# Super Notice of Funding Availability (SuperNOFA) for Targeted Housing and Homeless Assistance Programs

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## Record

- **Collection:** Federal Register
- **Document type:** Notice
- **Published:** April 30, 1998
- **Citation:** 63 FR 23988

## Text

SUMMARY: This Super Notice of Funding Availability (SuperNOFA)
announces the availability of approximately $1,196,920,112 in HUD
program funds covering six (6) Targeted Housing and Homeless Assistance
Programs operated and managed by HUD's Office of Community Planning and
Development (CPD) and HUD's Office of Housing-Federal Housing
Administration (FHA). The General Section of this SuperNOFA contains
the procedures and requirements applicable to all programs. The
applications for funding for these programs have been consolidated into
four applications. The Programs Section of this SuperNOFA contains a
description of the specific programs for which funding is made
available under this SuperNOFA and additional procedures and
requirements that are applicable to each.
Application Due Dates: The information contained in this APPLICATION
DUE DATES section applies to all programs contained in this SuperNOFA.
Completed applications must be submitted to HUD no later than the
deadline established for the program for which you are seeking funding.
Applications may not be sent by facsimile (FAX). See the Program Chart
for specific application due dates.

Addresses and Application Submission Procedures: Addresses. Completed
applications must be submitted to the location specified in the
Programs Section of this SuperNOFA. When submitting your application,
please refer to the program name for which you are seeking funding.
For Applications to HUD Headquarters. Applications to be submitted
to HUD Headquarters are due at: Department of Housing and Urban
Development, 451 Seventh Street, SW, Room ________ (See Program Chart
or Programs Section for room location), Washington DC 20410.
For Applications to HUD Field Offices. For those programs for which
applications are due to the HUD Field Offices, please see the Programs
Section for the exact locations for submission.
Applications Procedures. Mailed Applications. Applications will be
considered timely filed if postmarked on or before 12:00 midnight on
the application due date and received by the designated HUD Office on
or within ten (10) days of the application due date.
Applications Sent by Overnight/Express Mail Delivery. Applications
sent by overnight delivery or express mail will be considered timely
filed if received before or on the application due date, or upon
submission of documentary evidence that they were placed in transit
with the overnight delivery service by no later than the specified
application due date.
Hand Carried Applications. For applications submitted to HUD
Headquarters, hand carried applications delivered before and on the
application due date must be brought to the specified location and room
number between the hours of 8:45 am to 5:15 pm, Eastern time.
Applications hand carried on the application due date will be accepted
in the South Lobby of the HUD Headquarters Building at the above
address from 5:15 pm until 12:00 midnight, Eastern time. Applications
due to HUD Field Office locations must be delivered to the appropriate
HUD Field Office in accordance with the instructions specified in the
Programs Section of the SuperNOFA.
For applications submitted to the HUD Field Offices, hand carried
applications will be accepted during normal business hours before the
application due date. On the application due date, business hours will
be extended to 6:00 p.m. local time. (Please see Appendix A to this
SuperNOFA listing the hours of operations for the HUD Field Offices.)

Copies of Applications to Hud Offices. The Programs Section of this
SuperNOFA may specify that to facilitate processing and review of your
submission a copy of the application also be sent to an additional HUD
location (for example, a copy to the HUD Field Office if the original
application is to be submitted to HUD Headquarters, or a copy to HUD
Headquarters, if the original application is to be submitted to a HUD
Field Office). Please follow the requirements of the Programs Section
to ensure that you submit your application to the proper location. HUD
requests additional copies in order to expeditiously review your
application and appreciates your assistance in providing the copies.
Please note that for those applications for which copies are being
submitted to the Field Offices and HUD Headquarters, timeliness of
submission will be based on the time the application is received at HUD
Headquarters.

For Application Kits, Further Information and Technical Assistance: The
information contained in this section is applicable to all programs
contained in this SuperNOFA.
For Application Kits and SuperNOFA User Guide. HUD is pleased to
provide you with application kits and/or a guidebook to all HUD
programs. When requesting an application kit, please refer to the
program name of the application kit you are interested in receiving.
Please be sure to provide your name, address (including zip code), and
telephone number (including area code).
Requests for application kits should be made immediately to ensure
sufficient time for application preparation. We will distribute
application kits as soon as they become available.
The SuperNOFA Information Center (1-800-HUD-8929) can provide you
with assistance, application kits, and guidance in determining which
HUD Office(s) should receive a copy of your application. Persons with
hearing or speech impairments may call the Center's TTY number at 1-
800-483-2209.
Consolidated Application Submissions. Where an applicant can apply
for funding under more than one program in this SuperNOFA, the
applicant need only submit one originally signed SF-424 and one set of
original signatures for the other required assurances and
certifications, accompanied by the matrix contained in each application
kit. As long as the applicant submits one originally signed set of
these documents with an application, only copies of these documents are
required to be submitted with any additional application submitted by
the applicant. The application should identify the program for which
the original signatures for assurances and certifications is being
submitted.
For Further Information. For answers to your questions about this
SuperNOFA, you have several options. You may call the SuperNOFA
Information Center at 1-800-HUD-8929, or you may contact the HUD Office
or Processing Center serving your area at the telephone number listed
in the application kit for the program in which you are interested.
Persons with hearing or speech impairments may call the Center's TTY
number at 1-800-483-2209. Information on this SuperNOFA also may be
obtained through the HUD

[[Page 23989]]

web site on the Internet at http://www.HUD.gov.
For Technical Assistance. Before the application due date, HUD
staff will be available to provide general guidance and technical
assistance about this SuperNOFA. Current law does not permit HUD staff
to assist in preparing the application. Following selection of
applicants, but prior to award, HUD staff will be available to assist
in clarifying or confirming information that is a prerequisite to the
offer of an award or Annual Contributions Contract (ACC) by HUD.

Introduction to the SuperNOFA Process

To further HUD's objective, under the direction of Secretary Andrew
Cuomo, of improving customer service and providing the necessary tools
for revitalizing communities and improving the lives of people within
those communities, HUD will publish three SuperNOFAs in 1998, which
coordinate program funding for 40 programs and cut across traditional
program lines.
(1) The first is the SuperNOFA and consolidated application process
for Housing and Community Development Programs, covering 19 Housing and
Community Development Programs. This SuperNOFA was published in the
Federal Register on March 31, 1998.
(2) The second is the SuperNOFA and consolidated application
process for Economic Development and Empowerment Programs, covering 9
programs. This second SuperNOFA was published elsewhere in today's
Federal Register.
(3) The third is the SuperNOFA and consolidated application process
for Targeted Housing and Homeless Assistance Programs. This third
SuperNOFA includes the following programs and initiatives: Housing
Opportunities for Persons with AIDS; Continuum of Care Assistance,
which includes the Supportive Housing Program, Shelter Plus Care, and
Section 8 Moderate Rehabilitation Single Room Occupancy Program for
Homeless Individuals; Section 202 Supportive Housing for the Elderly;
and Section 811 Supportive Housing for Persons with Disabilities.
Related to this SuperNOFA for HUD's Targeted Housing and Homeless
Assistance Programs is HUD's NOFA for Section 8 Tenant-Based Assistance
for Persons with Disabilities, published elsewhere in today's Federal
Register.
All three SuperNOFAs and consolidated applications, to the greatest
extent possible, given statutory, regulatory and program policy
distinctions, will have one set of rules that, together, offer a
``menu'' of approximately 40 programs. From this menu, communities will
be made aware of funding available for their jurisdictions. Nonprofits,
public housing agencies, local and State governments, tribal
governments and tribally designated housing entities, veterans service
organizations, faith-based organizations and others will be able to
identify the programs for which they are eligible for funding.
The National Competition NOFA. In addition to the three SuperNOFAs,
HUD is publishing in today's Federal Register a single NOFA for three
national competitions: the Fair Housing Initiatives Program National
Competition; the Lead-Based Paint Hazard Control National Competition;
and the Housing Counseling National Competition.
Assisting Communities To Make Better Use of Available Resources
These SuperNOFAs represent a marked departure from, and HUD
believes a significant improvement over, HUD's past approach to the
funding process. In the past, HUD has issued as many as 40 separate
NOFAs, all with widely varying rules and application processing
requirements. This individual program approach to funding, with NOFAs
published at various times throughout the fiscal year, did not
encourage and, at times, unintentionally impeded local efforts directed
at comprehensive planning and development of comprehensive local
solutions. Additionally, the old approach seemed to require communities
to respond to HUD's needs rather than HUD responding to local needs.
Secretary Cuomo brings to the leadership of HUD the experience of
successfully implementing a consolidated planning process in HUD's
community development programs. As Assistant Secretary for Community
Planning and Development, Secretary Cuomo consolidated the planning,
application, and reporting requirements of several community
development programs. The Consolidated Plan rule, published in 1995,
established a renewed partnership among HUD, State, and local
governments, public and private agencies, tribal governments, and the
general citizenry by empowering field staff to work with other entities
in fashioning creative solutions to community problems.
The SuperNOFA approach builds upon Consolidated Planning
implemented by Secretary Cuomo in HUD's community development programs,
and also reflects the Secretary's organizational changes for HUD, as
described in the Secretary's management reform plan. On June 26, 1997,
Secretary Cuomo released the HUD 2020 Management Reform Plan, which
calls for significant consolidation of like programs to maximize
efficiency and dramatically improve customer service. The plan also
calls for HUD to improve customer service by adopting a principle of
``menus not mandates.''
By announcing the funding of these six programs in one NOFA, HUD
hopes to assist communities in making better use of available resources
to address their needs and the needs of those living within the
communities in a holistic and effective fashion. These funds are
available for eligible applicants to support individual program
objectives, as well as cross-cutting and coordinated approaches to
improving the overall effective use of available HUD program funds.
To date, HUD has been consolidating and simplifying the submission
requirements of many of its formula grant and discretionary grant
programs to offer local communities a better opportunity to shape
available resources into effective and coordinated neighborhood housing
and community development strategies that will help revitalize and
strengthen their communities, physically, socially and economically. To
complement this overall consolidation and simplification effort, HUD
designed this process to increase the ability of applicants to consider
and apply for funding under a wide variety of HUD programs in response
to a single NOFA. Everyone interested in HUD's grant programs can
benefit from having this information made available in one NOFA.
Coordination, Flexibility, and Simplicity in the HUD Funding Process
The SuperNOFA approach places heavy emphasis on the coordination of
activities to provide (1) greater flexibility and responsiveness in
meeting local housing and community development needs, and (2) greater
flexibility to eligible applicants to determine what HUD program
resources best fit the community's needs, as identified in local
Consolidated Plans and Analysis of Impediments to Fair Housing Choice
(``Analysis of Impediments'' (AI)).
The SuperNOFA approach is designed to simplify the application
process; promote effective and coordinated use of program funds in
communities; reduce duplication in the delivery of services and
economic development and empowerment programs; allow interested
applicants to seek to deliver a wider, more integrated array of
services; and improve the

[[Page 23990]]

system for potential grantees to be aware of, and compete for program
funds.
HUD encourages applicants to work together to coordinate and, to
the maximum extent possible, join their activities to form a seamless
and comprehensive program of assistance to meet identified needs in
their communities, and address barriers to fair housing and equal
opportunity that have been identified in the community's Consolidated
Plan and Analysis of Impediments in the geographic area(s) in which
they are seeking assistance.
As part of the simplification of this funding process, and to avoid
duplication of effort, the SuperNOFA provides for consolidated
applications for several of the programs for which funding is available
under this NOFA. HUD programs that provide assistance for, or
complement similar activities, for example the Continuum of Care
programs have a consolidated application that reduces the
administrative and paperwork burden applicants may otherwise encounter
in submitting an application for each program. The Program Chart in
this introductory section of the SuperNOFA identifies the programs that
have been consolidated and for which a consolidated application is made
available to eligible applicants.
The funding of these six programs through this SuperNOFA will not
affect the ability of eligible applicants to seek HUD funding. Eligible
applicants are able, as they have been in the past, to apply for
funding under as few as one or as many as all programs for which they
are eligible.
The specific statutory and regulatory requirements of each of the
six separate programs continue to apply to each program. The SuperNOFA
reflects, where necessary, the statutory requirements and differences
applicable to the specific programs. Please pay careful attention to
the individual program requirements that are identified for each
program. Also, you will note that not all applicants are eligible to
receive assistance under all six programs identified in this SuperNOFA.
The SuperNOFA contains two major sections. The General Section of
the SuperNOFA contains the procedures and requirements applicable to
all applications. The Programs Section of the SuperNOFA describes each
program for which funding is made available in the NOFA. As in the
past, each program provides a description of eligible applicants,
eligible activities, factors for award, and any additional requirements
or limitations that apply to the program. Please read carefully both
the General Section and the Programs Section of the SuperNOFA for the
program(s) to which you are applying. This will ensure that you apply
for program funding for which your organization is eligible to receive
funds and you fulfill all the requirements for that program(s).

