordinated with other programs, to the maximum

extent possible, to form networks that can respond to the needs of

persons with HIV/AIDS and their families as those needs change over

time. For example, HOPWA projects should be integrated with area

Continuum of Care plans under the homeless assistance programs, to the

degree that area needs include persons living with HIV/AIDS who are

homeless. Programs should also show coordination with area health-care,

rental assistance and other supportive services that are funded under

the Ryan White CARE Act that is administered by the Department of

Health and Human Services. This is necessary to help achieve a non-

duplicative continuum of care approach to offering assistance to

eligible persons.

Examples of measurable objectives for maximizing independent

living. The following are examples of measurable objectives:

``X'' persons with HIV/AIDS will be receiving rental assistance in the

apartments in which they are currently living, with access to home

health care and homemaker/chore services within ``X'' months.

``X'' units in a community residence providing access to a range of

health care and personal support, including intensive care, as needed,

will become available within

``X'' months through the acquisition and renovation of a small

apartment building.

``X'' persons with HIV/AIDS currently living in emergency shelters will

move within

``X'' months to scattered-site apartments with rental assistance and

access to services.

(4) Goal: Maximizing Self-determination

This goal refers to the opportunities provided to participants to

make informed decisions that affect their lives. Those opportunities

could result from the participant's involvement in developing his or

her individualized plan for housing and related supportive services,

including participant selection of service providers. It could be shown

in the opportunities to select available legal, therapeutic and other

types of personal assistance, as well as educational, employment

assistance, social, and volunteer activities made accessible through

the program. This goal may also be achieved through client

participation in advisory group meetings, such as residential councils,

in efforts to evaluate and improve program procedures, comment on

planned renovations to a community residence, and through other means

of client expression within the program.

Examples of measurable objectives for maximizing self-

determination. The following are examples of measurable objectives:

``X'' percent of participants, who have a need for home health care,

will choose their home health care provider within one month of

entering the program;

``X'' percent of a community resident's clients will attend a weekly

resident advisory meeting that is held at least once a month;

``X'' percent of the residents of the city's group homes for persons

with HIV/AIDS will participate each year in completing a survey that

evaluates the residential program.

(i) Application Certifications

The application under this NOFA also contains certifications that

the applicant will comply, and require any project sponsor to comply,

with fair housing and civil rights requirements, program regulations,

and other Federal requirements. In addition, applications under this

notice are required to file a Certification of Consistency with the

Consolidated Plan from the jurisdiction in the proposed area to be

served. Under 24 CFR Part 91, sections 225 for local governments and

325 for States, the jurisdiction is required to submit a certification

in its annual consolidated plan submission that it will affirmatively

further fair housing, which means that it will conduct an analysis to

identify impediments to fair housing choice within the jurisdiction,

take appropriate actions to overcome the effects of any impediments

identified through that analysis, and maintain records reflecting the

analysis and actions in this regard. The Consolidated Plan

certification is not required for an application that proposes nation-

wide activities. In addition, MDI applicants are required to certify

that they will participate in the MDI evaluation component.

(j) Nondiscrimination, Fair Housing and Accessibility

Projects funded under this NOFA 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) or the Americans with Disabilities Act of 1990

(42 U.S.C. 12101 et. seq.). All HUD-financed and insured new

construction must be in compliance with the Fair Housing Act and

programs must amend their inspection and certification procedures to

provide for these provisions.

The requirements of 24 CFR 574.603 concerning nondiscrimination and

equal oppportunity apply to use of the HOPWA funds. Applicants should

note that, in accordance with paragraph (b) of that regulation, ``[a]

grantee or project sponsor must adopt procedures to ensure that all

persons who qualify for the assistance, regardless of their race,

color, religion, sex, age, national origin, familial status, or

handicap, know of the availability of the HOPWA program, including

facilities and services accessible to persons with a handicap, and

maintain evidence of implementation of the procedures.''

The requirements of 24 CFR part 8, Nondiscrimination based on

handicap in Federally assisted programs and activities of the

Department of Housing and Urban Development, apply to the use of HOPWA

funds. Section 8.1 addresses the purpose of this part ``that no

otherwise qualified individual with handicaps in the United States

shall, solely by reason of his or her handicap, be excluded from the

participation in, be denied the benefits of, or be subjected to

discrimination under any program or activity receiving Federal

financial assistance from the Department * * *'' In addition, the

requirements of 24 CFR part 100, Discriminatory Conduct Under the Fair

Housing Act, apply to the use of HOPWA funds.

The Department recommends that applications for assistance under

this NOFA should emphasize how they will meet requirements for the

accessibility of the housing to be provided to eligible persons. In

addition to these requirements, the Department strongly encourages all

applicants, especially those that use funds for new construction and/or

substantial rehabilitation activities, to develop and/or provide

housing that is visitable by persons with mobility impairments and

[[Page 25089]]

to insure accessibility for persons with disabilities to all aspects of

the program. Under the visitability standard, accessible housing means

that the unit is located on an accessible route (32'' clear passage)

and, when designed, constructed, altered or adapted, can be approached,

entered and used by an individual with physical disabilities.

Visitability involves two specifications: (1) At least one outside

entrance is at grade (no steps or other barrier to a wheelchair), and

(2) all interior and exterior doors provide a 32'' clear passage.

The Department's Office of Policy Development and Research has

issued the following guide which will be useful in designing

appropriate modifications, including integrating universal design

features that provide basic accessibility in entry and mobility

throughout structures and contain other modifications that respond to

the needs of clients with disabilities: Homes for Everyone: Universal

Design Principles in Practice. To obtain this document, applicants

should contact the HUD User information office at 1-800-245-2691 or 1-

800-877-8339 (TTY).

II. Application Selection Process--New Grants

(a) Review and Clarifications

Applications will be reviewed to ensure that they meet the

following:

(1) Applicant eligibility. The applicant and project sponsor(s), if

any, are eligible to apply for the specific program;

(2) Eligible population to be served. The persons proposed to be

served are eligible persons;

(3) Eligible activities. The proposed activities are eligible for

assistance under the program;

(4) Certification of Consistency with Area Consolidated Plans. The

proposed activities that are located in a jurisdiction are consistent

with the jurisdiction's current, approved Consolidated Plan, except

that this certification is not required for projects that propose to

undertake activities on a national basis; and

(5) Other requirements. The applicant is currently in compliance

with the federal requirements contained in 24 CFR part 574, subpart G,

``Other Federal Requirements.''

The Department will use the following standards to assess

compliance with civil rights laws at the threshold review. In making

this assessment, the Department shall review appropriate records

maintained by the Office of Fair Housing and Equal Opportunity, e.g.,

records of monitoring, audit, or compliance review findings, complaint

determinations, compliance agreements, etc. If the review reveals the

existence of any of the following, the application will be rejected:

(A) There is a pending civil rights suit against the sponsor

instituted by the Department of Justice.

