Super Notice of Funding Availability (SuperNOFA) for Housing and Community Development Programs
Federal RegisterMar 31, 1998
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SUMMARY: This Super NOFA of Funding Availability (SuperNOFA) announces
the availability of approximately $1,247,906,870 in HUD program funds
covering nineteen (19) Housing and Community Development Programs
operated and managed by the following HUD Offices: Community Planning
and Development (CPD), Public and Indian Housing (PIH), Housing, Policy
Development and Research (PD&R), Office of Lead Hazard Control, and
Fair Housing and Equal Opportunity (FHEO). The General Section of this
SuperNOFA contains the procedures and requirements applicable to all 19
programs. The applications for funding for these programs have been
consolidated into 6 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, local 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 pm. (Please see the Appendix A to this SuperNOFA
listing the hours of operations for the HUD Field Offices.)
COPIES OF APPLICATIONS TO HUD OFFICES: The Programs Section of this
SuperNOFA may specify that to facilitate processing and review of your
submission a copy of the application also be sent to an additional HUD
location (for example, a copy to the HUD Field Office 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.
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 may
be submitted with any additional application submitted by the
applicant.
For Further Information. For answers to your questions about this
SuperNOFA, you have several options. You may call the HUD Office or
Processing Center serving your area at the telephone number listed in
your program area section to this SuperNOFA, or you may contact the
SuperNOFA Information Center at 1-800-HUD-8929. Persons with hearing or
speech impairment may call the Center's TTY number at 1-800-483-2209.
Information on this SuperNOFA also may be obtained through the HUD web
site on the Internet at http://www.HUD.gov.
For Technical Assistance. Before the application due date, HUD
staff will be available to provide general guidance
[[Page 15491]]
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 39 programs and cut across traditional
program lines.
(1) The first is this SuperNOFA and consolidated application
process for Housing and Community Development Programs, published in
today's Federal Register, covering 19 Housing and Community Development
Programs.
(2) The second is the SuperNOFA and consolidated application
process for Economic Development and Empowerment Programs. This second
SuperNOFA includes funding for the following programs and initiatives:
Brownfields; Youthbuild; Economic Development Initiative; Neighborhood
Initiatives; Tenant Opportunity Program, Economic Development and
Supportive Services; and the Section 8 Family Self-Sufficiency Service
Coordinators.
(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;
Section 202 Elderly Housing; Section 811 Disabled Housing; Service
Coordinators; Section 8 Designated Housing; Section 8 Mainstream
Housing Opportunities; Family Unification; and Elderly Housing
Revitalization.
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 39 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. HUD is
anticipating publishing all three SuperNOFAs before May 1, 1998.
The National Competition NOFA. In addition to the three SuperNOFAs,
HUD also will publish 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. HUD also anticipates publishing this
national competition NOFA before May 1, 1998.
The Housing and Community Development SuperNOFA. This first
SuperNOFA announces the availability of approximately $1,247,906,870 in
HUD program funds covering nineteen (19) Housing and Community
Development Programs operated and managed by the following HUD Offices:
Community Planning and Development (CPD), Public and Indian Housing
(PIH), Housing, Policy Development and Research (PD&R), Office of Lead
Hazard Control, and Fair Housing and Equal Opportunity (FHEO).
Assisting Communities To Make Better Use of Available Resources
This first SuperNOFA represents 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 the 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 provides for significant management reforms at HUD. This plan
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 nineteen 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 housing and community
development assistance programs can benefit from having this
information made available in one NOFA.
Coordination, Flexibility, and Simplicity in the HUD Funding Process
This SuperNOFA 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
[[Page 15492]]
and Analysis of Impediments to Fair Housing Choice (``Analysis of
Impediments'' (AI)).
This SuperNOFA will simplify the application process; promote
effective and coordinated use of program funds in communities; reduce
duplication in the delivery of services and housing and community
development programs; allow interested applicants to seek to deliver a
wider, more integrated array of services; and improve the system for
potential grantees to be aware of, and compete for program funds.