The Programs of this SuperNOFA and the Amount of Funds Allocated

The six programs for which funding availability is announced in
this SuperNOFA are identified in the following chart. The approximate
available funds for each program are listed as expected funding levels
based on appropriated funds. Should recaptured or other funds become
available for any program, HUD reserves the right to increase the
available program funding amounts by the amount available.
The chart also includes the application due date for each program,
the OMB approval number for the information collection requirements
contained in the specific program, and the Catalog of Federal Domestic
Assistance (CFDA) number.

BILLING CODE 4210-32-

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[GRAPHIC] [TIFF OMITTED] TN30AP98.018

BILLING CODE 4210-32-C

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Paperwork Reduction Act Statement. The information collection
requirements contained in this SuperNOFA have been approved by the
Office of Management and Budget (OMB) under the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501-3520). The preceding chart reflects the OMB
approval number for each program component of this SuperNOFA. 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. *$640,000,000 is currently available for obligation for
FY 1998, and $60,000,000 is subject to appropriations in FY 1999.

General Section of the SuperNOFA

I. Authority; Purpose; Amount Allocated; Eligible Applicants and
Eligible Activities

(A) Authorities
The authority for Fiscal Year 1998 funding availability under this
SuperNOFA is the Department of Veterans Affairs and Housing and Urban
Development and Independent Agencies Appropriations Act, 1998 (Pub. L.
105-65, approved October 27, 1997) (FY 1998 HUD Appropriations Act).
Where applicable, additional authority for each program in this
SuperNOFA is identified in the Programs Section.
(B) Purpose
The purpose of this SuperNOFA is to:
(1) Make funding available through a variety of programs to empower
communities and their residents, particularly the poor and
disadvantaged, to develop viable communities, provide decent housing
and a suitable living environment for all citizens, without
discrimination in order to improve themselves both as individuals and
as a community.
(2) Simplify and streamline the application process for funding
under HUD programs. By making available to State and local governments,
public housing agencies, tribal governments, non-profit organizations
and others, the application requirements for Targeted Housing and
Homeless Assistance Programs in one NOFA, HUD hopes that the result
will be a less time consuming and less complicated application process.
This new process also allows an applicant to submit one application for
funds for several programs. Except where statutory or regulatory
requirements or program policy mandate differences, the SuperNOFA
strives to provide for one set of rules, standardized rating factors,
and uniform and consolidated application procedures.
(3) Enhance the ability of applicants to make more effective and
efficient use of housing and community development funding when
addressing community needs and implementing coordinated housing and
community development strategies established in local Consolidated
Plans, which is the single application for HUD housing and community
development and other formula funds submitted by the local or State
government. Through this SuperNOFA process, applicants are encouraged
to: (i) create opportunities for strategic planning and citizen
participation in a comprehensive context at the local level in order to
establish a full continuum of housing and services; and (ii) promote
methods for developing more coordinated and effective approaches to
dealing with urban, suburban, and rural problems by recognizing the
interconnections among the underlying problems and ways to address them
through layering of available HUD programs;
(4) Promote the ability of eligible non-profit organizations to
participate in many of the programs contained in this SuperNOFA;
provide an increased opportunity to assist communities in developing
continuum of care strategies, and supportive housing programs; and
(5) Recognize and make better use of the expertise that each of the
programs, and organizations eligible for funding under this SuperNOFA,
can contribute when developing and implementing local housing and
community development plans, the Consolidated Plan, and the HUD
required Analysis of Impediments to Fair Housing Choice.
(C) Amounts Allocated
The amounts allocated to specific programs in this SuperNOFA are
based on appropriated funds. Should recaptured funds become available
in any program, HUD reserves the right to increase the available
funding amounts by the amount of funds recaptured.
(D) Eligible Applicants and Eligible Activities
The eligible applicants and eligible activities for each program
are identified and described for the program in the Programs Section of
the SuperNOFA.

II. Requirements and Procedures Applicable to all Programs

Except as may be modified in the Programs Section of this
SuperNOFA, or as noted within the specific provisions of this Section
II, the following principles apply to all programs. Please be sure to
read the program area section of the SuperNOFA for additional
requirements or information.
(A) Statutory Requirements
All applicants must meet and comply with all statutory and
regulatory requirements applicable to the program for which they are
seeking funding in order to be awarded funds. Copies of the regulations
are available from the SuperNOFA Information Center or through the
Internet at the HUD web site located at http://www.HUD.gov. HUD may
reject an application from further funding consideration if the
activities or projects proposed are ineligible, or (with the exception
of the Section 202 and 811 programs) HUD may eliminate the ineligible
activities from funding consideration and reduce the grant amount
accordingly.
(B) Threshold Requirements--Compliance With Fair Housing and Civil
Rights Laws
All applicants, with the exception of Federally recognized Indian
tribes, must comply with all Fair Housing and civil rights laws,
statutes, regulations and executive orders as enumerated in 24 CFR
5.105(a). Federally recognized Indian tribes must comply with the Age
Discrimination Act of 1975, section 504 of the Rehabilitation Act of
1973, and the Indian Civil Rights Act. If an applicant (1) has been
charged with a violation of the Fair Housing Act by the Secretary; (2)
is the defendant in a Fair Housing Act lawsuit filed by the Department
of Justice; or (3) has received a letter of noncompliance findings
under Title VI of the Civil Rights Act, section 504 of the
Rehabilitation Act, or section 109 of the Housing and Community
Development Act, the applicant is not eligible to apply for funding
under this SuperNOFA until the applicant resolves such charge, lawsuit,
or letter of findings to the satisfaction of the Department.
(C) Additional Nondiscrimination Requirements
Applicants must comply with the Americans with Disabilities Act,
and Title IX of the Education Amendments Act of 1972.
(D) Affirmatively Furthering Fair Housing
Unless otherwise specified in the Programs Section of this
SuperNOFA, each successful applicant will have a duty to affirmatively
further fair housing. Applicants should include in their applications
or work plans the specific steps that they will take to (1) address the
elimination of impediments to fair housing that were identified in the
jurisdiction's Analysis of Impediments (AI) to Fair Housing

[[Page 23993]]

Choice; (2) remedy discrimination in housing; or (3) promote fair
housing rights and fair housing choice. Further, applicants have a duty
to carry out the specific activities cited in their responses to the
rating factors that address affirmatively furthering fair housing in
the Programs Section of this SuperNOFA.
(E) Economic Opportunities for Low and Very Low-Income Persons (Section
3)
Certain programs in this SuperNOFA require recipients of HUD
assistance to comply with section 3 of the Housing and Urban
Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for
Low and Very Low-Income Persons) and the HUD regulations at 24 CFR part
135, including the reporting requirements subpart E. Section 3 provides
that recipients shall ensure that training, employment and other
economic opportunities, to the greatest extent feasible, be directed to
(1) low and very low income persons, particularly those who are
recipients of government assistance for housing and (2) business
concerns which provide economic opportunities to low and very low
income persons. The applicability of section 3 will be noted in the
Programs Section of the SuperNOFA.
(F) Relocation
Any person (including individuals, partnerships, corporations or
associations) who moves from real property or moves personal property
from real property as a direct result of a written notice to acquire or
the acquisition of the real property, in whole or in part, for a HUD-
assisted activity is covered by acquisition policies and procedures and
the relocation requirements of the Uniform Relocation Assistance and
Real Property Acquisition Policies Act of 1970, as amended (URA), and
the implementing governmentwide regulation at 49 CFR part 24. Any
person who moves permanently from real property or moves personal
property from real property as a direct result of rehabilitation or
demolition for an activity undertaken with HUD assistance is covered by
the relocation requirements of the URA and the governmentwide
regulation.
(G) Forms, Certifications and Assurances
Each applicant is required to submit signed copies of the standard
forms, certifications, and assurances, listed in this section, unless
the program funding in the Programs Section specifies otherwise.
Additionally, the Programs Section may specify additional forms,
certifications, assurances or other information that may be required
for a particular program in this SuperNOFA.
(1) Standard Form for Application for Federal Assistance (SF-424);
(2) Standard Form for Budget Information--Non-Construction Programs
(SF-424A) or Standard Form for Budget Information-Construction Programs
(SF-424C), as applicable;
(3) Standard Form for Assurances--Non-Construction Programs (SF-
424B) or Standard Form for Assurances--Construction Programs (SF-424D),
as applicable;
(4) Drug-Free Workplace Certification (HUD-50070);
(5) Certification and Disclosure Form Regarding Lobbying (SF-LLL);
(Tribes and tribally designated housing entities (THDEs) established by
an Indian tribe as a result of the exercise of the tribe's sovereign
power are not required to submit this certification. Tribes and TDHEs
established under State law are required to submit this certification.)
(6) Applicant/Recipient Disclosure Update Report (HUD-2880);
(7) Certification that the applicant will comply with the
requirements of the Fair Housing Act, Title VI of the Civil Rights Act
of 1964, section 504 of the Rehabilitation Act of 1973, and the Age
Discrimination Act of 1975, and will affirmatively further fair
housing. CDBG recipients also must certify to compliance with section
109 of the Housing and Community Development Act. Federally recognized
Indian tribes must certify that they will comply with the requirements
of the Age Discrimination Act of 1975, section 504 of the
Rehabilitation Act of 1973, and the Indian Civil Rights Act.
(8) Certification required by 24 CFR 24.510. (The provisions of 24
CFR part 24 apply to the employment, engagement of services, awarding
of contracts, subgrants, or funding of any recipients, or contractors
or subcontractors, during any period of debarment, suspension, or
placement in ineligibility status, and a certification is required.)
(H) OMB Circulars
The policies, guidances, and requirements of OMB Circular No. A-87
(Cost Principles Applicable to Grants, Contracts and Other Agreements
with State and Local Governments), OMB Circular No. A-122 (Cost
Principles for Nonprofit Organizations), 24 CFR part 84 (Grants and
Agreements with Institutions of Higher Education, Hospitals, and other
Non-Profit Organizations) and 24 CFR part 85 (Administrative
Requirements for Grants and Cooperative Agreements to State, Local, and
Federally recognized Indian tribal governments) may apply to the award,
acceptance and use of assistance under the programs of this SuperNOFA,
and to the remedies for noncompliance, except when inconsistent with
the provisions of the FY 1998 HUD Appropriations Act, other Federal
statutes or the provisions of this SuperNOFA. Compliance with
additional OMB Circulars may be specified for a particular program in
the Programs Section of the SuperNOFA. Copies of the OMB Circulars may
be obtained from EOP Publications, Room 2200, New Executive Office
Building, Washington, DC 10503, telephone (202) 395-7332 (this is not a
toll free number).
(I) Environmental Requirements
For programs under this SuperNOFA that assist physical development
activities or property acquisition, grantees are generally prohibited
from acquiring, rehabilitating, converting, leasing, repairing or
constructing property, or committing or expending HUD or non-HUD funds
for these program activities, until one of the following has occurred:
(1) HUD has completed an environmental review in accordance with 24 CFR
part 50; or (2) for programs subject to 24 CFR part 58, HUD has
approved a grantee's Request for Release of Funds (HUD Form 7015.15)
following a Responsible Entity's completion of an environmental review.
Applicants should consult the Programs Section for the applicable
program to determine the procedures for, timing of, and any exclusions
from environmental review under a particular program.
(J) Conflicts of Interest
Consultants or experts assisting HUD in rating and ranking
applicants for funding under this SuperNOFA are subject to 18 U.S.C.
208, the Federal criminal conflict of interest statute, and to the
Standards of Ethical Conduct for Employees of the Executive Branch
regulation published at 5 CFR part 2635. As a result, individuals who
have assisted or plan to assist applicants with preparing applications
for this SuperNOFA may not serve on a selection panel or as a technical
advisor to HUD for this SuperNOFA. All individuals involved in rating
and ranking this SuperNOFA, including experts and consultants, must
avoid conflicts of interest or the appearance of conflicts. If the
selection or non-selection of any applicant under this NOFA affects the
individual's financial interests set forth in 18 U.S.C. 208 or involves
any party with whom the individual has a covered relationship