(B) There is an outstanding finding of noncompliance with civil

rights statutes, Executive Orders or regulations as a result of formal

administrative proceedings, unless the applicant is operating under a

HUD-approved compliance agreement designed to correct the area of

noncompliance, or is currently negotiating such an agreement with the

Department.

issued under Section 810(g) of the Fair Housing Act, as implemented by

24 CFR 103.400.

(D) There has been an adjudication of a civil rights violation in a

civil action brought against it by a private individual, unless the

applicant is operating in compliance with a court order designed to

correct the area of noncompliance or the applicant has discharged any

responsibility arising from such litigation.

(E) There has been a deferral of the processing of applications

from the sponsor imposed by HUD under Title VI of the Civil Rights Act

of 1964, the Attorney General's Guidelines (28 CFR 1.8) and procedures,

or under Section 504 of the Rehabilitation Act of 1973 and the HUD

Section 504 regulations (24 CFR 8.57).

In accordance with the provisions of 24 CFR part 4, subpart B, HUD

may contact an applicant to seek clarification of an item in the

application, or to request additional or missing information, but the

clarification or the request for additional or missing information

shall not relate to items that would improve the substantive quality of

the application pertinent to the funding decision.

(b) Competition

This national competition will involve the review, rating and

selection of applications under each of the three categories of

assistance, including selection for the national HOPWA technical

assistance funds. To rate applications, the Department may establish a

panel or panels including persons not currently employed by HUD to

obtain certain expertise and outside points of view, including views

from other federal agencies. The separate competition for additional

funds for current MDI grantees is provided below in Section III and

described in Section I(f)(4).

(1) Procedure

Applications will be rated based on the criteria listed below. The

criteria listed in paragraph (2) (A), (B), (C), and (D) are common for

all applications. Paragraphs (3), (4) and (5) are specific for the

category of assistance under which the application is being submitted.

Ratings will be made with a maximum of 100 points awarded. After

rating, these applications will be placed in the rank order of their

final score for selection within the appropriate category of

assistance, except that the proposals for the national HOPWA technical

assistance activities will be placed in the rank order of their final

score for selection under a separate selection list for the purposes of

selecting the highest rated application or applications to be awarded

the amounts reserved for national HOPWA technical assistance activities

and applications that were not selected for the reserved amounts will

be returned to the SPNS category of assistance for consideration under

that selection list.

(2) Common Rating Criteria

Applications under the three categories of grant will be rated on

the following four common criteria for up to 70 points:

(A) Applicant and Project Sponsor capacity (20 points). HUD will

award up to 20 points based on the ability of the applicant and, if

applicable, any project sponsor(s) to develop and operate the 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. With regard to both the applicant and the 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 the application;

and (c) experience and knowledge in monitoring and evaluating program

performance and disseminating information on project outcomes.

As applicable, the rating under this criterion will also consider

prior performance with any HUD-administered programs, timeliness in

implementing HUD-administered programs, including any serious,

outstanding audit or monitoring findings that directly affect the

proposed project.

(B) Need for the project in the area to be served (10 points). HUD

will award up to 10 points based on the extent to which the need for

the project in the area to be served is demonstrated with

[[Page 25090]]

5 of these points to be determined by the relative numbers of AIDS

cases and per capita AIDS incidence, as reported to and confirmed by

the Director of the Centers for Disease Control and Prevention.

After the other rating criteria have been determined for up to 95

points, HUD will award 5 of the points under this criterion for each

category to the highest rated application in each state and to the

highest rated application among the applications that propose nation-

wide activities.

services and other assistance (30 points). HUD will award up to 30

points based on the extent to which a plan for undertaking and managing

the proposed activities is coordinated with a community strategy and is

responsive to the needs of clients.

(i) The award of points for coordination with a community strategy,

for up to 10 of these points, will be based on how the proposal

describes how activities were planned and are proposed to be carried

out with HOPWA funds and other resources in order to provide a

continuum of housing and services to meet the changing needs of

eligible persons, such as the coordination of housing with access to

health-care and other supportive services in area continuum of care

efforts. Within the points available under this criterion, HUD will

award three bonus points for projects that propose to locate activities

within the boundaries of an area that has been designated an

Empowerment Zone, Enterprise Community, Supplemental Empowerment Zone,

or Enhanced Enterprise Community by the Secretary or by the Secretary

of the Department of Agriculture, if priority placement will be given

by the project: to eligible persons whose last known address was within

the designated area; or to eligible persons who are homeless persons

living on the streets or in shelters within the designated area.

Within the points available under this paragraph, HUD will award

three place-based points for an application based on the assessment of

the Secretary's Representative who is serving the area in which the

project will be located. The Secretary's Representative shall consider

prior HUD experience with the applicant and any project sponsor and the

application's description of the applicant's and any project sponsor's

participation in the development, operation or assessment of a State or

local government strategy to address the housing and related health

care or other supportive service needs of eligible persons in the area

to be served. The views may include but are not limited to whether the

entities evidence sufficient experience and/or ability to carry out the

proposed activities in coordination with other related resources and

that the proposed activities are consistent with and/or complement

other related initiatives in the area to be served.

(ii) The award of points for responsiveness to the needs of

clients, for up to 20 of these points, will be based on how the

proposal:

(a) Describes and responds to the need for housing and related

supportive services of eligible persons in the community; or, in

relation to technical assistance activities proposed in the

application, describes and responds to the technical assistance needs

of programs which provide housing and related supportive services for

eligible persons;

(b) Describes how activities will offer a personalized response to

the needs of clients which maximizes opportunities for independent

living, including accessibility of housing units and other structures,

and in the case of a family, accommodates the needs of families;

provided to participants;

(d) In relation to technical assistance activities proposed in the

application, provides technical assistance related to the development

and operation of programs and the capacity of organizations to

undertake and manage assistance for eligible persons;

(e) In relation to a safe haven, describes how the activities that

will be carried out with HOPWA funds and other resources provide for

the stabilization of clients, provide basic services in the safe haven,

and provide coordination with other assistance; under this activity,

HUD will consider how the safe haven proposal proposes to offer housing

assistance for homeless persons with serious mental illness through a

program that places minimal initial demands on residents and does not

require participation in services but that also anticipates that safe

haven residents, in time, will participate in mental health programs

and/or substance abuse programs and move to or accept transitional or

other supportive housing;

(f) In accordance with 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 also

consider the extent to which the proposal for the use of HOPWA funds

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

consider up to 2 points of the points available under this criterion

based on this consideration.

(D) Extent of leveraged public and private resources for the

project (10 points). HUD will award up to 10 points based on the extent

to which resources from other public or private sources have been

committed to support the project at the time of application. 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 the grant.

(3) Additional Criterion for Special Projects of National Significance

(30 points)

Applications for projects for this category of assistance will be

rated on the innovative nature of the proposal and its potential for

replication, including the use of performance measures and the

evaluation of activities. HUD will award up to 30 points based on the

extent to which the applicant demonstrates that:

(A) The project involves a new program for, or alternative method

of, meeting the needs of eligible persons, when compared to other

applications and projects funded in the past. The Department will

consider the extent to which the project design, management plan,

proposed effects, local planning and coordination of housing programs,

and proposed activities are exemplary and appropriate as a model for

replication in similar localities or nationally, when compared to other

applications and projects funded in the past.