HUD encourages applicants to work together to coordinate and, to
the maximum extent possible, join their activities to form a seamless
and comprehensive program of assistance to meet identified needs in
their communities, and address barriers to fair housing and equal
opportunity that have been identified in the community's Consolidated
Plan and Analysis of Impediments in the geographic area(s) in which
they are seeking assistance.
As part of the simplification of this funding process, and to avoid
duplication of effort, the SuperNOFA provides for consolidated
applications for several of the programs for which funding is available
under this NOFA. HUD programs that provide assistance for similar
activities, e.g., technical assistance, drug elimination, modernization
and revitalization, 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 nineteen 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
nineteen separate programs continue to apply to each programs. 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 nineteen 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 awards, 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 nineteen 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.
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Funding
Program name available Due date Submission location and room
----------------------------------------------------------------------------------------------------------------
Community Development Technical Assistance $82,395,140 6-24-98 HUD Headquarters Processing and
Programs. Control Branch, Room 7251 and
copies to appropriate CPD Field
Offices.
Community Development Block Grant (CDBG) 5,000,000
Technical Assistance.
CFDA No.: 14.227
OMB Approval No.: pending
Community Housing Development Organization 42,000,000
(CHDO) Technical Assistance.
CFDA No: 14.239
OMB Approval No.: pending
HOME Technical Assistance................. 31,000,000
CFDA No: 14.239
OMB Approval No.: pending
Supportive Housing Program (SHP) Technical 4,395,140
Assistance.
CFDA No.: 14.235
OMB Approval No.: pending
University and College Programs............... 13,500,000 7-8-98 HUD Headquarters, Processing and
Control Branch, Room 7251, and
Appropriate Field Offices where
noted in Programs Section.
Community Outreach Partnership Centers 7,000,000
(COPCs).
CFDA No.: 14.511
OMB Approval No.: 2528-0180
Historically Black Colleges and 6,500,000
Universities (HBCUs) Program.
CFDA No.: 14.237
OMB Approval No.: 2506-0122
Fair Housing Initiatives and Assisted Housing 29,500,000 6-1-98 HUD Headquarters Room 5234,
Counseling Programs. except if only applying for
Assisted Housing Counseling.
Education and Outreach Initiative (EOI)... 1,000,000
[[Page 15493]]
CFDA No.: 14.409
OMB Approval No.: 2529-0033
Private Enforcement Initiative (PEI)...... 9,300,000
CFDA No.: 14.410
OMB Approval No.: 2529-0033
Fair Housing Organizations Initiative 1,200,000
(FHOI).
CFDA No.: 14.413
OMB Approval No.: 2529-0033
Housing Counseling Program................ 18,000,000 .............. Appropriate HUD Field Office.
Local Housing Counseling Agencies
($5,000,000)
National, Regional and Multi-
State Intermediaries ($6,000,000)
State Housing Finance Agencies
($7,000,000)
CFDA No.: 14.169
OMB Approval No: 2502-0261
Lead-Based Paint Hazard Control Program....... 50,000,000 6-1-98 Postal Service: HUD
Headquarters, Office of Lead
Hazard Control, Room B-133
Courier Service or Hand
Carried: HUD Office of Lead
Hazard Control, 490 East
L'Enfant Plaza, S.W., Suite
3206, Washington, DC 20024.
CFDA No.: 14.900
OMB Approval No.: 2539-0005
Modernization and Revitalization Programs..... 745,762,796 6-29-98 HUD Headquarters, Room 4138, and
copies to appropriate Local HUD
Field Office, where noted in
the Programs Section.
Comprehensive Improvement Assistance 304,000,000
Program (CIAP).
CFDA No.: 14.852
OMB Approval No.: 2577-0044
HOPE VI Public Housing Revitalization..... 441,762,796
CFDA No.: 14.866
OMB Approval No.: 2577-0208
Drug Elimination in Public and Assisted 326,748,934 6-15-98 Appropriate local Field Office
Housing Programs. except if only applying for
Drug Elimination TA.