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under 5 CFR 2635.502, that individual must, prior to participating in
any matter regarding this NOFA, disclose this fact to the General
Counsel or the Ethics Law Division.

III. Application Selection Process

(A) General
To review and rate applications, HUD may establish panels including
persons not currently employed by HUD to obtain certain expertise and
outside points of view, including views from other Federal agencies.
(1) Rating. All applications for funding in each program listed in
this SuperNOFA will be evaluated and rated against the criteria in this
SuperNOFA. The rating of the ``applicant'' or the ``applicant's
organization and staff'' for technical merit or threshold compliance,
unless otherwise specified, will include any sub-contractors,
consultants, sub-recipients, and members of consortia which are firmly
committed to the project.
(2) Ranking. Applicants will be ranked within each program (or, for
Continuum of Care applicants, across the three programs identified in
the Continuum of Care section of this SuperNOFA). Applicants will be
ranked only against others that applied for the same program funding
and where there are set-asides within the competition, the applicant
would only compete against applicants in the same set-aside
competition.
(B) Threshold Requirements
HUD will review each application to determine whether the
application meets all of the threshold criteria described for program
funding made available under this SuperNOFA. Applications that meet all
of the threshold criteria will be eligible to be rated and ranked,
based on the criteria described, and the total number of points to be
awarded.
(C) Factors for Award Used To Evaluate and Rate Applications
For all of the programs for which funding is available under this
SuperNOFA, the points awarded for the rating factors total 100. Where
applicable, the program may provide for up to four bonus points as
provided in paragraphs (1) and (2) of this Section III(C), or other
bonus points as may be specified in the individual program in the
Programs Section of this SuperNOFA.
(1) Bonus Points. The SuperNOFA provides for the award of up to two
bonus points for eligible activities/projects that are proposed to be
located in federally designated Empowerment Zones, Enterprise
Communities, or Urban Enhanced Enterprise Communities, and/or serve the
EZ/EC residents, and are certified to be consistent with the strategic
plan of the EZs and ECs. The application kit contains a certification
which must be completed for the applicant to be considered for EZ/EC
bonus points. A listing of the federally designated EZs, Enhanced ECs
are available from the SuperNOFA Information Center, or through the HUD
web site on the Internet at http://www.HUD.gov.
(2) Court-Ordered Consideration. Due to an order of the U.S.
District Court for the Northern District of Texas, Dallas, Division,
with respect to any application by the City of Dallas, Texas, for HUD
funds, HUD shall consider the extent to which the strategies or plans
in an application or applications submitted by the City of Dallas for
any program under this SuperNOFA will be used to eradicate the vestiges
of racial segregation in the Dallas Housing Authority's low income
housing programs. The City of Dallas should address the effect, if any,
that vestiges of racial segregation in Dallas Housing Authority's low
income housing programs have on potential participants in the programs
covered by this NOFA, and identify proposed actions for remedying those
vestiges. HUD may add up to 2 points to the score based on this
consideration. (This Section III(C)(2) is limited to applications
submitted by the City of Dallas.)
(3) The Five Standard Rating Factors. The factors for rating and
ranking applicants are listed in this Section III(C)(2) and maximum
points for each factor, are provided in the Programs Section of the
SuperNOFA. Each applicant should carefully read the factors for award
as described in the program area section that they are seeking funding.
While HUD has established the following basic factors for award, these
may have been modified or adjusted to take into account specific
program needs, or statutory or regulatory limitations imposed on a
program. The standard factors for award, except as modified in the
program area section are:

Factor 1: Capacity of the Applicant and Relevant Organizational Staff
Factor 2: Need/Extent of the Problem
Factor 3: Soundness of Approach
Factor 4: Leveraging Resources
Factor 5: Comprehensiveness and Coordination

The Continuum of Care Homeless Assistance Programs have only two
factors that receive points: Need and Continuum of Care.
(D) Negotiation
After all applications have been rated and ranked and a selection
has been made, HUD may require, depending upon the program, that all
winners participate in negotiations to determine the specific terms of
the grant agreement and budget. In cases where HUD cannot successfully
conclude negotiations or a selected applicant fails to provide HUD with
requested information, awards will not be made. In such instances, HUD
may offer an award to the next highest ranking applicant, and proceed
with negotiations with the next highest ranking applicant.
(E) Adjustments to Funding
HUD reserves the right to fund less than the full amount requested
in any application to ensure the fair distribution of the funds and to
ensure the purposes of the programs contained in this SuperNOFA are
met. HUD may choose not to fund portions of the applications that are
ineligible for funding under applicable program statutory or regulatory
requirements, or which do not meet the requirements of this General
Section of this SuperNOFA or the requirements in the Programs Section
for the specific program, and fund eligible portions of the
applications.
If funds remain after funding the highest ranking applications, HUD
may fund part of the next highest ranking application in a given
program area. If the applicant turns down the award offer, HUD will
make the same determination for the next highest ranking application.
If funds remain after all selections have been made, remaining funds
may be available for other competitions for each program area where
there is a balance of funds.
Additionally, in the event of a HUD procedural error that, when
corrected, would result in selection of an otherwise eligible applicant
during the funding round of this SuperNOFA, HUD may select that
applicant when sufficient funds become available.
(F) Performance and Compliance Actions of Grantees
Performance and compliance actions of grantees will be measured and
addressed in accordance with applicable standards and sanctions of
their respective programs.

IV. Application Submission Requirements

As discussed earlier in the introductory section of this SuperNOFA,
part of the simplification of this funding process is to reduce the
duplication of effort involved in

[[Page 23995]]

completing and submitting similar applications for HUD funded programs.
As the Program Chart shows above, this SuperNOFA provides for
consolidated applications for several of the programs for which funding
is available under this SuperNOFA.

V. Corrections to Deficient Applications

After the application due date, HUD may not, consistent with 24 CFR
part 4, subpart B, consider unsolicited information from an applicant.
HUD may contact an applicant, however, to clarify an item in the
application or to correct technical deficiencies. Applicants should
note, however, that HUD may not seek clarification of items or
responses that improve the substantive quality of the applicant's
response to any eligibility or selection criterion. Examples of curable
technical deficiencies include failure to submit the proper
certifications or failure to submit an application containing an
original signature by an authorized official. In each case, HUD will
notify the applicant in writing by describing the clarification or
technical deficiency. HUD will notify applicants by facsimile or by
return receipt requested. Applicants must submit clarifications or
corrections of technical deficiencies in accordance with the
information provided by HUD within 14 calendar days of the date of
receipt of the HUD notification. If the deficiency is not corrected
within this time period, HUD will reject the application as incomplete.
(Note that the Sections 202 and 811 Programs, by regulation, provide
for appeal of rejection of an application on technical deficiency.
Please see the programs sections for these programs for additional
information.)

VI. Promoting Comprehensive Approaches to Housing and Community
Development

(A) General
HUD believes the best approach for addressing community problems is
through a community-based process that provides a comprehensive
response to identified needs. By making HUD's Targeted Housing and
Homeless Assistance Programs funding available in one NOFA, applicants
may be able to relate the activities proposed for funding under this
SuperNOFA to the recent and upcoming NOFAs and the community's
Consolidated Plan and Analysis of Impediments to Fair Housing Choice. A
complete schedule of NOFAs to be published during the fiscal year and
those already published appears under the HUD Homepage on the Internet,
which can be accessed at http://www.hud.gov/nofas.html.
(B) Linking Program Activities With AmeriCorps
Applicants are encouraged to link their proposed activities with
AmeriCorps, a national service program engaging thousands of Americans
on a full or part-time basis to help communities address their toughest
challenges, while earning support for college, graduate school, or job
training. For information about AmeriCorps, call the Corporation for
National Service at (202) 606-5000.
(C) Encouraging Visitability in New Construction and Substantial
Rehabilitation Activities
In addition to applicable accessible design and construction
requirements, applicants are encouraged to incorporate visitability
standards where feasible in new construction and substantial
rehabilitation projects. Visitability standards allow a person with
mobility impairments access into the home, but does not require that
all features be made accessible. Visitability means at least one
entrance at grade (no steps), approached by an accessible route such as
a sidewalk; the entrance door and all interior passage doors are at
least 2 feet 10 inches wide, allowing 32 inches of clear passage space.
Allowing use of 2'10'' doors is consistent with the Fair Housing Act
(at least for the interior doors), and may be more acceptable than
requiring the 3 foot doors that are required in fully accessible areas
under the Uniform Federal Accessibility Standards for a small
percentage of units. A visitable home also serves persons without
disabilities, such as a mother pushing a stroller, or a person
delivering a large appliance. Copies of the UFAS are available from the
Office of Fair Housing and Equal Opportunity, U.S. Department of
Housing and Urban Development, Room 5230, 451 Seventh Street, SW,
Washington, DC 20410, telephone (202) 755-5404 or the TTY telephone
number, 1-800-877 8399 (Federal Information Relay Service).
(D) Developing Healthy Homes
HUD's Healthy Homes Initiative is one of the initiatives developed
by the White House Task Force on Environmental Health Risks and Safety
Risks to Children that was established under Executive Order 13045
(``Protection of Children from Environmental Health Risks and Safety
Risks''). HUD encourages the funding of activities (to the extent
eligible under specific programs) that promote healthy homes, or that
promote education on what is a healthy home. These activities may
include, but are not limited to the following: educating homeowners or
renters about the need to protect children in their home from dangers
that can arise from items such as curtain cords, electrical outlets,
hot water, poisons, fire, and sharp table edges, among others;
incorporating child safety measures in the construction, rehabilitation
or maintenance of housing, which include but are not limited to: child
safety latches on cabinets, hot water protection devices, properly
ventilated windows to protect from mold, window guards to protect
children from falling, proper pest management to prevent cockroaches
which can cause asthma, and activities directed to control of lead-
based paint hazards. The National Lead Information Hotline is 1-800-
424-5323.