Within the points available under this criterion, HUD may award up

to five bonus points for projects that propose to continue the

operations of HOPWA funded activities that have been supported by HOPWA

competitive funds in prior years and that have operated with reasonable

success. An applicant has operated with reasonable success if it

evidences that previous HOPWA-funded activities have been

[[Page 25091]]

carried out and funds have been used in a timely manner, that

benchmarks, if any, in program development and operation have been met,

and that the number of persons assisted is comparable to the number

that was planned at the time of application. The Department recognizes

that the clients which benefit under these projects may have only

limited access to other HOPWA funds, except as provided through this

national competition; and

(B) The project establishes performance measures, provides for the

evaluation of activities based on those performance measures, and

provides for the dissemination of information on the success of the

proposed activities in assisting eligible persons and/or in

establishing or operating systems of care for eligible persons.

(4) Additional Criterion for Projects under the HIV Multiple-Diagnoses

Initiative (30 points)

Applications for Projects under this category of assistance will be

rated on:

(A) Innovative nature of the proposal and its potential for

replication. HUD will award up to 25 points based on the extent to

which the project involves a new program for, or alternative method of,

meeting the needs of the targeted population of eligible persons, when

compared to other applications and projects funded in the past. The

Department will consider the extent to which the project design,

management plan, proposed effects, local planning and coordination of

housing programs, and the likelihood that activities will benefit the

targeted population of eligible persons and proposed activities are

exemplary and appropriate as a model for replication in similar

localities or nationally, when compared to other applications and

projects funded in the past.

Within the points available under this criterion, HUD may award up

to five bonus points for projects that propose to continue the

operations of HOPWA funded activities that have been supported by HOPWA

competitive funds in prior years and that have operated with reasonable

success. An applicant has operated with reasonable success if it

evidences that previous HOPWA-funded activities have been carried out

and funds have been used in a timely manner, that benchmarks, if any,

in program development and operation have been met, and that the number

of persons assisted is comparable to the number that was planned at the

time of application. The Department recognizes that the clients which

benefit under these projects may have only limited access to other

HOPWA funds, except as provided through this national competition; and

(B) Performance measures and national MDI evaluation. HUD will

award up to 5 points to an applicant that establishes performance

measures and agrees to fully participate in the national MDI evaluation

component.

(5) Additional Criterion for Projects Which are Part of Long-Term

Comprehensive Strategies for Providing Housing and Related Services (30

points).

Applications for projects for this category of assistance will be

rated on the extent of local planning and coordination of housing

programs, including the use of performance measures and the evaluation

of activities. HUD will award up to 30 points based on the extent to

which the applicant demonstrates:

(A) The proposed project is part of a community strategy involving

local, metropolitan or state-wide planning and coordination of housing

programs designed to meet the changing needs of low-income persons with

HIV/AIDS and their families, including programs providing housing

assistance and related services that are operated by federal, state,

local, private and other entities serving eligible persons.

Within the points available under this criterion, HUD may award up

to five bonus points for projects that propose to continue the

operations of HOPWA funded activities that have been supported by HOPWA

formula or competitive funds in prior years and that have operated with

reasonable success. An applicant has operated with reasonable success

if it evidences that previous HOPWA-funded activities have been carried

out and funds have been used in a timely manner, that benchmarks, if

any, in program development and operation have been met, and that the

number of persons assisted is comparable to the number that was planned

at the time of application. The Department recognizes that the areas

which benefit under this category of assistance currently have no other

access to HOPWA funds except as provided through this national

competition; and

(B) Establishes performance measures, provides for the evaluation

of activities based on those performance measures, and provides for the

dissemination of information on the success of the proposed activities

in assisting eligible persons and/or in establishing or operating

systems of care for eligible persons.

(d) Selection of Awards

Whether an application is conditionally selected will depend on its

overall ranking compared to other applications within each of the three

categories of assistance, and for an application that proposes national

HOPWA technical assistance, with any other applications that propose

similar activities. The Department will select applications to the

extent that funds are available. In allocating amounts to the

categories of assistance, HUD reserves the right to ensure that a

minimum number of applications under each category of assistance are

among the conditionally selected applications. HUD reserves the right

to fund less than the full amount requested in any application and to

make mathematical corrections.

HUD reserves the right to achieve greater geographic diversity

(i.e. resulting in funding activities within a variety of states) by

selecting a lower rated application. In selecting a lower rated

application in order to achieve greater geographic diversity under this

paragraph, 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; and, if not greater

geographic diversity is achievable, by subsequently designating as the

higher rated proposal, that proposal which was scored higher on a

rating criterion, taken in the following order until the tie is broken:

the category specific criterion under Section II (c) paragraphs (3),

(4), or (5); the appropriateness of program activities; the applicant

and project sponsor capacity criterion; the need for the project

criterion; and the extent of leveraged resources criterion.

In the event of a procedural error that, when corrected, would

result in selection of an otherwise eligible application during the

funding round under this NOFA, HUD may select that application when

sufficient funds become available.

HUD will notify conditionally selected applicants in writing. Such

applicants will subsequently be notified of any modification made by

HUD, the additional project information necessary for grant award and

the date of deadline for submission of such information. In the event

that a conditionally-selected applicant is unable to meet any

conditions for fund award within the specified timeframe or funds are

deobligated under a grant awarded under this competition, HUD reserves

[[Page 25092]]

the right not to award funds to the applicant, but instead to: 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 or in a prior year competition; or to add amounts to

funds available for the next competition.

III. Application Selection Process--Current MDI Grants

(a) General Requirements

All requirements of this NOFA apply also to this selection, except

as otherwise noted herein. The amounts available under this section are

provided in addition to and are not subject to the limitation in

paragraph I(c)(2) on the amount that the applicant may otherwise

qualify for under the selection process for new grants.

(b) Eligible Applicants

An eligible applicant under this selection is an entity that was

selected for a MDI award under the 1996 HOPWA competition. The 1996

NOFA was published in the Federal Register on February 28, 1996 (61 FR

7664) and the notice of funding awards was published on October 23,

1996 (61 FR 55009). In regard to determining eligibility, the review

process contained in Section II has been reduced. Based on the

information provided in the application under paragraph (e), HUD will

determine if an applicant is eligible. Since the eligible applicants

are limited to current recipients of HOPWA MDI grants, the Department

will not otherwise require applicants to duplicate their submission of

documentation to determine the applicant's eligibility, that an

eligible population is to be served, that eligible activities will be

undertaken and that the applicant is in conformance with other

requirements. The Department is satisfied that the review that was

undertaken for these entities in the 1996 MDI competition, for which

these entities were determined to be eligible, is sufficient for the

award of these additional funds.

As described in paragraph I(f)(5), a current MDI grantee may also

apply for up to $50,000 in additional funds to be used in modifying and

expanding the planned evaluation of project performance and

dissemination of information on project outcomes and in acquiring the

services of the Evaluation Technical Assistance Center. Applicants

under this section are not required to establish additional performance

measures.