Public Housing Drug Elimination Program *288,498,934
(Including Youth Sports Eligible
Activities).
CFDA No.: 14.854
OMB Approval No.: 2577-0124
Public Housing Drug Elimination Program-- 20,000,000
New Approaches (Formerly Safe
Neighborhood Grant).
CFDA No.: 14.854
OMB Control No.: 2577-0124
Drug Elimination Grants for Multifamily 16,250,000
Low Income Housing.
CFDA No.: 14.193
OMB Approval No.: 2502-0476
Public Housing Drug Elimination Program- 2,000,000 HUD Headquarters, Room 4112.
Technical Assistance.
CFDA No.: 14.854
OMB Approval No: 2577-0124
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*This amount includes $44,935,934 in FY 97 funds for applicants not funded in 1997.
Paperwork Reduction Act Statement. For those programs listed in the
chart above which have OMB approval numbers, the information collection
requirements contained in this SuperNOFA for those programs have been
approved by the Office of Management and Budget (OMB) in accordance
with the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). For
those programs listed in the chart for which an OMB approval number is
pending, the approval number when received will be announced by HUD in
the Federal Register. An agency may not conduct or sponsor, and a
person is not required to respond to, a collection of information
unless the collection displays a valid control number.
General Section of the SuperNOFA
I. Authority; Purpose; Amount Allocated; Eligible Applicants and
Eligible Activities
(A) Authorities
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.
[[Page 15494]]
(2) Simplify and streamline the application process for funding
under HUD programs. By making available to State and local governments,
public housing agencies, tribal governments, non-profit organizations
and others, the application requirements for HUD housing and community
development programs in one NOFA, HUD hopes that the result will be a
less time consuming and less complicated application process. This new
process also allows an applicant to submit one application for funds
for several programs. Except where statutory or regulatory requirements
or program policy mandate differences, the SuperNOFA strives to provide
for one set of rules, standardized rating factors, and uniform and
consolidated application procedures.
(3) Enhance the ability of applicants to make more effective and
efficient use of housing and community development funding when
addressing community needs and implementing coordinated housing and
community development strategies established in local Consolidated
Plans, which is the single application for HUD housing and community
development and other formula funds submitted by the local or State
government. Through this SuperNOFA process, applicants are encouraged
to: (i) create opportunities for strategic planning and citizen
participation in a comprehensive context at the local level in order to
establish a full continuum of housing and services; and (ii) promote
methods for developing more coordinated and effective approaches to
dealing with urban, suburban, and rural problems by recognizing the
interconnections among the underlying problems and ways to address them
through layering of available HUD programs;
(4) Promote the ability of eligible non-profit organizations to
participate in many of the programs contained in this SuperNOFA;
provide an increased opportunity to assist communities in maintaining,
rehabilitating, and constructing affordable housing for low and
moderate income families; improve the quality of life for residents of
public housing; develop and implement programs which promote fair
housing practices and open housing opportunities within a community or
geographic area; and provide technical assistance and services to
improve program results and increase the productivity of HUD programs
in meeting community needs; and
(5) Recognize and make better use of the expertise that each of the
programs, and organizations eligible for funding under this SuperNOFA,
can contribute when developing and implementing local housing and
community development plans, the Consolidated Plan, and the HUD
required Analysis of Impediments to Fair Housing Choice.
(C) Amounts Allocated
The amounts allocated to specific programs in this SuperNOFA are
based on appropriated funds. Should recaptured funds become available
in any program, HUD reserves the right to increase the available
funding amounts by the amount of funds recaptured.
(D) Eligible Applicants and Eligible Activities
The eligible applicants and eligible activities for each program
are identified and described for the program in the Programs Section of
the SuperNOFA.
II. Requirements and Procedures Applicable to All Programs
Except as may be modified in the Programs Section of this Super
NOFA, or as noted within the specific provisions of this Section II,
the following principles apply to all programs. Please be sure to read
the program area section of the SuperNOFA for additional requirements
or information.