VII. Findings and Certifications

(A) Environmental Impact
This SuperNOFA provides funding under, and does not alter the
environmental requirements of 24 CFR parts 582, 583, and 882, subpart H
(Continuum of Care Program); part 574 (HOPWA Program); and part 891
(Section 202 Supportive Housing for the Elderly Program and Section 811
Program of Supportive Housing for Persons with Disabilities).
Accordingly, under 24 CFR 50.19(c)(5), this SuperNOFA is categorically
excluded from environmental review under the National Environmental
Policy Act of 1969 (42 U.S.C. 4321). Activities under this SuperNOFA
are subject to the environmental review provisions that are specified
in the Environmental Requirements paragraph in each program section of
this SuperNOFA.
(B) Federalism, Executive Order 12612
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that the policies
contained in this SuperNOFA will not have substantial direct effects on
States or their political subdivisions, or on the relationship between
the Federal Government and the States, or on the distribution of power
and responsibilities among the various levels of government.
Specifically, the SuperNOFA solicits applicants to expand their role in
addressing community development needs in their localities, and does
not impinge upon the relationships between the Federal government and
State and local governments. As a result, the

[[Page 23996]]

SuperNOFA is not subject to review under the Order.
(C) Prohibition Against Lobbying Activities
Applicants for funding under this SuperNOFA are subject to the
provisions of section 319 of the Department of Interior and Related
Agencies Appropriation Act for Fiscal Year 1991, 31 U.S.C. 1352 (the
Byrd Amendment), which prohibits recipients of Federal contracts,
grants, or loans from using appropriated funds for lobbying the
executive or legislative branches of the Federal Government in
connection with a specific contract, grant, or loan. Applicants are
required to certify, using the certification found at Appendix A to 24
CFR part 87, that they will not, and have not, used appropriated funds
for any prohibited lobbying activities. In addition, applicants must
disclose, using Standard Form LLL, ``Disclosure of Lobbying
Activities,'' any funds, other than Federally appropriated funds, that
will be or have been used to influence Federal employees, members of
Congress, and congressional staff regarding specific grants or
contracts. Tribes and tribally designated housing entities (THDEs)
established by an Indian tribe as a result of the exercise of the
tribe's sovereign power are excluded from coverage of the Byrd
Amendment, but tribes and TDHEs established under State law are not
excluded from the statute's coverage.)
(D) Section 102 of the HUD Reform Act; Documentation and Public Access
Requirements
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and the
regulations codified in 24 CFR part 4, subpart A, contain a number of
provisions that are designed to ensure greater accountability and
integrity in the provision of certain types of assistance administered
by HUD. On January 14, 1992 (57 FR 1942), HUD published a notice that
also provides information on the implementation of section 102. The
documentation, public access, and disclosure requirements of section
102 apply to assistance awarded under this SuperNOFA as follows:
(1) Documentation and public access requirements. HUD will ensure
that documentation and other information regarding each application
submitted pursuant to this SuperNOFA are sufficient to indicate the
basis upon which assistance was provided or denied. This material,
including any letters of support, will be made available for public
inspection for a 5-year period beginning not less than 30 days after
the award of the assistance. Material will be made available in
accordance with the Freedom of Information Act (5 U.S.C. 552) and HUD's
implementing regulations in 24 CFR part 15.
(2) Disclosures. HUD will make available to the public for 5 years
all applicant disclosure reports (HUD Form 2880) submitted in
connection with this SuperNOFA. Update reports (also Form 2880) will be
made available along with the applicant disclosure reports, but in no
case for a period less than 3 years. All reports--both applicant
disclosures and updates--will be made available in accordance with the
Freedom of Information Act (5 U.S.C. 552) and HUD's implementing
regulations at 24 CFR part 5.
(3) Publication of Recipients of HUD Funding. HUD's regulations at
24 CFR 4.7 provide that HUD will publish a notice in the Federal
Register on at least a quarterly basis to notify the public of all
decisions made by the Department to provide:
(i) Assistance subject to section 102(a) of the HUD Reform Act; or
(ii) Assistance that is provided through grants or cooperative
agreements on a discretionary (non-formula, non-demand) basis, but that
is not provided on the basis of a competition.
(E) Section 103 HUD Reform Act
HUD's regulations implementing section 103 of the Department of
Housing and Urban Development Reform Act of 1989 (42 U.S.C. 3537a),
codified in 24 CFR part 4, apply to this funding competition. The
regulations continue to apply until the announcement of the selection
of successful applicants. HUD employees involved in the review of
applications and in the making of funding decisions are limited by the
regulations from providing advance information to any person (other
than an authorized employee of HUD) concerning funding decisions, or
from otherwise giving any applicant an unfair competitive advantage.
Persons who apply for assistance in this competition should confine
their inquiries to the subject areas permitted under 24 CFR part 4.
Applicants or employees who have ethics related questions should
contact the HUD Ethics Law Division at (202) 708-3815. (This is not a
toll-free number.) For HUD employees who have specific program
questions, the employee should contact the appropriate field office
counsel, or Headquarters counsel for the program to which the question
pertains.

VIII. The FY 1998 SuperNOFA Process and Future HUD Funding Processes

In FY 1997, Secretary Cuomo took the first step in changing HUD's
funding process to better promote comprehensive, coordinated approaches
to housing and community development. In FY 1997, the Department
published related NOFAs on the same day or within a few days of each
other. In the individual NOFAs published in FY 1997, HUD advised that
additional steps on NOFA coordination may be considered for FY 1998.
The three SuperNOFAs to be published for FY 1998 represent the
additional step taken by HUD to improve HUD's funding process and
assist communities to make better use of available resources through a
coordinated approach. This new SuperNOFA process was developed based on
comments received from HUD clients and the Department believes it
represents a significant improvement over HUD's approach to the funding
process in prior years. For FY 1999, HUD may take even further steps to
enhance this process. HUD welcomes comments from applicants and other
members of the public on this process, and how it may be improved in
future years.
The description of program funding available under this third
SuperNOFA for Targeted Housing and Homeless Assistance Programs
follows.

Dated: April 23, 1998.
Saul N. Ramirez, Jr.,
Acting Deputy Secretary.

4210-32-P

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

[[Page 23997]]

[GRAPHIC] [TIFF OMITTED] TN30AP98.019

BILLING CODE 4210-32-C

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

[[Page 23999]]

Funding Availability for Continuum of Care Homeless Assistance
Programs--Supportive Housing Program (SHP), Shelter Plus Care
(S+C), Section 8 Moderate Rehabilitation Single Room Occupancy
Program for Homeless Individuals (SRO)

Program Description: The process of developing a Continuum of Care
system to assist homeless persons is part of the community's larger
effort of developing a Consolidated Plan. For a community to
successfully address its often complex and interrelated problems,
including homelessness, the community must marshall its varied
resources--community and economic development resources, social service
resources, housing and homeless assistance resources--and use them in a
coordinated and effective manner. The Consolidated Plan serves as the
vehicle for a community to comprehensively identify each of its needs
and to coordinate a plan of action for addressing them.
Approximately $700 million is being competed for the Continuum of
Care Homeless Assistance Programs. For this competition, approximately
$640 million is available in FY 1998, and it is anticipated that up to
an additional $60 million may be made available in FY 1999, subject to
appropriations. Any unobligated funds from previous competitions or
additional funds that may become available as a result of deobligations
or recaptures from previous awards may be used in addition to 1998
appropriations to fund applications submitted in response to this
program section of this SuperNOFA.
The funds available under this program section of this SuperNOFA
can be used under any of three programs that can assist in creating
community systems for combating homelessness. The three programs are:
(1) Supportive Housing; (2) Shelter Plus Care; and (3) Section 8
Moderate Rehabilitation for Single Room Occupancy Dwellings for
Homeless Individuals. The chart in the Attachment to this program
section of this SuperNOFA summarizes key aspects of the programs.
Program descriptions are contained in the applicable regulations cited
in the chart.
As in previous funding availability announcements for the Continuum
of Care Homeless Assistance Programs, amounts for each of the three
programs will not be specified this year. Instead, the distribution of
funds among the three programs will depend on locally determined
priorities and overall demand. HUD reserves the right to fund less than
the full amount requested in any application to ensure the fair
distribution of the funds and to ensure the purposes of these homeless
programs are met.
Application Due Date: Completed applications (an original
containing the original signed documentation and two copies) are due
before 12:00 midnight, Eastern time, on August 4, 1998 to the addresses
shown below. See the General Section of this SuperNOFA for specific
procedures governing the form of application submissions (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Electronic Submission: Applicants are highly encouraged to use a
special supplement to HUD's new Community Planning Software to prepare
the application. The special supplement has been programmed to produce
the charts and narratives that will meet both the requirements of the
homelessness sections of the Consolidated Plan and the identical
requirements of the Continuum of Care application. The supplement will
also produce the necessary project-specific information. If you choose
to use the supplement to prepare your Continuum of Care application,
you will submit the required information on 3\1/2\'' computer
diskettes, together with a paper copy of the entire application
including the signed cover sheet (SF-424), all required certifications
and other signed documentation, by the deadline. Please submit three
copies of these materials, as directed in the ADDRESSES FOR SUBMITTING
APPLICATIONS section below. The supplement may be obtained at no charge
by contacting the SuperNOFA Information Center by phone or internet as
specified below.

Addresses for Submitting Applications

To HUD Headquarters. The original completed application (containing
the original signed documentation) must be submitted to: Special Needs
Assistance Programs Office, Room 7270, Office of Community Planning and
Development, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410, Attention: Continuum of Care
Programs.
To the Appropriate CPD Field Office. Two copies of the completed
application must also be submitted to the Community Planning and
Development Division of the appropriate HUD Field Office for the
applicant's jurisdiction. Field Office copies must be received by the
deadline date 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.
When submitting your application please refer to Continuum of Care
Programs, and include your name, mailing address (including zip code)
and telephone number (including area code).

For Application Kits, Further information, and Technical Assistance

Application Kits. For a copy of the application package, please
call the SuperNOFA Information Center at 1-800-HUD-8929 (voice) or 1-
800-483-2209 (TTY), or contact by Internet at http://www.HUD.gov.
For Further Information. For answers to your questions, you may
call the HUD Field Office serving your area, at the telephone number
shown in the application kit for this program, or you may contact the
Community Connections Information Center at 1-800-998-9999 (voice) or
1-800-483-2209 (TTY) or by Internet at: http://www.comcon.org/
ccprog.html.
Technical Assistance. Prior to the application deadline, HUD staff
will be available to provide general guidance, but not guidance in
actually preparing the application. HUD field office staff will also be
available to help identify organizations in your community that are
involved in developing the Continuum of Care system and, in the case of
renewals, to determine the HUD final year amount (e.g., leasing,
supportive services and operations for SHP, and rental assistance for
S+C). 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 or Annual Contributions Contract by
HUD. However, between the application deadline and the announcement of
conditional selections, HUD will accept no information that would
improve the substantive quality of the application pertinent to the
funding decision.