(d) Rating Factors

The rating factors contained in Section II have been modified and

the leveraging criterion was eliminated. Applications for funds under

this section from current MDI grantees will be rated, with a maximum of

100 points awarded, on the following:

(1) Applicant and Project Sponsor capacity (25 points). HUD will

award up to 25 points based on the ability of the applicant and, if

applicable, any project sponsor(s) to develop and operate their current

MDI project and to undertake the proposed additional evaluation

activities. HUD will consider their prior performance on the 1996 MDI

project.

(2) Need for the project in the area to be served (5 points). HUD

will award up to 5 points based on the extent to which the need for the

project in the area to be served is demonstrated by the relative

numbers of AIDS cases and per capita AIDS incidence, as reported to and

confirmed by the Director of the Centers for Disease Control and

Prevention.

(3) Appropriateness of program activities (25 points). HUD will

award up to 25 points based on the extent to which a plan for

undertaking and managing the proposed activities describes and responds

to the need for additional support to complete, modify and/or expand

evaluation activities in regard to a MDI program that provides housing

and related supportive services for eligible persons;

(4) Additional Criterion for Special Projects of National

Significance--HIV Multiple-Diagnoses Initiative (45 points).

(A) HUD will award up to 5 points for the innovative nature of the

proposal and its potential for replication, based on the extent to

which the project involves a new or alternative method for carrying out

evaluation activities and the extent to which the proposed evaluation

activities, the relationship of these activities to related local

planning and coordination of housing programs for eligible persons, are

exemplary or appropriate as a model for replication in similar

localities or nationally; and

(B) HUD will award up to 40 points for evaluation and

dissemination, based on the extent to which the applicant describes an

evaluation and dissemination plan that includes an assessment of the

assistance provided to clients, based on HUD's assessment of the extent

to which the plan will ensure that activities are undertaken in a

timely manner and that funds are expended within the planned use

period.

(e) Applications

The application requirements have been modified. An eligible

applicant under this section is not required to resubmit their 1996

application or to submit their 1997 application based on the form that

is made available for applicants under section II, except as noted

below in using the SF-424 and the HOPWA Applicant Certifications (see

item B of Statutory Certifications). An applicant under this section is

required to submit each of the following items:

(a) a signed SF-424;

(b) a signed HOPWA Applicant Certifications; and

that requests an amount (up to $50,000) and describes the applicant's

need for and plan to use additional funds to complete, modify and/or

expand the planned program development and evaluation efforts under its

1996 award.

(f) Selection Process

The selection process contained in Section II has been modified. An

applicant that meets the review criteria in section (b), must have a

rating score of at least 50 points in order to be funded. Applicants

will not be ranked for this selection. There is sufficient funding for

all eligible applications under this section.

IV. Other Matters

Environmental Impact

This NOFA provides funding under, and does not alter the

environmental requirements of, regulations in 24 CFR part 574.

Accordingly, under 24 CFR 50.19(c)(5), this NOFA is categorically

excluded from environmental review under the National Environmental

Policy Act of 1969 (42 U.S.C. 4321). Activities under this NOFA are

subject to the environmental review provisions set out at 24 CFR

574.450.

Federalism Impact

The General Counsel, as the Designated Official under section 6(a)

of Executive Order 12612, Federalism, has determined that the policies

contained in this Notice will not have substantial direct effects on

states or their political subdivisions, or the relationship between the

federal government and the states, or on the distribution of power and

responsibilities among the various levels of government. As a result,

the Notice is not subject to review under the Order. The Notice

announces the availability of funds and invites applications from

eligible applicants for the HOPWA program.

[[Page 25093]]

Accountability in the Provision of HUD Assistance

HUD's regulation implementing section 102 of the Department of

Housing and Urban Development Reform Act of 1989, found at 24 CFR part

12, contains a number of provisions designed to ensure greater

accountability and integrity in the provision of certain types of

assistance administered by HUD. Additional information on the

implementation of section 102 was published on January 16, 1992 at 57

FR 1942. The documentation, public access, and disclosure requirements

of section 102 apply to assistance awarded under this NOFA as follows:

HUD will ensure documentation and other information regarding each

application submitted pursuant to this NOFA are sufficient to indicate

the basis upon which assistance was provided or denied. This material,

including any letters of support, will be made available for public

inspection for a five-year period beginning not less than 30 days after

the award of the assistance. Material will be made available in

accordance with the Freedom of Information Act (5 U.S.C. 552) and HUD's

implementing regulations at 24 CFR part 15. In addition, HUD will

publish notice of awards made in response to this NOFA in the Federal

HUD will make available to the public for five years all applicant

disclosure reports (HUD Form 2880) submitted in connection with this

NOFA. Update reports (also Form 2880) will be made available along with

the applicant disclosure reports, but in no case for a period less than

three years. All reports--both applicant disclosures and updates--will

be made available in accordance with the Freedom of Information Act (5

U.S.C. 552) and HUD's implementing regulations at 24 CFR part 15. (See

subpart C, and the notice published in the Federal Register on January

16, 1992 (57 FR 1942), for further information on these disclosure

requirements.)

Prohibition on Advance Release of Funding Information

HUD's regulation implementing section 103 of the Department of

Housing and Urban Development Reform Act of 1989, found at 24 CFR part

4, applies to the funding competition announced today. The requirements

of that rule 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 part 4 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 who have questions should contact the HUD Ethics Law

Division (202) 708-3815 (this is not a toll-free number). A

telecommuni- cations device for hearing-and speech-impaired persons

(TTY) is available at 1-800-877-8339 (Federal Information Relay

Service). The Ethics Law Division can provide information of a general

nature to HUD employees, as well. However, a HUD employee who has

specific program questions, such as whether particular subject matter

can be discussed with persons outside the Department, should contact

his or her Field Office Counsel, or Headquarters Counsel for the

program to which the question pertains.

Prohibition Against Lobbying Activities

The use of funds awarded under this NOFA is subject to the

disclosure requirements and prohibitions of section 319 of the

Department of Interior and Related Agencies Appropriations Act for

Fiscal Year 1990 (31 U.S.C. 1352) (The ``Byrd Amendment'') and the

implementing regulations at 24 CFR part 87. These authorities prohibit

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. The prohibition also covers the awarding of contracts,

grants, cooperative agreements, or loans unless the recipient has made

an acceptable certification regarding lobbying. Under 24 CFR part 87,

applicants, recipients, and subrecipients of assistance exceeding

$100,000 must certify that no federal funds have been or will be spent

on lobbying activities in connection with the assistance. A standard

disclosure form, SF-LLL, ``Disclosure Form to Report Lobbying,'' must

be used to disclose lobbying with other than federally appropriated

funds at the time of application.

Drug-Free Workplace Certification

In accordance with 24 CFR 24.630, an applicant must submit its

Certification for a Drug-Free Workplace (Form HUD-50070).

Dated: May 1, 1997.

Jacquie Lawing,

General Deputy Assistant Secretary for Community Planning and

Development.

Appendix A.--List of HUD Area CPD Offices (as of 2-20-97)

In addition to filing the original application with HUD

Headquarters, as described in the NOFA, applicants are required to

submit two (2) copies of the application to the HUD CPD office

serving the area in which the applicant's project is located;

applicants proposing nation-wide activities should file the two (2)

copies with the original application to HUD Headquarters. This

appendix provides a list of the CPD Directors in those area CPD

offices.