(A) Statutory Requirements
All applicants must meet and comply with all statutory and
regulatory requirements applicable to the program for which they are
seeking funding in order to be awarded funds. Copies of the regulations
are available from the SuperNOFA Information Center or through the
Internet at http://www.HUD.gov. HUD may reject an application from
further funding consideration if the activities or projects proposed
are ineligible, or HUD may eliminate the ineligible activities from
funding consideration and reduce the grant amount accordingly.
(B) Threshold Requirements--Compliance With Fair Housing and Civil
Rights Laws
All applicants, with the exception of Federally recognized Indian
tribes, must comply with all Fair Housing and civil rights laws,
statutes, regulations and executive orders as enumerated in 24 CFR
Sec. 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 work plans the
specific steps that they will take to (1) address the elimination of
impediments to fair housing that were identified in the jurisdiction's
Analysis of Impediments (AI) to Fair Housing Choice; (2) remedy
discrimination in housing; or (3) promote fair housing rights and fair
housing choice. Further, applicants have a duty to carry out the
specific activities cited in their responses to the rating factors that
address affirmatively furthering fair housing in the Programs Section
of this SuperNOFA.
(E) Economic Opportunities for Low and Very Low-Income Persons (Section
3)
Certain programs in this SuperNOFA require recipients of HUD
assistance to comply with section 3 of the Housing and Urban
Development Act of 1968, 12 U.S.C. Sec. 1701u (Economic Opportunities
for Lower Income Persons in Connection with Assisted Projects), and the
HUD regulations at 24 CFR part 135, including the reporting
requirements in subpart E. Section 3 provides that recipients shall
ensure that training, employment and other economic opportunities, to
the greatest extent feasible, be directed to (1) low and very low
income persons, particularly those who are recipients of government
assistance for housing and (2) business concerns which provide economic
opportunities to low and very low income persons. Section 3 is
applicable to the following programs in this SuperNOFA: HOPE VI
Revitalization; CIAP; and Lead-Based Paint Hazard Reduction, and may be
applicable to certain activities of other programs of this SuperNOFA.
[[Page 15495]]
(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 or assurances that may be required for 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) and 24 CFR part 85 (Administrative
Requirements for Grants and Cooperative Agreements to State, Local, and
Federally recognized Indian tribal governments) apply to the award,
acceptance and use of assistance under the programs of this SuperNOFA,
and to the remedies for noncompliance, except when inconsistent with
the provisions of the FY 1998 HUD Appropriations Act, other Federal
statutes or the provisions of this SuperNOFA. Compliance with
additional OMB Circulars may be specified for a particular program in
the Programs Section of the SuperNOFA. Copies of the OMB Circulars may
be obtained from EOP Publications, Room 2200, New Executive Office
Building, Washington, DC 10503, telephone (202) 395-7332 (this is not a
toll free number).
(I) Environmental Requirements
For programs under this SuperNOFA that assist physical development
activities or property acquisition, grantees are generally prohibited
from acquiring, rehabilitating, converting, leasing, repairing or
constructing property, or committing or expending HUD or non-HUD funds
for these program activities, until one of the following has occurred:
(1) HUD has completed an environmental review in accordance with 24
CFR part 50; or (2) for programs subject to 24 CFR part 58, HUD has
approved a grantee's Request for Release of Funds (HUD Form 7015.15)
following a Responsible Entity's completion of an environmental review.
Applicants should consult the Programs Section for the applicable
program to determine the procedures for, timing of, and any exclusions
from environmental review under a particular program.
III. Application Selection Process
(A) General
To review and rate applications, HUD may establish panels including
persons not currently employed by HUD to obtain certain expertise and
outside points of view, including views from other Federal agencies.
(1) Rating. All applications for funding in each program listed in
this SuperNOFA will be evaluated and rated against the criteria in this
SuperNOFA. The rating of the ``applicant'' or the ``applicant's
organization and staff'' for technical merit or threshold compliance,
unless otherwise specified, will include any sub-contractors,
consultants, sub-recipients, and members of consortia which are firmly
committed to the project.
(2) Ranking. Applicants will be ranked within each program.