Additional Information

I. Authority; Purpose; Prioritizing

(A) Authority

The Supportive Housing Program is authorized by title IV, subtitle
C, of the Stewart B. McKinney Homeless Assistance Act (McKinney Act),
42 U.S.C. 11381. Funds made available under this program section of the
SuperNOFA for the Supportive Housing Program are subject to the program
regulations at 24 CFR part 583.
The Shelter Plus Care program is authorized by title IV, subtitle
F, of the McKinney Act, 42 U.S.C. 11403. Funds made available under
this program section of the SuperNOFA for the

[[Page 24000]]

Shelter Plus Care program are subject to the program regulations at 24
CFR part 582.
The Section 8 Moderate Rehabilitation Program for Single Room
Occupancy Dwellings for Homeless Individuals (SRO) is authorized by
section 441 of the McKinney Act, 42 U.S.C. 11401. Funds made available
under this NOFA for the SRO program are subject to the program
regulations at 24 CFR part 882, subpart H.

(B) Purpose: Develop Continuum of Care Systems

The purpose of the Continuum of Care Homeless Assistance Programs
is to fund projects that will fill gaps in locally developed Continuum
of Care systems to assist homeless persons move to self-sufficiency and
permanent housing. A Continuum of Care system consists of four basic
components:
(1) A system of outreach and assessment for determining the needs
and conditions of an individual or family who is homeless;
(2) Emergency shelters with appropriate supportive services to help
ensure that homeless individuals and families receive adequate
emergency shelter and referral to necessary service providers or
housing finders;
(3) Transitional housing with appropriate supportive services to
help those homeless individuals and families who are not prepared to
make the transition to permanent housing and independent living; and
(4) Permanent housing, or permanent supportive housing, to help
meet the long-term needs of homeless individuals and families.
A Continuum of Care system is developed through a community-wide or
region-wide process involving nonprofit organizations (including those
representing persons with disabilities), government agencies, other
homeless providers, housing developers and service providers, private
foundations, neighborhood groups, and homeless or formerly homeless
persons. It should address the specific needs of each homeless
subpopulation: the jobless, veterans, persons with serious mental
illnesses, persons with substance abuse issues, persons with HIV/AIDS,
persons with multiple diagnoses, victims of domestic violence, youth,
and any others.
The community process used in developing a Continuum of Care system
must include interested veteran service organizations, particularly
veteran service organizations with specific experience in serving
homeless veterans, in order to ensure that the Continuum of Care system
addresses the needs of homeless veterans.
High scores under the Continuum of Care scoring criteria will be
assigned to applications that demonstrate the achievement of two basic
goals:
Have maximum participation by non-profit providers of
housing and services; homeless and formerly homeless persons; state and
local governments and agencies; veteran service organizations;
organizations representing persons with disabilities; the private
sector; housing developers; foundations and other community
organizations.
Create, maintain, and build upon a community-wide
inventory of housing and services for homeless families and
individuals; identify the full spectrum of needs of homeless families
and individuals; and coordinate efforts to obtain resources,
particularly resources sought through this program section of the
SuperNOFA, to fill gaps between the current inventory and existing
needs. This inventory must appropriately address all aspects of the
continuum, especially permanent housing.
In deciding the geographic area to be covered by a Continuum of
Care strategy, applicants should be aware that the single most
important factor in receiving funding under this competition will be
the strength of the Continuum of Care strategy when measured against
the Continuum of Care criteria described in this SuperNOFA. In
determining what jurisdictions to include in a Continuum of Care
strategy area, the applicant should include only those jurisdictions
that are involved in the development and implementation of the
Continuum of Care strategy.
Applicants should also be aware that the more jurisdictions
included in a Continuum of Care strategy area, the larger the pro rata
need share that will be allocated to the strategy area (as described in
Section III(A)(4) of this program section of the SuperNOFA). However,
it would be a mistake to include jurisdictions that are not fully
involved in the development and implementation of the Continuum of Care
strategy since this would adversely affect the Continuum of Care score.
Because most rural counties have extremely small pro rata need shares,
they may wish to consider working with larger groups of contiguous
counties to develop a region-wide or multi-county Continuum of Care
strategy covering the combined service areas of these counties.
Since the basic concept of a Continuum of Care strategy is the
creation of a single, coordinated, inclusive homeless assistance system
for an area, the areas covered by Continuum of Care strategies should
not overlap. If there are cases where the Continuum of Care strategies
geographically overlap to the extent that they are essentially
competing with each other, projects in the applications/Continuum of
Care that receive the highest score out of the possible 60 points for
Continuum of Care will be eligible for up to 40 points under Need.
Projects in the competing applications/Continuum of Care with the less
effective Continuum of Care strategies will be eligible for only 10
points under Need. In no case will the same geography be used more than
one time in assigning Need points. The local HUD field office can help
applicants determine if any of the area proposed for inclusion by one
Continuum of Care system is also likely to be claimed under another
Continuum of Care system in this competition.

(C) Prioritizing

Priority decisions are best made through a locally-driven process
and are key to the ultimate goal of reducing homelessness. As was done
in 1997, this year's application (1998) instructs that all projects
proposed for funding under this program section of the SuperNOFA be
listed in priority order from the highest priority to the lowest.
Generally, this priority order will mean, for example, that if funds
are only available to award 8 of 10 proposed projects, then funding
will be awarded to the first eight projects listed. HUD expects
nonprofit organizations to be given a fair role in establishing these
priorities.
This priority list will be used in awarding up to 40 points per
project under the ``Need'' scoring criteria. Higher priority projects
will receive more points under Need than lower priority projects. If a
complete project priority chart is not submitted for the continuum,
then all projects will receive the lowest score for Need.
Project renewals. Consistent with the Continuum of Care approach,
HUD funds that are needed to continue grants that will be expiring in
1999 (Supportive Housing grants, Supportive Housing Demonstration
Program grants, SAFAH grants, and Shelter Plus Care grants, as
described below) will only be available through the competitive process
described in this program section of the SuperNOFA.
The need for the continuation of previously funded projects must be
considered in the local needs analysis process and a decision should be
made locally on the priority to assign to the continuation of a
project. HUD will not fund renewals out of order on the priority list.
It is important that the

[[Page 24001]]

applicant, regardless of the priority assigned to expiring projects,
has fully considered how persons currently being served by those
projects will continue to be served, and has addressed this issue in
its gap analysis. In last year's competition, numerous renewal projects
that were not assigned top priority by a locality did not receive
funding. To the extent a community desires to have such projects
renewed, it should give them the top priorities on the priority
projects listing in the application. Since renewal projects receive no
special consideration during the review, it is important that they meet
minimum project eligibility, capacity, and quality standards identified
in this program section of the SuperNOFA or they will be rejected. For
the renewal of a Supportive Housing Program project, Supportive Housing
Demonstration Program project or SAFAH project, you may request funding
for one (1), two (2) or three (3) years. The amount of this request can
be up to the total of HUD grant funds for leasing, operations, and
supportive services approved for the final year of the expiring grant's
term. For the renewal of a Shelter Plus Care project, the grant term is
fixed at five (5) years as required by statute. You may request up to
the amount determined by multiplying the number of units under lease at
the time of application for renewal funding under this SuperNOFA by the
applicable current Fair Market Rent(s) by 60 months. While full funding
of existing grants may be requested, there is no guarantee that the
entire amount will be awarded.
This program section of the SuperNOFA is not applicable to the
renewal of funding under the SRO program. For further guidance on SRO
renewals, please contact your local HUD Field Office.
Applicants eligible to apply for renewal of a grant are only those
that have executed a grant agreement for the project directly with HUD.
Project sponsors or subrecipients who have not signed such an agreement
are not eligible to serve as applicant for renewal of these projects.
The local HUD field office can provide assistance in determining
eligibility to apply for project renewal. To be considered an applicant
when applying as part of a consolidated application, the eligible
applicant must submit an originally signed HUD Form SF-424 and the
necessary certifications and assurances.

II. Application Requirements

The application kit provides the application materials, including
Form SF-424 and certifications, that must be used in applying for
homeless assistance under this SuperNOFA. These application materials
substitute for the forms, certifications, and assurances listed in
Section II(G) of the General Section of the SuperNOFA.
The application requires a description of the Continuum of Care
system and proposed project(s). It also contains certifications that
the applicant will comply with fair housing and civil rights
requirements, program regulations, and other Federal requirements, and
(where applicable) that the proposed activities are consistent with the
HUD-approved Consolidated Plan of the applicable State or unit of
general local government, including the Analysis of Impediments to Fair
Housing and the Action Plan to address these impediments. Projects
funded under this SuperNOFA shall operate in a fashion that does not
deprive any individual of any right protected by the Fair Housing Act
(42 U.S.C. 3601-19), section 504 of the Rehabilitation Act of 1973 (29
U.S.C. 794) or the Americans With Disabilities Act of 1990 (42 U.S.C.
12101 et seq.) Section II(D) of the General Section of this SuperNOFA
regarding Affirmatively Furthering Fair Housing does not apply to the
Continuum of Care Homeless Assistance programs.
There are three options for submitting an application under this
program section of the SuperNOFA.
One: A ``Consolidated Application'' is submitted when a
jurisdiction (or a consortium of jurisdictions) submits a single
application encompassing a Continuum of Care strategy and containing
all the projects within that strategy for which funding is being
requested. Individual projects are contained within the one
consolidated application. Grant funding may go to one entity which then
administers all funded projects submitted in the application, or under
this option, grant funding may go to all or any of the projects
individually. Your application will specify the grantee for each
project.
Two: ``Associated Applications'' are submitted when applicants plan
and organize a single Continuum of Care strategy which is adopted by
project sponsors or operators who choose to submit separate
applications for projects while including the identical Continuum of
Care strategy. In this case, project funding would go to each
successful applicant individually and each would be responsible to HUD
for administering its separate grant.
Three: A ``Solo Application'' is submitted when an applicant
applies for a project exclusive of participation in any community-wide
or region-wide Continuum of Care development process.
Options one and two are not substantively different and will be
considered equally competitive. Applicants are advised that projects
that are not a part of a Continuum of Care strategy will receive few,
if any, points under the Continuum of Care rating criteria.