Telephone numbers for Telecommunications Devices for the Deaf

(TTY machines) are listed for CPD Directors in HUD Field Offices;

all HUD numbers, including those noted *, may be reached via TTY by

dialing the Federal Information Relay Service on 1-800-877-TDDY or

(1-800-877-8339).

Alabama

William H. Dirl, Beacon Ridge Tower, 600 Beacon Pkwy. West,

Suite 300, Birmingham, AL 35209-3144; (205) 290-7645; TTY (205) 290-

7624.

Alaska

Colleen Bickford, 949 E. 36th Avenue, Suite 401, Anchorage, AK

99508-4399; (907) 271-4684; TTY (907) 271-4328.

Arizona

Martin H. Mitchell, Two Arizona Center, Suite 1600, 400 N. 5th

St., Phoenix, AZ 85004; (602) 379-4754; TTY (602) 379-4461.

Arkansas

Billy M. Parsley, TCBY Tower, 425 West Capitol Ave., Suite 900,

Little Rock, AR 72201-3488; (501) 324-6375; TTY (501) 324-5931.

California

(Southern) Herbert L. Roberts, 611 West Sixth St., Suite 800,

Los Angeles, CA 90017-3127; (213) 894-8026; TTY (213) 894-8133.

(Northern) Steve Sachs, 450 Golden Gate Ave., P.O. Box 36003,

San Francisco, CA 94102-3448; (415) 436-6597; TTY (415) 436-6594.

Colorado

Guadalupe M. Herrera, First Interstate Tower North, 633 17th

St., Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.

Connecticut

Mary Ellen Morgan, 330 Main St., Hartford, CT 06106-1866; (860)

240-4508; TTY (860) 240-4665.

Delaware

Joyce Gaskins, Wanamaker Bldg., 100 Penn Square East,

Philadelphia, PA 19107; (215) 656-0624; TTY (215) 656-3452.

District of Columbia (and MD and VA suburbs)

James H. McDaniel, 820 First St., NE, Washington, DC 20002;

(202) 275-0994; TTY (202) 275-0772.

Florida

(Northern) James N. Nichol, 301 West Bay St., Suite 2200,

Jacksonville, FL 32202-

[[Page 25094]]

5121; (904) 232-3587; TTY (904) 232-1241.

(Miami-So. Dade) Angelo Castillo, Gables Tower 1, 1320 South

Dixie Hwy., Coral Gables, FL 33146-2911; (305) 662-4570; TTY (305)

662-4511.

Georgia

John L. Perry, Russell Fed. Bldg., Room 270, 75 Spring St., SW,

Atlanta, GA 30303-3388; (404) 331-5139; TTY (404) 730-2654.

Hawaii (and Pacific)

Patty A. Nicholas, 7 Waterfront Plaza, Suite 500, 500 Ala Moana

Blvd., Honolulu, HI 96813-4918; (808) 522-8180 x264; TTY (808) 522-

8193.

Idaho

John G. Bonham, 400 S.W. Sixth Ave., Suite 700, Portland, OR

97204-1632 (503) 326-7012; TTY * via 1-800-877-8339.

Illinois

James Barnes, 77 W. Jackson Blvd., Chicago, IL 60604-3507; (312)

353-1696; TTY (312) 353-5944.

Indiana

Robert F. Poffenberger, 151 N. Delaware St., Indianapolis, IN

46204-2526; (317) 226-5169; TTY * via 1-800-877-8339.

Iowa

Gregory A. Bevirt, Executive Tower Centre, 10909 Mill Valley

Road, Omaha, NE 68154-3955; (402) 492-3144; TTY (402) 492-3183.

Kansas

William Rotert, Gateway Towers 2, 400 State Ave., Kansas City,

KS 66101-2406; (913) 551-5485; TTY (913) 551-6972.

Kentucky

Ben Cook, P.O. Box 1044, 601 W. Broadway, Louisville, KY 40201-

1044; (502) 582-6141; TTY 1-800-648-6056.

Louisiana

Gregory J. Hamilton, 501 Magazine St., New Orleans, LA 70130;

(504) 589-7212; TTY (504) 589-7237.

Maine

David Lafond, Norris Cotton Fed. Bldg., 275 Chestnut St.,

Manchester, NH 03101-2487; (603) 666-7640; TTY (603) 666-7518.

Maryland

Joseph J. O'Connor, Acting Director, 10 South Howard Street, 5th

Floor, Baltimore, MD 21202-0000; (410) 962-2520 x3071; TTY (410)

962-0106.

Massachusetts

Robert L. Paquin, Thomas P. O'Neill, Jr., Fed. Bldg., 10

Causeway St., Boston, MA 02222-1092; (617) 565-5342; TTY (617) 565-

5453.

Michigan

Richard Paul, Patrick McNamara Bldg., 477 Michigan Ave.,

Detroit, MI 48226-2592; (313) 226-4343; TTY * via 1-800-877-8339.

Minnesota

Shawn Huckleby, 220 2nd St. South, Minneapolis, MN 55401-2195;

(612) 370-3019; TTY (612) 370-3185.

Mississippi

Jeanie E. Smith, Dr. A. H. McCoy Fed. Bldg., 100 W. Capitol St.,

Room 910, Jackson, MS 39269-1096; (601) 965-4765; TTY (601) 965-

4171.

Missouri

(Eastern) James A. Cunningham, 1222 Spruce St., St. Louis, MO

63103-2836; (314) 539-6524; TTY (314) 539-6331.

(Western) William Rotert, Gateway Towers 2, 400 State Ave.,

Kansas City, KS 66101-2406; (913) 551-5485; TTY (913) 551-6972.

Montana

Guadalupe Herrera, First Interstate Tower North, 633 17th St.,

Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.

Nebraska

Gregory A. Bevirt, Executive Tower Centre, 10909 Mill Valley

Road, Omaha, NE 68154-3955; (402) 492-3144; TTY (402) 492-3183.

Nevada

(Las Vegas, Clark Cnty) Martin H. Mitchell, Two Arizona Center,

Suite 1600, 400 N. 5th St., Phoenix, AZ 85004; (602) 379-4754; TTY

(602) 379-4461.

(Remainder of State) Steve Sachs, 450 Golden Gate Ave., P.O. Box

36003, San Francisco, CA 94102-3448; (415) 436-6597; TTY (415) 436-

6594.

New Hampshire

David J. Lafond, Norris Cotton Fed. Bldg., 275 Chestnut St.,

Manchester, NH 03101-2487; (603) 666-7640; TTY (603) 666-7518.

New Jersey

Kathleen Naymola, Acting Director, 1 Newark Center, Newark, NJ

07102; (201) 622-7900x3300; TTY (201) 645-3298.

New Mexico

Frank Padilla, 625 Truman St. N.E., Albuquerque, NM 87110-6472;

(505) 262-6463; TTY (505) 262-6463.

New York

(Upstate) Michael F. Merrill, Lafayette Ct., 465 Main St.,

Buffalo, NY 14203-1780; (716) 551-5768; TTY * via 1-800-877-8339.