Applicants will be ranked only against others that applied for the same
program funding and where there are set-asides within the competition,
the applicant would only compete against applicants in the same set-
aside competition.
(B) Threshold Requirements
HUD will review each application to determine whether the
application meets all of the threshold criteria described for program
funding made available under this SuperNOFA. Applications that meet all
of the threshold criteria will be eligible to be rated and ranked,
based on the criteria described, and the total number of points to be
awarded.
(C) Factors For Award Used To Evaluate and Rate Applications
For all of the programs for which funding is available under this
SuperNOFA, the points awarded for the factors total 100. The maximum
number of points to be awarded, however, total 102. The SuperNOFA
provides for two bonus points.
(1) Bonus Points. The SuperNOFA provides for the award of two bonus
points for eligible activities/projects that are proposed to be located
in federally designated Empowerment Zones, Enterprise Communities,
Enterprise Communities, or Urban Enhanced Enterprise Communities, and
serve the EZ/EC residents, and are certified to be consistent with the
strategic plan of the EZs and ECs. The application kit contains a
certification which must be
[[Page 15496]]
completed for the applicant to be considered for EZ/EC bonus points. A
listing of the federally designated EZs, 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) The Five Standard Rating Factors. The factors for rating and
ranking applicants are listed in this Section III(c)(2) and maximum
points for each factor, are provided in the Programs Section of the
SuperNOFA. Each applicant should carefully read the factors for award
as described in the program area section that they are seeking funding.
While HUD has established the following basic factors for award, these
may have been modified or adjusted to take into account specific
program needs, or statutory or regulatory limitations imposed on a
program. The standard factors for award, except as modified in the
program area section are:
Factor 1: Capacity of the Applicant and Relevant Organizational Staff
Factor 2: Need/Extent of the Problem
Factor 3: Soundness of Approach
Factor 4: Leveraging Resources
Factor 5: Comprehensiveness and Coordination
(D) Negotiation
After all applications have been rated and ranked and a selection
has been made, in several programs, HUD requires 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 effort involved in 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.
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 Housing and Community
program 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
[[Page 15497]]
Federal Accessibility Standards for a small percentage of units. A
visitable home also serves persons without disabilities, such as a
mother pushing a stroller, or a person delivering a large appliance.
Copies of the UFAS are available from the Office of Fair Housing and
Equal Opportunity, U.S. Department of Housing and Urban Development,
Room 5230, 451 Seventh Street, SW, Washington, DC 20410, telephone
(202) 755-5404 or the TTY telephone number, 1-800-877 8399 (Federal
Information Relay Service).
(D) Developing Healthy Homes
HUD's Healthy Homes Initiative is one of the initiatives developed
by the White House Task Force on Environmental Health Risks and Safety
Risks to Children that was established under Executive Order 13045
(``Protection of Children from Environmental Health Risks and Safety
Risks''). HUD encourages the funding of activities (to the extent
eligible under specific programs) that promote healthy homes, or that
promote education on what is a healthy home. These activities may
include, but are not limited to the following: educating homeowners or
renters about the need to protect children in their home from dangers
that can arise from items such as curtain cords, electrical outlets,
hot water, poisons, fire, and sharp table edges, among others;
incorporating child safety measures in the construction, rehabilitation
or maintenance of housing, which include but are not limited to: child
safety latches on cabinets, hot water protection devices, properly
ventilated windows to protect from mold, window guards to protect
children from falling, proper pest management to prevent cockroaches
which can cause asthma, and activities directed to control of lead-
based paint hazards. The National Lead Information Hotline is 1-800-
424-5323.
VII. Findings and Certifications
(A) Environmental Impact
A Finding of No Significant Impact with respect to the environment
has been made in accordance with HUD regulations at 24 CFR part 50 that
implement section 102(2)(C) of the National Environmental Policy Act of
1969 (42 U.S.C. 4332). The Finding of No Significant Impact is
available for public inspection during regular business hours in the
Office of the General Counsel, Regulations Division, Room 10276, U.S.
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410-0500.