III. Application Selection Process

(A) Review, Rating and Conditional Selection

HUD will use the same review, rating, and conditional selection
process for all three programs (S+C, SRO, and SHP). The standard
factors for award identified in the General Section of this SuperNOFA
have been modified in this program section as described below. Only the
criteria described in this program section--Continuum of Care and
Need--will be used to assign points. To review and rate applications,
HUD may establish panels, including persons not currently employed by
HUD, to obtain certain expertise and outside points of view, including
views from other Federal agencies. Two types of reviews will be
conducted. Paragraphs (1) and (2) below describe threshold reviews and
paragraphs (3) and (4) describe criteria--Continuum of Care and Need--
that will be used to assign points. Up to 104 points (including bonus
points and points for the court-ordered consideration described in
Section III(C)(1) and (2) of the General Section of the SuperNOFA) will
be assigned using these criteria.
(1) Applicant and sponsor eligibility and capacity. Applicant and
project sponsor capacity will be reviewed to ensure the following
eligibility and capacity standards are met. If HUD determines these
standards are not met, the project will be rejected from the
competition.
The applicant must be eligible to apply for the specific
program;
The applicant must demonstrate that there is sufficient
knowledge and experience to carry out the project(s). With respect to
each proposed project, this means that in addition to knowledge of and
experience with homelessness in general, the organization carrying out
the project, its employees, or its partners, must have the necessary
experience and knowledge to carry out the specific activities proposed,
such as housing development, housing management, and service delivery;
If the applicant or project sponsor is a current or past
recipient of assistance under a HUD McKinney Act program or

[[Page 24002]]

the HUD Single Family Property Disposition Homeless Program, there must
be no project or construction delay, HUD finding, or outstanding audit
finding of a material nature regarding the administration of HUD
McKinney Act programs or the HUD Single Family Property Disposition
Homeless Program; and
The applicant and project sponsors must be in compliance
with applicable civil rights laws and Executive Orders, and must meet
the threshold requirements of Section II(B) of the General Section of
the SuperNOFA.
(2) Project eligibility and quality. Each project will be reviewed
to determine if it meets the following eligibility and threshold
quality standards. If HUD determines the following standards are not
met by a specific project or activity, the project or activity will be
rejected from the competition.
The population to be served must meet the eligibility
requirements of the specific program, as described in the application
instructions;
The activity(ies) for which assistance is requested must
be eligible under the specific program, as described in the program
regulations;
The housing and services proposed must be appropriate to
the needs of the persons to be served. HUD may find a project to be
inappropriate if:

--The type and scale of the housing or services clearly does not fit
the needs of the proposed participants (e.g., housing homeless families
with children in the same space as homeless individuals, or separating
members of the same family, without an acceptable rationale provided);
--Participant safety is not addressed;
--The housing or services are clearly designed to principally meet
emergency needs rather than helping participants achieve self-
sufficiency;
--Transportation and community amenities are not available and
accessible; or
--Housing accessibility for persons with disabilities is not provided
as required by applicable laws;

The project must be cost-effective in HUD's opinion,
including costs associated with construction, operations, and
administration, with such costs not deviating substantially from the
norm in that locale for the type of structure or kind of activity;
Supportive services only projects, and all others, must
show how participants will be helped to access permanent housing and
achieve self-sufficiency;
For the Section 8 SRO program, at least 25 percent of the
units to be assisted at any one site must be vacant at the time of
application; and
For those projects proposed under the SHP innovative
category: Whether or not a project is considered innovative will be
determined on the basis that the particular approach proposed is new to
the area, is a sensible model for others, and can be replicated.
(3) Continuum of Care. Up to 60 points will be awarded as follows:
(a) Process and Strategy. Up to 30 points will be awarded based on
the extent to which the application demonstrates:
The existence of a quality and inclusive community
process, including organizational structure(s), for developing and
implementing a Continuum of Care strategy which includes nonprofit
organizations (such as veterans service organizations, organizations
representing persons with disabilities, and other groups serving
homeless persons), State and local governmental agencies, other
homeless providers, housing developers and service providers, private
foundations, local businesses and the banking community, neighborhood
groups, and homeless or formerly homeless persons, as articulated in
Section I(D) of this program section of the SuperNOFA; and
That a quality and comprehensive strategy has been
developed which addresses the components of a Continuum of Care system
(i.e., outreach, intake, and assessment; emergency shelter;
transitional housing; permanent and permanent supportive housing) and
that strategy has been designed to serve all homeless subpopulations in
the community (e.g., seriously mentally ill, persons with multiple
diagnoses, veterans, persons with HIV/AIDS), including those persons
living in emergency shelters, supportive housing for homeless persons,
or in places not designed for, or ordinarily used as, a regular
sleeping accommodation for human beings.
(b) Gaps and Priorities. Up to 20 points will be awarded based on
the extent to which the application:
Describes the gap analysis performed, uses reliable
information and sources that are presented completely and accurately,
and establishes the relative priority of homeless needs identified in
the Continuum of Care strategy; and
Proposes projects that are consistent with the priority
analysis described in the Continuum of Care strategy, describes a fair
project selection process, explains how gaps identified through the
analysis are being addressed, and correctly completes the priority
chart.
In reviewing a community's Continuum of Care and determining the
points to assign, HUD will consider whether the community took its
renewal needs into account in preparing its project priority list.
(c) Supplemental Resources. Up to 10 points will be awarded based
on the extent to which the application demonstrates leveraging of funds
requested under this program section of the SuperNOFA with other
resources, including private, other public, and mainstream services and
housing programs.
(d) EZ/EC bonus points. As provided for in Section III(C)(1) of the
General Section of this SuperNOFA, a bonus of up to 2 points will be
added to the Continuum of Care score when some proposed homeless
assistance projects will be located within the boundaries and/or will
principally serve the residents of a federal Empowerment Zone,
Enterprise Community or Enhanced Enterprise Community (collectively
``EZ/EC'') if priority placement will be given by the project to
homeless persons living on the streets or in shelters within the EZ/EC,
or whose last known address was within the EZ/EC. In order for a
Continuum of Care system to receive any of the bonus points, the
applicant must specifically state how it meets the EZ/EC bonus
criterion, and provide a narrative describing the extent of the
linkages and coordination between proposed projects and the EZ/EC. The
greater the extent of EZ/EC involvement in and coordination with the
implementation strategy for the Continuum of Care system and projects,
the greater the likelihood that bonus points will be awarded.
(e) Court-ordered consideration. Section III(C)(2) of the General
Section is applicable to this program.
(4) Need. Up to 40 points will be awarded for need. There is a
three-step approach to determining the need scores to be awarded to
projects:
(a) Determining relative need: To determine the homeless assistance
need of a particular jurisdiction, HUD will use nationally available
data, including the following factors as used in the Emergency Shelter
Grants program: data on poverty, housing overcrowding, population, age
of housing, and growth lag. Applying those criteria to a particular
jurisdiction provides an estimate of the relative need index for that
jurisdiction compared to other jurisdictions applying for assistance
under this program section of the SuperNOFA.
(b) Applying relative need: That relative need index is then
applied to the total amount of funding estimated to

[[Page 24003]]

be available under this program section of the SuperNOFA to determine a
jurisdiction's pro rata need. HUD reserves the right to adjust pro rata
need, if necessary, to address the issue of project renewals.
(c) Awarding need points to projects: Once the pro rata need is
established, it is applied against the priority project list in the
application. Starting from the highest priority project, HUD proceeds
down the list to include those projects whose total funding equals that
jurisdiction's pro rata need. Those priority projects which fall within
that pro rata need each receive the full 40 points for need.
Thereafter, HUD proceeds further down the priority project list until
two (2) times the pro rata need is reached and each of those projects
receive 20 points. Remaining projects each receive 10 points. If a
project priority chart is not submitted for the continuum, then all
projects will receive 10 points for Need.
In the case of competing applications from a single jurisdiction or
service area, projects in the application that received the highest
score out of the possible 60 points for Continuum of Care are eligible
for up to 40 points under Need. Projects in the competing applications
with lower Continuum of Care scores are eligible for only 10 points
under Need.
(5) Ranking. The score for Continuum of Care will be added to the
Need score in order to obtain a total score for each project. The
projects will then be ranked from highest to lowest according to the
total combined score.
(6) Conditional Selection and Adjustments to Funding.
(a) Conditional Selection. Whether a project is conditionally
selected, as described in Section IV below, will depend on its overall
ranking compared to others, except that HUD reserves the right to
select lower rated eligible projects that are part of comprehensive,
coordinated, and inclusive Continuum of Care systems that would not
otherwise receive funding if necessary to achieve geographic diversity.
When insufficient funds remain to fund all projects having the same
total score, HUD will break ties by comparing scores received by the
projects for each of the following scoring factors, in the order shown:
Need, Overall Continuum of Care (COC) score, COC Process and Strategy,
COC Gaps and Priorities, and COC Supplemental Resources. The final tie-
breaking factor is the priority number of the competing projects on the
applicable COC priority list(s).
(b) Adjustments to Funding. HUD may adjust funding of applications
in accordance with the provisions of Section III(E) of the General
Section of the SuperNOFA. HUD also reserves the right to ensure that a
project that is applying for and eligible for selection under this
competition is not awarded funds that duplicate activities.
(7) Additional selection considerations. HUD will also apply the
limitations on funding described below in making conditional
selections.
In accordance with section 429 of the McKinney Act, HUD will award
Supportive Housing funds as follows: not less than 25 percent for
projects that primarily serve homeless families with children; not less
than 25 percent for projects that primarily serve homeless persons with
disabilities; and not less than 10 percent for supportive services not
provided in conjunction with supportive housing. After projects are
rated and ranked, based on the criteria described above, HUD will
determine if the conditionally selected projects achieve these minimum
percentages. If not, HUD will skip higher-ranked projects in a category
for which the minimum percent has been achieved in order to achieve the
minimum percent for another category. If there are an insufficient
number of conditionally selected projects in a category to achieve its
minimum percent, the unused balance will be used for the next highest-
ranked approvable Supportive Housing project.
In accordance with section 463(a) of the McKinney Act, as amended
by the Housing and Community Development Act of 1992, at least 10
percent of Shelter Plus Care funds will be awarded for each of the four
components of the program: Tenant-based Rental Assistance; Sponsor-
based Rental Assistance; Project-based Rental Assistance; and Section 8
Moderate Rehabilitation of Single Room Occupancy Dwellings for Homeless
Individuals (provided there are sufficient numbers of approvable
projects to achieve these percentages). After projects are rated and
ranked, based on the criteria described below, HUD will determine if
the conditionally selected projects achieve these minimum percentages.
If necessary, HUD will skip higher-ranked projects for a component for
which the minimum percent has been achieved in order to achieve the
minimum percent for another component. If there are an insufficient
number of approvable projects in a component to achieve its minimum
percent, the unused balance will be used for the next highest-ranked
approvable Shelter Plus Care project.
In accordance with section 455(b) of the McKinney Act, no more than
10 percent of the assistance made available for Shelter Plus Care in
any fiscal year may be used for programs located within any one unit of
general local government. In accordance with section 441(c) of the
McKinney Act, no city or urban county may have Section 8 SRO projects
receiving a total of more than 10 percent of the assistance made
available under this program. HUD is defining the 10 percent
availability this fiscal year as $10 million for Shelter Plus Care and
$10 million for Section 8 SRO. However, if the amount awarded under
either of these two programs exceeds $100 million, then the amount
awarded to any one unit of general local government (for purposes of
the Shelter Plus Care program) or city or urban county (for the
purposes of the SRO program) could be up to 10 percent of the actual
total amount awarded for that program.
Lastly, HUD reserves the right to reduce the amount of a grant if
necessary to ensure that no more than 10 percent of assistance made
available under this program section of the SuperNOFA will be awarded
for projects located within any one unit of general local government or
within the geographic area covered by any one Continuum of Care. If HUD
exercises a right it has reserved under this program section of the
SuperNOFA, that right will be exercised uniformly across all
applications received in response to this program section of the
SuperNOFA.