(Downstate) Joseph D'Agosta, 26 Federal Plaza, New York, NY

10278-0068; (212) 264-0771; TTY (212) 264-0927.

North Carolina

Charles T. Ferebee, Koger Building, 2306 West Meadowview Road,

Greensboro, NC 27407; (910) 547-4006; TTY (910) 547-4055.

North Dakota

Guadalupe Herrera, First Interstate Tower North, 633 17th St.,

Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.

Ohio

John E. Riordan, 200 North High St., Columbus, OH 43215-2499;

(614) 469-6743; TTY (614) 469-6694.

Oklahoma

David H. Long, 500 West Main Place, Suite 400, Oklahoma City, OK

73102; (405) 553-7569; TTY * via 1-800-877-8339.

Oregon *

John G. Bonham, 400 S.W. Sixth Ave., Suite 700, Portland, OR

97204-1632 (503) 326-7012; TTY * via 1-800-877-8339.

Pennsylvania

(Western) Bruce Crawford, 339 Sixth Ave., Pittsburgh, PA 15222-

2515; (412) 644-5493; TTY (412) 644-5747.

(Eastern) Joyce Gaskins, Wanamaker Bldg., 100 Penn Square East,

Philadelphia, PA 19107; (215) 656-0624; TTY (215) 656-3452.

Puerto Rico (and Caribbean)

Carmen R. Cabrera, 159 Carlos Chardon Ave., San Juan, PR 00918-

1804; (787) 766-5576; TTY (787) 766-5909.

Rhode Island

Robert L. Paquin, Thomas P. O'Neill, Jr., Fed. Bldg., 10

Causeway St., Boston, MA 02222-1092; (617) 565-5342; TTY (617) 565-

5453.

South Carolina

Louis E. Bradley, Fed. Bldg., 1835 Assembly St., Columbia, SC

29201; (803) 765-5564; TTY (803) 253-3071.

South Dakota

Guadalupe Herrera, First Interstate Tower North, 633 17th St.,

Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.

Tennessee

Virginia E. Peck, John J. Duncan Federal Bldg., Third Floor, 710

Locust St. S.W., Knoxville, TN 37902-2526; (423) 545-4391; TTY (423)

545-4559.

Texas

(Northern) Katie Worsham, 1600 Throckmorton, P.O. Box 2905, Fort

Worth, TX 76113-2905; (817) 978-9016; TTY (817) 978-9274.

(Southern) John T. Maldonado, Washington Sq., 800 Dolorosa, San

Antonio, TX 78207-4563; (210) 472-6820; TTY (210) 472-6885.

Utah

Guadalupe Herrera, First Interstate Tower North, 633 17th St.,

Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.

Vermont

David J. Lafond, Norris Cotton Fed. Bldg., 275 Chestnut St.,

Manchester, NH 03101-2487; (603) 666-7640; TTY (603) 666-7518.

Virginia

Joseph K. Aversano, 3600 W. Broad St., Richmond, VA 23230-4920;

(804) 278-4503; TTY (804) 278-4501.

Washington *

John W. Peters, Federal Office Bldg., 909 First Ave., Suite 200,

Seattle, WA 98104-1000; (206) 220-5150; TTY (206) 220-5185.

West Virginia

Bruce Crawford, 339 Sixth Ave., Pittsburgh, PA 15222-2515; (412)

644-5493; TTY (412) 644-5747.

Wisconsin

Lana J. Vacha, Henry Reuss Fed. Plaza, 310 W. Wisconsin Ave.,

Ste. 1380, Milwaukee, WI 53203-2289; (414) 297-3113; TTY * via 1-

800-877-8339.

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

* The following areas in Washington State are served by the

Oregon CPD office: Clark, Klickitat and Shamania Counties.

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

Wyoming

Guadalupe Herrera, First Interstate Tower North, 633 17th St.,

Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.

Appendix B. Areas Eligible To Receive HOPWA 1997 Formula Allocations

and not Eligible for Long-Term Projects

The following are the areas that are eligible to receive HOPWA

formula allocations in FY

[[Page 25095]]

1997. State or local governments located in or serving eligible

persons in these areas are only eligible to apply for grants for

Special Projects of National Significance under the HOPWA 1997

competition. The Long-term category of assistance, grants for

projects that are part of long-term comprehensive strategies for

providing housing and related services, is reserved by statute for

areas that are not eligible to receive HOPWA formula awards, i.e.

any area outside of the list below.

1. 1997 formula allocations are available for all areas in the

States of:

Alabama

Arkansas

California

Connecticut

Delaware

District of Columbia

Florida

Georgia

Hawaii

Illinois

Indiana

Kentucky

Louisiana

Massachusetts

Michigan

Mississippi

New Jersey

New York

North Carolina

Ohio

Oklahoma

Pennsylvania

Puerto Rico

South Carolina

Tennessee

Texas

Washington State

Wisconsin.

2. 1997 formula allocations are available for all areas in the

following metropolitan areas in the States of Arizona, Colorado,

Kansas, Maryland, Minnesota, Missouri, Nevada, New Hampshire, Oregon,

Virginia and West Virginia:

1120 Boston MA-NH PMSA (part)

Rockingham County, NH (part):