(B) Federalism, Executive Order 12612
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that the policies
contained in this SuperNOFA will not have substantial direct effects on
States or their political subdivisions, or on the relationship between
the Federal Government and the States, or on the distribution of power
and responsibilities among the various levels of government.
Specifically, the SuperNOFA solicits applicants to expand their role in
addressing community development needs in their localities, and does
not impinge upon the relationships between the Federal government and
State and local governments. As a result, the SuperNOFA is not subject
to review under the Order.
(C) Prohibition Against Lobbying Activities
Applicants for funding under this SuperNOFA are subject to the
provisions of section 319 of the Department of Interior and Related
Agencies Appropriation Act for Fiscal Year 1991, 31 U.S.C. 1352 (the
Byrd Amendment), which prohibits recipients of Federal contracts,
grants, or loans from using appropriated funds for lobbying the
executive or legislative branches of the Federal Government in
connection with a specific contract, grant, or loan. Applicants are
required to certify, using the certification found at Appendix A to 24
CFR part 87, that they will not, and have not, used appropriated funds
for any prohibited lobbying activities. In addition, applicants must
disclose, using Standard Form LLL, ``Disclosure of Lobbying
Activities,'' any funds, other than Federally appropriated funds, that
will be or have been used to influence Federal employees, members of
Congress, and congressional staff regarding specific grants or
contracts. Tribes and tribally designated housing entities (THDEs)
established by an Indian tribe as a result of the exercise of the
tribe's sovereign power are excluded from coverage of the Byrd
Amendment, but tribes and TDHEs established under State law are not
excluded from the statute's coverage.)
(D) Section 102 of the HUD Reform Act; Documentation and Public Access
Requirements
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and the
regulations codified in 24 CFR part 4, subpart A, contain a number of
provisions that are designed to ensure greater accountability and
integrity in the provision of certain types of assistance administered
by HUD. On January 14, 1992 (57 FR 1942), HUD published a notice that
also provides information on the implementation of section 102. The
documentation, public access, and disclosure requirements of section
102 apply to assistance awarded under this SuperNOFA as follows:
(1) Documentation and public access requirements. HUD will ensure
that documentation and other information regarding each application
submitted pursuant to this SuperNOFA are sufficient to indicate the
basis upon which assistance was provided or denied. This material,
including any letters of support, will be made available for public
inspection for a 5-year period beginning not less than 30 days after
the award of the assistance. Material will be made available in
accordance with the Freedom of Information Act (5 U.S.C. 552) and HUD's
implementing regulations in 24 CFR part 15.
(2) Disclosures. HUD will make available to the public for 5 years
all applicant disclosure reports (HUD Form 2880) submitted in
connection with this SuperNOFA. Update reports (also Form 2880) will be
made available along with the applicant disclosure reports, but in no
case for a period less than 3 years. All reports--both applicant
disclosures and updates--will be made available in accordance with the
Freedom of Information Act (5 U.S.C. 552) and HUD's implementing
regulations at 24 CFR part 15.
(3) Publication of Recipients of HUD Funding. HUD's regulations at
24 CFR 4.7 provide that HUD will publish a notice in the Federal
Register on at least a quarterly basis to notify the public of all
decisions made by the Department to provide:
(i) Assistance subject to section 102(a) of the HUD Reform Act; or
(ii) Assistance that is provided through grants or cooperative
agreements on a discretionary (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
[[Page 15498]]
involved in the review of applications and in the making of funding
decisions are limited by the regulations from providing advance
information to any person (other than an authorized employee of HUD)
concerning funding decisions, or from otherwise giving any applicant an
unfair competitive advantage. Persons who apply for assistance in this
competition should confine their inquiries to the subject areas
permitted under 24 CFR part 4.
Applicants or employees who have ethics related questions should
contact the HUD Ethics Law Division at (202) 708-3815. (This is not a
toll-free number.) For HUD employees who have specific program
questions, the employee should contact the appropriate field office
counsel, or Headquarters counsel for the program to which the question
pertains.