IV. Funding Award Process

HUD will notify conditionally selected applicants in writing. As
necessary, HUD will subsequently request them to submit additional
project information, which may include documentation to show the
project is financially feasible; documentation of firm commitments for
cash match; documentation showing site control; information necessary
for HUD to perform an environmental review, where applicable; and such
other documentation as specified by HUD in writing to the applicant,
that confirms or clarifies information provided in the application.
SHP, SRO, S+C and S+C/SRO applicants will be notified of the deadline
for submission of such information. If an applicant is unable to meet
any conditions for fund award within the specified timeframe, HUD
reserves the right not to award funds to the applicant, but instead to
either: use them to select the next highest ranked application(s) from
the original competition for which there are sufficient funds
available; or add them to funds available for the next competition for
the applicable program.

[[Page 24004]]

V. Program Limitations

(A) SRO Program

Applicants need to be aware of the following limitations that apply
to the Section 8 SRO program:
Under section 8(e)(2) of the United States Housing Act of
1937, no single project may contain more than 100 assisted units;
Under 24 CFR 882.802, applicants that are private
nonprofit organizations must subcontract with a Public Housing
Authority to administer the SRO assistance;
Under section 8(e)(2) of the United States Housing Act of
1937 and 24 CFR 882.802, rehabilitation must involve a minimum
expenditure of $3000 for a unit, including its prorated share of work
to be accomplished on common areas or systems, to upgrade conditions to
comply with the Housing Quality Standards.
Under section 441(e) of the McKinney Act and 24 CFR
882.805(d)(1), HUD publishes the SRO per unit rehabilitation cost limit
each year to take into account changes in construction costs. This cost
limitation applies to rehabilitation that is compensated for in a
Housing Assistance Payments Contract. For purposes of Fiscal Year 1998
funding, the cost limitation is raised from $16,900 to $17,200 per unit
to take into account increases in construction costs during the past
12-month period.

(B) Shelter Plus Care/Section 8 SRO Component

With regard to the SRO component of the Shelter Plus Care program,
applicant States, units of general local government and Indian tribes
must subcontract with a Public Housing Authority to administer the
Shelter Plus Care assistance. Also with regard to this component, no
single project may contain more than 100 units.

VI. Timeliness Standards

Applicants are expected to initiate their approved projects
promptly. If implementation difficulties occur, applicants need to be
aware of the following timeliness standards:

(A) Supportive Housing Program

HUD will deobligate SHP funds if site control has not been
demonstrated within one (1) year after initial notification of the
grant award, as provided in 24 CFR 583.320(a), subject to the
exceptions noted in that regulation.
Except where HUD finds that delay was due to factors
beyond the control of the grantee, HUD may deobligate SHP funds if the
grantee does not meet the following additional timeliness standards:

--Construction activities must begin within eighteen (18) months after
initial notification of the grant award and be completed within thirty-
six (36) months after that notification.
--For activities that cannot begin until construction activities are
completed, such as supportive service or operating activities that will
be conducted within the building being rehabilitated or newly
constructed, these activities must begin within three (3) months after
the construction is completed.
--For all activities that may proceed independent of construction
activities, these activities must begin within twelve (12) months after
initial notification of the grant award.

(B) Shelter Plus Care Program Components Except SRO Component

Except where HUD finds that delay was due to factors beyond the
control of the grantee, HUD will deobligate S+C funds if the grantee
does not meet the following timeliness standards:
For Tenant-based Rental Assistance, for Sponsor-based
Rental Assistance, and for Project-based Rental Assistance without
rehabilitation, the rental assistance must begin within twelve (12)
months of the initial announcement of the grant award.
For Project-based Rental Assistance with rehabilitation,
the rehabilitation must be completed within twelve (12) months of
initial notification of the grant award.

(C) SRO Program and SRO Component of the Shelter Plus Care Program

For projects carried out under the SRO program and the SRO
component of the S+C program, the rehabilitation work must be completed
and the Housing Assistance Payments contract executed within twelve
(12) months of execution of the Annual Contributions Contract. HUD may
reduce the number of units or the amount of the annual contribution
commitment if, in the determination of HUD, the Public Housing
Authority fails to demonstrate a good faith effort to adhere to this
schedule.

VII. Linking Supportive Housing Programs and AmeriCorps

Applicants for the Supportive Housing Program are encouraged to
link their proposed projects with AmeriCorps, a national service
program engaging thousands of Americans on a full or part-time basis to
help communities address their toughest challenges, while earning
support for college, graduate school, or job training. For information
about AmeriCorps SHP partnerships, call the Corporation for National
Service at (202) 606-5000 extension 486.

VIII. Other Matters

(A) Corrections to Deficient Applications

The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications (See Section V of the General
Section).

(B) Environmental Requirements

All Continuum of Care assistance is subject to the National
Environmental Policy Act of 1969 and related Federal environmental
authorities. No Federal or non-Federal funds or assistance that limits
reasonable choices or could produce a significant adverse environmental
impact may be committed to a project until all required environmental
reviews and notifications have been completed. Conditional selection of
projects under the Continuum of Care Program is subject to the
environmental review requirements under 24 CFR 582.230, 583.230, and
882.804(c), as applicable.

(C) Section 3

To the extent that any housing assistance (including rental
assistance) funded through this program section of the SuperNOFA is
used for housing rehabilitation (including reduction and abatement of
lead-based paint hazards, but excluding routine maintenance, repair,
and replacement) or housing construction, then it is subject to section
3 of the Housing and Urban Rehabilitation Act of 1968, and the
implementing regulations at 24 CFR part 135. Section 3, as amended,
requires that economic opportunities generated by certain HUD financial
assistance for housing and community development programs shall, to the
greatest extent feasible, be given to low- and very low-income persons,
particularly those who are recipients of government assistance for
housing, and to businesses that provide economic opportunities for
these persons.

BILLING CODE 4210-32-P

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

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BILLING CODE 4210-32-C

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

[[Page 24009]]

Housing Opportunities for Persons With AIDS (HOPWA)

Program Description: Approximately $20,150,000 is available for
housing assistance and supportive services under the Housing
Opportunities for Persons With AIDS (HOPWA) program.
Application Due Date: Completed applications must be submitted no
later than 12:00 midnight, Eastern time, on July 10, 1998 at HUD
Headquarters. See the General Section of this SuperNOFA for specific
procedures governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications: The completed original
application must be submitted to: Processing and Control Branch, Office
of Community Planning and Development, Department of Housing and Urban
Development, 451 Seventh Street, SW, Room 7251, Washington, DC 20410.
The original application submitted to HUD headquarters is considered
the official application.
In addition, two (2) copies of this application must also be
submitted to the area CPD Field Office or Offices that serve the area
in which activities are proposed; the list of addresses for area CPD
Field Offices is provided in the HOPWA application kit. An applicant
that proposes nationwide activities should file the two copies with
their original with the HUD headquarters office. When submitting your
applications, please refer to HOPWA, and include your name, mailing
address (including zip code) and telephone number (including area
code).

For Application Kits, Further Information and Technical Assistance

For an application kit, supplemental information, and technical
assistance please call the SuperNOFA Information Center at 1-800-HUD-
8929 (1-800-483-8929). Persons with hearing or speech impairments may
call the Center's TTY number at 1-800-483-2209. The application kit
also will be available on the Internet through the HUD web site at
http://www.HUD.gov. When requesting an application kit, please refer to
HOPWA and provide your name, address (including zip code), and
telephone number (including area code).

Additional Information

I. Authority; Purpose; Amount Allocated; and Eligibility

(A) Authority

This program is authorized under the AIDS Housing Opportunity Act
(42 U.S.C. 12901). The regulations for HOPWA are found at 24 CFR part
574.

(B) Purpose

Under selection procedures established in Section II of this NOFA,
the funds available under this NOFA will be used to fund projects for
low-income persons with HIV/AIDS and their families under two
categories of assistance:
(1) Grants for Special Projects of National Significance (SPNS)
that, due to their innovative nature or their potential for
replication, are likely to serve as effective models in addressing the
housing and related supportive service needs of eligible persons; and
(2) Grants for projects that are part of Long-Term Comprehensive
Strategies (Long-Term) for providing housing and related supportive
services for eligible persons in areas that are not eligible for HOPWA
formula allocations.

(C) Amount Allocated

Approximately $20,150,000 is being made available by this NOFA.
Additional funds may be awarded if funds are recaptured, deobligated,
appropriated or otherwise made available during the fiscal year.
(1) Maximum grant amounts. The maximum amount that an applicant may
receive is $1,000,000 for program activities (e.g., activities that
directly benefit clients). An applicant may also 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. In addition, up to $50,000 may be requested to
collect data on project outcomes. HUD reserves the right to reduce the
amount requested for data collection on project outcomes in relation to
the amount requested for program activities.
For example, an applicant that proposes to use $1,000,000 for
housing assistance could 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 if the sponsors carry out that assistance) and
$50,000 for data collection. 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.
(2) Award modifications. See the General Section of this SuperNOFA
for information with regard to adjustments to funding. HUD also
reserves the right to ensure that a project that is applying for and
eligible for selection under this and other competitions, including the
FY 1998 Continuum of Care Homeless Assistance NOFA, is not awarded
funds that duplicate activities.

(D) Eligible Applicants

(1) States, units of general local government, and nonprofit
organizations may apply for grants for Special Projects of National
Significance.
(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 1998. An appendix in the
application kit will describe the formula 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.
The HOPWA regulations at 24 CFR 574.3 provide for a definition of
nonprofit organization, and eligibility of these organizations is
further addressed in the application kit.

(E) Eligible Activities

The following eligible activities are subject to standards and
limitations found in 24 CFR part 574:
(1) Housing information services (including fair housing
counseling).
(2) Project-based or tenant-based rental assistance.
(3) New construction of a community residence or SRO dwelling.
(4) Acquisition, rehabilitation, conversion, lease or repair of
facilities to provide housing and services.
(5) Operating costs for housing.
(6) Short-term rent, mortgage and utility payments to prevent
homelessness.
(7) Supportive services.
(8) Administrative expenses.
(9) Resource identification and technical assistance;
Under this NOFA, applicants may propose to operate technical
assistance

[[Page 24010]]

and/or resource identification activities that help communities and
organizations develop housing resources for persons with HIV/AIDS and
their families. Generally, this assistance can be used to help
communities to improve community-based needs assessments, undertake
multiple-year HIV/AIDS housing planning, enhance facility operations
and refine other management practices of organizations that provide or
plan to provide housing assistance and/or related supportive services
for persons living with HIV/AIDS and their families. This assistance
can also be used to provide support for HOPWA project sponsors in the
form of advice and training. These activities should help build the
capacity of sponsors to undertake housing development, to operate
housing programs, and use of funds in compliance with the Consolidated
Planning Process and the Grants Management System. Funds may be used to
provide assistance in developing community-based needs assessments and
assistance for State-wide, metropolitan, nonmetropolitan and/or rural
areas in development of area multiyear HIV and AIDS housing plans, and
for research and information services. Applications to provide
technical assistance and resource identification on a national or
multijurisdictional basis also may be proposed.
HUD has received community recommendations that the program place
additional emphasis on assistance in the planning, development, and
operation of projects as well as in undertaking the evaluation of
performance from grantees and project sponsors that have been
administering HOPWA formula allocations and/or competitive grants. The
proposed use of funds for technical assistance and resource
identification would also help respond to these recommendations; and
(10) Other activities that are proposed in an application and
approved by HUD, including data collection on project outcomes;
however, HUD will not approve proposals that depend on future decisions
on how funds are to be used, for example, a proposal to establish a
local request-for-proposal process to select sponsors and activities.
Project Outcomes. Under item (10), applicants are encouraged to
apply for funds to collect data on project outcomes, particularly
client outcomes. In addition, data may be collected on changes to
housing and supportive services delivery systems as a result of the
model project, including changes resulting from any innovative
features. A plan for the collection of data and the reporting of
information on project outcomes to HUD should be provided by applicants
requesting funds for this purpose.
In offering funds for outcomes data collection, this NOFA
recognizes the importance of collecting information on model and
innovative projects to support further improvements and reforms to the
local assistance programs for persons with HIV/AIDS and their families
and to be used in national evaluations.
As noted above in Section I(C)(1), an applicant may request up to
$50,000 to collect information and report to HUD, or a third party
designated by HUD, on project outcomes.
If funds are requested, the applicant must propose data collection
activities in their application. The persons who will conduct these
activities may include expert third-party assistance. Generally, this
person will help a project:
(a) Define monitoring questions that will be addressed and examined
during the project period;
(b) Specify outcome measures;
(c) Develop instruments to assess project outcomes and systems
outcomes;
(d) Train project staff in the collection of the data, including
preparation of standard Annual Progress Reports to HUD;
(e) Monitor data collection activities to assure that submissions
are complete and accurate, including data coding and entry;
(f) Summarize the data collected; and
(g) Prepare reports summarizing findings.