Seabrook town, NH

South Hampton town, NH

0720 Baltimore, MD PMSA

Anne Arundel County, MD

Baltimore County, MD

Carroll County, MD

Harford County, MD

Howard County, MD

Queen Anne's County, MD

Baltimore City, MD

6760 Richmond-Petersberg, VA MSA

Charles City County, VA

Chesterfield County, VA

Dinwiddie County, VA

Goochland County, VA

Hanover County, VA

Henrico County, VA

New Kent County, VA

Powhatan County, VA

Prince George County, VA

Colonial Heights city, VA

Hopewell city, VA

Petersberg city, VA

Richmond city, VA

8840 Washington, DC-MD-VA-WV PMSA

Calvert County, MD

Charles County, MD

Frederick County, MD

Montgomery County, MD

Prince George County, VA

Arlington County, VA

Clarke County, VA

Culpeper County, VA

Fairfax County, VA

Fauquier County, VA

King George County, VA

Loudoun County, VA

Prince William County, VA

Spotsylvania County, VA

Stafford County, VA

Warren County, VA

Alexandria City, VA

Fairfax City, VA

Falls Church City, VA

Fredericksburg City, VA

Manassas City, VA

Manassas Park City, VA

Berkeley County, WV

Jefferson County, WV

5720 Norfolk-Virginia Beach-Newport News, VA-NC MSA

Gloucester County, VA

Isle of Wight County, VA

James City County, VA

Mathews County, VA

York County, VA

Chesapeake city, VA

Hampton city, VA

Newport News city, VA

Norfolk city, VA

Poquoson city, VA

Portsmouth city, VA

Suffolk city, VA

Virginia Beach city, VA

Williamsburg city, VA

5120 Minneapolis-St. Paul, MN-WI MSA (part)

Anoka County, MN

Carver County, MN

Chisago County, MN

Dakota County, MN

Hennepin County, MN

Isanti County, MN

Ramsey County, MN

Scott County, MN

Sherburne County, MN

Washington County, MN

Wright County, MN

3760 Kansas City, MO-KS MSA (part)

Cass County, MO

Clay County, MO

Clinton County, MO

Jackson County, MO

Lafayette County, MO

Platte County, MO

Ray County, MO

Johnson County, KS

Leavenworth County, KS

Miami County, KS

Wyandotte County, KS

7040 St. Louis, MO-IL MSA (part)

Crawford County, MO (part): Sullivan City, MO

Franklin County, MO

Jefferson County, MO

Lincoln County, MO

St. Charles County, MO

St. Louis County, MO

Warren County, MO

St. Louis City, MO

2080 Denver, CO PMSA

Adams County, CO

Arapahoe County, CO

Denver County, CO

Douglas County, CO

Jefferson County, CO

6200 Phoenix-Mesa, AZ MSA

Maricopa County, AZ

Pinal County, AZ

4120 Las Vegas, NV-AZ MSA

Clark County, NV

Nye County, NV

Mohave County, AZ

6440 Portland-Vancouver, OR-WA PMSA (part)

Clackamas County, OR

Columbia County, OR

Multnomah County, OR

Washington County, OR

Yamhill County, OR

Appendix C.--Frequently Asked Questions (FAQ) on the 1997 HOPWA

Competition

1. How do you define ``Special Projects of National

Significance?''

Grants for Special Projects of National Significance (SPNS) and

grants under the HIV Multiple-Diagnoses Initiative (MDI) component,

will be made for proposals that demonstrate qualities that are

innovative, exemplary and appropriate as a model to be replicated in

other similar localities. Such qualities may be demonstrated in any

of the eligible activities, such as housing assistance, supportive

services, technical assistance, and others and may involve, for

example, how activities will adapt to the changing needs of clients

or filling gaps in community efforts to provide access to a

comprehensive range of care. HUD will consider the extent to which

the project design, management plan, proposed effects, local

planning and coordination of housing programs, and proposed

activities are exemplary and appropriate as a model for replication

in similar localities or nationally, when compared to other

applications and projects funded in the past. Examples of SPNS and

MDI grants from prior competitions can be found under the HOPWA

listing on the HUD HOME page on the World Wide Web at http://

www.hud.gov/fundopp.html.

2. What do you mean by performance measures?

General performance measures and specific measurable objectives

or milestones are required for all three types of proposals and are

discussed in the NOFA. A general performance measure will establish

the overall goal of a proposal such as the number of short-term

housing and number of supportive housing units to be added in a

community during an operating period with grant funds. A measurable

objective or milestone is a specific, achievable and time-limited

statement of how an activity will help obtain the overall goals of a

program. An example of a measure is ``25 persons with HIV/AIDS

currently in emergency shelters will move within 6 months to

scattered-site apartments with rental assistance and access to

services.'' The measure will be a tool for the project for

monitoring the results and noting the milestones that are being

accomplished as the funded activities are undertaken. A special

focus of the MDI component involves participation in

[[Page 25096]]

evaluations of actual program performance under the established

performance measures to better understand what works to assist these

clients and to disseminate information on such findings as model

efforts.

3. Can a city or State that is a HOPWA formula recipient also

apply for a Special Project of National Significance?

Yes. Both types of grants, SPNS and MDI, are available to all

States, localities and non-profit organizations. Only the Long-term

component is reserved for certain areas, those that are not part of

a formula HOPWA allocation.

4. Can an agency submit a Continuum of Care homeless assistance

application and a HOPWA proposal which will be linked but not

identical?

Yes. You can apply for funding under both competitions and other

Federal funds that may be available. A HOPWA grant and a Continuum

of Care grant may serve the same group of clients but with distinct

activities that may complement but not duplicate the other HUD-

funded activities. If the activities are duplicated in the two

applications, HUD will ensure that an activity will only be funded

from one source; however, if they are dependent on each other, they

must still compete under the separate competitions. If they do not

duplicate the same activities for the same participants, then both

may be funded.

5. As an applicant, we plan to carry out activities directly.

Can we qualify for both the grantee's (3%) as well as the sponsor's

(7%) administrative costs?

No. A grantee is limited to using no more than three (3) percent

of the grant amount for administering the grant, such as providing

general management, oversight, coordination, evaluation and

reporting on activities. Please note that costs of staff that are

carrying out the program activities may be included in those program

activity costs, including prorating costs between categories as may

be appropriate. A sponsor is eligible to use up to seven (7) percent

of the amount that they receive for the sponsor's administrative

costs.

6. Can a HOPWA program be designated to assist homeless and

large families only?

Yes, to the degree that a program responds to the greater or

specialized needs of eligible persons, for example, you can look at

homelessness as a greater need and try to serve those in the

greatest need as a priority in selecting participants. Program

features might also be appropriate for certain clients, such as

housing units with larger number of bedrooms to serve large

families. However, as required by law and provided under the

certifications, programs are required to comply with

nondiscrimination and equal opportunity requirements.

7. We have applied to IRS for a 501(c)(3) designation but we

have not received it yet. Can we apply? If not, can we go to the

state or another non-profit and partner with them and come in under

their application?

Nonprofit organizations that are either the applicant or a

project sponsor must either; (a) have an IRS ruling that provides

your tax exempt status under Sec. 501(c)(3) of the IRS Code by the

application due date; or (b) provide documentation that shows that

the organization satisfies the criteria provided by the statutory

definition of non-profit organization found at 42 U.S.C. 12902 (13)

or your organization cannot serve in those capacities.

The statutory definition reads: ``The term ``nonprofit

organization'' means any nonprofit organization (including a State

or locally chartered, nonprofit organization) that--(A) is organized

under State or local laws; (B) has no part of its net earnings

inuring to the benefit of any member, founder, contributor, or

individual; (C) complies with standards of financial accountability

acceptable to the Secretary; and (D) has among its purposes

significant activities related to providing services or housing to

persons with acquired immunodeficiency syndrome or related

diseases.''

The Department interprets this definition to include the

following: (a) in lieu of a 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) that documentation of an IRS ruling of tax exempt status

under Sec. 501(c)(4), (6), (7), (9) or (19) is acceptable in lieu of

the Sec. 501(c)(3) documentation;

provide documentation to evidence that it satisfies the statutory

definition; HUD would consider as satisfactory the submission of the

following four items: (1) a certification by the appropriate

official of the jurisdiction under whose laws the nonprofit

organization was organized, that the organization was so organized

and is in good standing; (2) documentation showing that the

organization is a certified United Way member agency or other

documentation that shows that no inurement of benefits will occur;

(3) documentation from a CPA or Public Accountant that the

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 2; and (4) a certified

copy of the nonprofit organization's articles of incorporation, by-

laws, statement of purposes, board of director's resolution or a

similar document which includes a provision demonstrating its

purpose regarding significant activities for persons living with

HIV/AIDS; and

(d) that the term ``related diseases'' includes HIV infection.

If your organization does not provide the requested

documentation, the organization would not be eligible to receive

funds and serve as the grantee or as a project sponsor. However, you

could collaborate with eligible nonprofit organizations (e.g. which

have the 501(c)(3) designation) 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. Eligible grantees and

project sponsors may also contract out services that are funded by

this grant.