II. Program Requirements

(A) Performance Measures and Project Goals and Objectives

Applicants should establish and describe performance goals and
objectives that are important in developing the proposed projects and
that will be used to evidence accomplishments under the HOPWA
performance measures. These goals and objectives (i.e., specific,
achievable and time-limited statements) will be a basis for a review of
project outcomes and help establish the nature of possible findings
that would be disseminated to the benefit of other projects.
As standard, program-wide performance measures, applicants should
use the following:
(1) In the area to be served, increase the number of short-term
housing units (that may include access to related supportive services)
by an estimated ``xx'' by the end of the program year. For example, a
transitional program that provides five units that are used in
conjunction with drug and/or alcohol abuse treatment and counseling
and/or mental health services with a plan for client outplacement to
other housing.
(2) In the area to be served, increase the number of permanent
housing units by an estimated ``xx'' by the end of the program year.
For example, a program designed to offer 25 rental vouchers and
assistance to participants in finding housing with access to service
components that could assist clients in maintaining daily living
activities through an appropriate range of support.

(B) Performance Benchmarks

Funds received under this competition are expected to be expended
within 3 years following the date of the signing of a grant agreement.
As a condition of the grant, selected projects are expected to
undertake activities based on the following performance benchmarks:
(1) 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);
(2) 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 18 months of their
selection and to complete the activity within 3 years of that date; and
(3) 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, HUD 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.

(C) Availability of FY 1998 Formula Allocations

In FY 1998, a total of $183.6 million was allocated by formula to
the qualifying cities for 59 eligible metropolitan statistical areas
(EMSAs) and to 29 eligible States for areas outside of EMSAs. All HOPWA
formula grants are available as part of the jurisdiction's Consolidated
Plan, which also includes the Community Development Block Grant, HOME
Investment Partnerships program, and Emergency Shelter Grants. Plans
are

[[Page 24011]]

developed through a public process that assesses area needs, creates a
multiple-year strategy and proposes an action plan for use of Federal
funds and other community resources in a coordinated and comprehensive
manner. Information on consolidated planning, including HOPWA formula
programs, is available on the HUD HOME Page at www.hud.gov/cpd/
cpdallst.html.

III. Application Selection Process

(A) HOPWA Application Reviews

HOPWA Applications will be reviewed to ensure that they meet the
threshold requirements found in Section II of the General Section of
the Super NOFA. Applications will also be reviewed to ensure that:
(1) A Certification of Consistency with Consolidated Plans is
provided. Under the HOPWA program, proposed activities that are located
in a jurisdiction are required to be consistent with the jurisdiction's
current, approved Consolidated Plan, including the Analysis of
Impediments to Fair Housing and the Action Plan to address these
impediments, except that this certification is not required for
projects that propose to undertake activities on a national basis; and
(2) The applicant is currently in compliance with the Federal
requirements contained in 24 CFR part 574, subpart G, ``Other Federal
Requirements.''

(B) The HOPWA Competition

This national competition will involve the review, rating, and
selection of HOPWA applications under each of the two categories of
assistance (Special Projects of National Significance (SPNS), and Long-
Term Comprehensive Strategies (Long-Term) in areas that do not qualify
for HOPWA formula allocations).

(C) Procedures for the Rating of Applications

HOPWA applications will be rated based on the criteria listed
below. The rating factors are common for all applications, except that
some elements are specific for an application that is submitted under
the Special Projects of National Significance category, and other
elements are specific for an application that is submitted under the
second category for Projects that are part of Long-Term Comprehensive
Strategies in areas that do not qualify for HOPWA formula allocations.

(D) Factors for Award Used To Evaluate and Rate Applications

The factors for rating and ranking applicants, and maximum points
for each factor, are provided below. The points awarded for the factors
total 100. In addition, bonus points available under Section III(C)(2)
of the General Section of this SuperNOFA apply to this competition.
After rating, these applications will be placed in the rank order of
their final score for selection within the appropriate category of
assistance.
Rating Factor 1: Capacity of the Applicant and Project Sponsors and
Relevant Organizational Experience (20 Points)
This factor addresses the extent to which the applicant and any
project sponsor has the organizational resources necessary to
successfully implement the proposed activities in a timely manner.
HUD will award up to 20 points based on the ability of the
applicant and any project sponsor 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.
(1) 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;
(c) Experience and knowledge in monitoring and evaluating program
performance and disseminating information on project outcomes; and
(d) The applicant's past experience as measured by expenditures and
measurable progress in achieving the purpose for which funds were
provided.
(2) In reviewing the elements of paragraph (1), HUD will consider
the extent to which the proposal demonstrates:
(a) The knowledge and experience of the proposed project director
and staff, including the day-to-day program manager, consultants and
contractors in planning and managing the kind of activities for which
funding is being requested. The applicant and any project sponsor will
be judged in terms of recent, relevant and successful experience of
their staff to undertake eligible program activities, including
experience and knowledge in serving persons with HIV/AIDS and their
families.
(b) The applicant's and/or sponsor's experience in managing complex
interdisciplinary programs, especially those involving housing and
community development programs directly relevant to the work activities
proposed and carrying out grant management responsibilities.
(c) If the applicant and/or sponsor received funding in previous
years in the program area for which they are currently seeking funding,
the applicant's or sponsor's past experience will be evaluated in terms
of their ability to attain demonstrated measurable progress in the
implementation of their recent grant awards, as measured by
expenditures and measurable progress in achieving the purpose for which
funds were provided.
Rating Factor 2: Need/Extent of the Problem (20 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities and an indication of the
urgency of meeting the need in the target area. For up to 15 points,
HUD will award points as follows under paragraphs (1) to (3), and 5
points under paragraph (4).
(1) (5 Points) AIDS Cases. Up to five of these points will be
determined by the relative numbers of AIDS cases and per capita AIDS
incidence, in metropolitan areas of over 500,000 population and in
areas of a State outside of these metropolitan areas, in the State for
proposals involving state-wide activities, and in the nation for
proposals involving nation-wide activities. To determine these points,
HUD will obtain AIDS surveillance information from the Director of the
Centers for Disease Control and Prevention.
(2) (5 Points) Description of Need. Up to five of these points will
be determined by the extent to which there is a need for funding
eligible activities in the area to be served. The applicant should
demonstrate that the area to be served has an urgent and unmet need in
the eligible population, as follows:
(a) The applicant should describe in its application for a proposed
Special Project of National Significance, the need that is not
currently addressed by other projects or programs in the area, any
unresolved or emerging issues, and/or the need to provide new or
alternative forms of assistance that enhance area systems of housing
and related care for persons living with HIV/AIDS and their families;
or
(b) The applicant should describe in its application for a proposed
project that is part of a Long-Term Comprehensive Strategy in an area
that does not receive a HOPWA formula allocation, the need that is not
currently addressed by other projects or programs in the area, any
unresolved or emerging issues, and/or the need to provide forms

[[Page 24012]]

of assistance that enhance the community's strategy for providing
housing and related services to eligible persons.
HUD will consider the application's presentation of statistics and
data sources based on soundness and reliability and the specificity of
information to the target population and the area to be served. To the
extent that the jurisdiction's Consolidated Plan and Analysis of
Impediments to Fair Housing Choice, Continuum of Care Homeless
Assistance plans, comprehensive HIV/AIDS housing plans and other
sources are applicable and identify the level of the problem and the
urgency in meeting the need, references to these documents should be
included in the response. If the application proposes to serve a
subpopulation of eligible persons on the basis that these persons have
been traditionally underserved, the application must document the need
for this targeted effort.
(3) (5 Points) Need in Non-Formula Areas and for Renewals. Within
the points available under this criterion, HUD will award points under
the following two circumstances:
(a) An application that proposes to serve clients in an area that
does not qualify for HOPWA formula allocation. HUD recognizes that the
clients in these areas that benefit under the proposed project do not
have access to HOPWA formula allocations that distribute 90 percent of
the annual appropriation for this program; or
(b) An application that proposes 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 shows that
previous HOPWA-funded activities have been carried out and are nearing
completion of the planned activities in a timely manner. The applicant
should also show that performance reports were provided and 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.
(4) (5 Points) Highest Rated in a State or the Nation (for
nationwide activities). After the other rating factors have been
determined, HUD will award five of the points to help achieve greater
geographic diversity in funding activities within a variety of States.
Under this criterion, five points will be awarded to the highest rated
application under each category in each State and to the highest rated
application among the applications that propose nationwide activities.
(5) Up to two (2) additional points will be awarded to any
application submitted by the City of Dallas, Texas, to the extent this
subfactor is addressed. Due to an order of the U.S. District Court for
the Northern District of Texas, Dallas Division, with respect to any
application submitted by the City of Dallas, Texas, HUD's consideration
of this subfactor will consider the extent to which the applicant's
plan for the use of HOPWA funds will be used to eradicate the vestiges
of racial segregation in the Dallas Housing Authority's programs
consistent with the Court's order.
Rating Factor 3: Soundness of Approach: Responsiveness and Model
Qualities (40 Points)
This factor addresses the quality of the applicant's proposed plan
in providing a clear relationship between the proposed activities,
community needs and the purpose of the program funding. HUD will award
up to 40 points based on the extent to which the proposal shows a
soundness in its approach to assisting HOPWA eligible persons.
(1) (20 Points) Responsiveness. Of the points available under this
criteria, HUD will award up to 20 points based on the proposal's
responsiveness to the needs of clients. HUD will consider the extent to
which the proposed activities address area needs for the project. The
proposal should demonstrate that:
(a) The proposed activities respond to the need for housing and
related supportive services for eligible persons in the community.
Under this NOFA, HUD is requiring that an application that proposes to
use HOPWA funds for supportive services only should clearly demonstrate
that the housing needs of eligible persons in the area are addressed
through other means to ensure that the proposal fits within the
purposes of this program;
(b) The proposed activities will offer a personalized r

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A98-11400. Public record. Not legal advice.