8. Renewals. Can an existing HOPWA program funded for up to a

three-year period through a prior HOPWA competitive grant program

apply for additional 1997 HOPWA funds to supplement or continue the

same program?

Yes. (1) Under the SPNS and MDI components, it is possible for

existing grantees to propose and be selected in order to continue

the same activities, or, alternatively, to provide additional

activities that expand on or modify what the current grant is

accomplishing. For example, in addition to their model features, an

existing SPNS or MDI grant may contain innovative features; if that

applicant proposes activities that only continue existing

activities, the application would not be viewed as innovative nor

receive rating points associated with innovation but that

application may still be selected based on its other qualities. If

HUD determines that a project has been reasonably successful under a

prior HOPWA competitive grant, a proposal to continue its operations

may be given up to 5 bonus points, even if the proposal contains no

new innovative approaches.

As an alternative, your proposal may be based on your existing

program but propose additional features that benefit recipients; for

example, you may want to apply some new things you learned from the

program you operate or want to try a new approach, that might be

considered innovative and awarded points on that basis.

(2) If your existing project was selected under the Long Term

component, you could seek additional funds to continue assistance in

this competition based on your eligibility for this category and its

criteria. If HUD determines that a project has been reasonably

successful, a proposal to continue its operations may be given up to

5 bonus points. If, in the alternative, your area now qualifies for

a formula allocation, you are not eligible to apply for the Long-

term category of funds in this competition; in this case, you may

apply under the SPNS or MDI categories or you could seek formula

HOPWA funds that are available from your area's State or city

grantee for your project.

For all three categories of assistance, an applicant will be

deemed to have operated with reasonable success if it evidences in

its application that previous HOPWA-funded activities have been

carried out and funds have been used in a timely manner, that

benchmarks, if any, in program development and operation have been

met, and that the number of persons assisted is comparable to the

number that was planned at the time of application. For example, if

program funds were to be expended during a three year operating

period, and the grant agreement was signed two years ago, timely

expenditure would mean that approximately two-thirds or more of

program funds have been expended under that prior grant.

(3) Current MDI grantees may apply under section III for up to

$50,000 in additional funds to complete, modify and/or expand the

evaluation of MDI projects that were selected in the 1996 HOPWA

competition. The program requirements for this separate selection

process for current MDI grants are described in Section I(f)(4) and

are provided in Section III of the NOFA.

[[Page 25097]]

9. Formula recipients. Can an area that previously received a

HOPWA formula allocation, but no longer receives such funding, apply

for additional 1997 HOPWA competitive funds to supplement or

continue the same program?

Yes, but only in special circumstances that are noted in the

paragraph below. The Department does not intend to use the limited

amount of funds available in this competition to renew projects to

continue activities that have been supported under HOPWA formula

allocations and may continue to do so by formula grantee discretion.

Under the Long-term category, the NOFA recognizes that certain

areas that are not eligible for a formula allocation in fiscal year

1997, may have been eligible in a prior year and may have existing

projects that were previously funded under a formula allocation. In

such cases, the Department recognizes that the existing projects do

not have any other access to HOPWA funds and that, if HUD determines

that a project is reasonably successful, a proposal to continue its

operations may be given up to 5 bonus points.

10. If alcoholism, chemical dependency or mental illness is

suspected or observed in a person living with AIDS, but undiagnosed

clinically, can the MDI funds be used as a vehicle for diagnosis?

Yes. You can determine your outreach and client assessment

procedures which may specify the types of documentation within

reasonable flexibility. For example, designing new methods for

reaching and serving persons who are homeless who are often hard-to-

reach might be part of your proposed innovation. HOPWA funds can be

used to determine eligibility for program participation.

11. As a non-profit organization, must we obtain a certification

that the application is consistent with our city or state's

consolidated plan?

Yes, the certification of consistency with the area consolidated

plan is required. The Department initiated the consolidated planning

process to improve our partnership with communities in addressing

area needs. As a change from prior competitions, a certificate of

consistency with the area comprehensive plan is required under this

NOFA for non-profits applying for a SPNS or MDI grant. The

certification continues to be required for city and State

applications, including the activities that are carried out by a

nonprofit serving as a project sponsor. An exception is made for

proposals that plan to undertake activities on a national basis.

12. If we request HOPWA funds for supportive services, will that

impact our application's competitiveness?

No. You can apply for any eligible activity, alone or in

combination with others. The application notes that in the case of a

services-only proposal, you should identify how the recipients are

currently in housing or will be receiving housing assistance from

some other source.

13. Currently, our city is a HOPWA formula recipient. Does this

eliminate or disqualify non-profits for applying for competitive

funds under HOPWA?

No. Nonprofit organizations located in a HOPWA formula area can

apply for a HOPWA competitive grant under the SPNS or MDI

components. The nonprofit could apply directly or as a sponsor in an

application from a State or local government for the SPNS or MDI

grant. The nonprofit might also seek funding under the formula

allocation (which constitutes ninety percent of the annual program

appropriation) from the city or State that is serving as the

grantee. Since formula funds are available in that area, an

application under the Long-term category is not eligible.

14. Is it correct that we don't submit our own MDI evaluation

dissemination plan since we plan to participate in the evaluation

component? Will our application still be awarded points for this?

Yes. For a MDI application, if you establish performance

measures and agree to participate in the evaluation component by

signing the MDI participation agreement certification, your

application will receive the full 5 points. As a condition for the

MDI grant, the NOFA describes the role of the ETAC evaluator that

will be assigned to the selected MDI grants. Once selected, HUD will

work with grantees to initiate their project, design methods to

monitor performance and create evaluation procedures and methods to

disseminate information on the program. MDI grants will also receive

an additional $170,000 to ensure support for an effective program

evaluation effort, of which up to $90,000 would be used for local

activities and participation in conferences and $80,000 would be

used to acquire the described ETAC services.

15. Can a public housing agency (PHA) apply for these funds? Can

a PHA serve as a project sponsor?

Yes, in some cases. A public housing agency that is a functional

part of a State or a unit of general local government may serve as

the applicant/grantee on behalf of that unit of government. In cases

where the PHA is an independent special purpose agency, the PHA

could not serve as the applicant/grantee but may assist another

qualified applicant/grantee as a project sponsor. If applying as the

grantee, the PHA should use item 7 on the SF-424 to designate if it

is an functional part of the State or a unit of general local

government, and provide its PHA number on the Applicant

Certifications, as requested.

FOR FURTHER INFORMATION AND TECHNICAL ASSISTANCE CONTACT: The

Community Connections information center at 1-800-998-9999 (voice);

1-800-483-2209 (TTY) or by email at [email protected].

For answers to your questions, you have several options: you may

contact the HUD CPD office that serves your area, at the phone and

address shown in the appendix; you may contact the Community

Connections information center noted above; or you may contact the

Office of HIV/AIDS Housing at 1-202-708-1934 (voice) or by 1-800-

877-8339 (TTY) at the U.S. Department of Housing and Urban

Development, 451 Seventh Street, SW., Room 7154, Washington, DC

20410.

[FR Doc. 97-11881 Filed 5-2-97; 4:43 pm]

BILLING CODE 4210-29-P

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.