VIII. The FY 1998 SuperNOFA Process and Future HUD Funding Processes
In FY 1997, Secretary Cuomo took the first step at changing HUD's
funding process to better promote comprehensive, coordinated approaches
to housing and community development. In FY 1997, the Department
published related NOFAs on the same day or within a few days of each
other. In the individual NOFAs published in FY 1997, HUD advised that
additional steps on NOFA coordination may be considered for FY 1998.
The three SuperNOFAs to be published for FY 1998 represent the
additional step taken by HUD to improve HUD's funding process and
assist communities to make better use of available resources through a
coordinated approach. This new SuperNOFA process was developed based on
comments received from HUD clients and the Department believes it
represents a significant improvement over HUD's approach to the funding
process in prior years. For FY 1999, HUD may take even further steps to
enhance this process. HUD welcomes comments from applicants and other
members of the public on this process, and how it may be improved in
future years.
The description of program funding available under this first
SuperNOFA for Housing and Community Development programs follows.
Dated: March 23, 1998.
Saul N. Ramirez, Jr.,
Acting Deputy Secretary.
Table of Contents of HUD Programs in This SuperNOFA
Community Development Technical Assistance Programs
Community Development Block Grant (CDBG) Technical Assistance
Community Housing Development Organization (CHDO) Technical
Assistance
HOME Technical Assistance
Supportive Housing Program (SHP) Technical Assistance
University and College Programs
Community Outreach Partnership Centers
Historically Black Colleges and Universities (HBCUs) Program
Fair Housing Initiatives & Assisted Housing Counseling Programs
Fair Housing Initiative Program (FHIP)--Education and Outreach
Initiative (EOI)
FHIP Private Enforcement Initiative (PEI)
FHIP Fair Housing Organizations Initiative (FHOI)
Housing Counseling Program
Lead Based Paint Hazard Control Program Modernization and
Revitalization Programs
Comprehensive Improvement Assistance Program (CIAP)
HOPE VI Public Housing Revitalization
Drug Elimination in Public and Assisted Housing
Public Housing Drug Elimination Program (Including Youth Sports
Eligible Activities)
Public Housing Drug Elimination Program--New Approaches
Drug Elimination Grants for Multifamily Low-Income Housing
Public Housing Drug Elimination Program Technical Assistance
Appendix A--List of HUD Offices and Hours of Operation
BILLING CODE 4210-32-P
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
[[Page 15499]]
[GRAPHIC] [TIFF OMITTED] TN31MR98.000
BILLING CODE 4210-32-C
[[Page 15500]]
Funding Availability for Community Development Technical Assistance
(TA) Programs--CDBG, CHDO, Home and Supportive Housing
Program Description: Approximately $82.4 million in technical
assistance (TA) funds is available from four separate technical
assistance programs: Community Development Block Grant (CDBG) TA,
Community Housing Development Organization (CHDO) TA, HOME TA and
Supportive Housing TA (collectively ``CD-TA'').
The funding of these four CD-TA programs through a single funding
availability announcement will not affect the ability of eligible
applicants to seek CD-TA funding. Eligible applicants are able to apply
for funding under as few as one, and as many as four, separate CD-TA
programs, individually or collectively, singularly or in combination.
The specific provisions of the four separate CD-TA programs have not
been changed. This Community Development Technical Assistance Programs
section of the SuperNOFA reflects the statutory requirements and
differences in the four different CD-TA programs.
Application Due Date: Completed applications (an original and one
copy) must be submitted no later than 12:00 midnight, Eastern time, on
June 24, 1998. The original application submitted to Headquarters is
considered the official application. A copy of the application also
should be sent to the HUD CPD Field Office or Field Offices in which
you are seeking to provide services. The application kit contains the
addresses and hours of operation for the HUD CPD Field Offices. See the
General Section of this SuperNOFA for specific procedures governing the
form of application submission (e.g., mailed applications, express
mail, overnight delivery, or hand carried).
Addresses for Submitting Applications: The completed original
application to be submitted to HUD Headquarters should be submitted to
U.S. Department of Housing and Urban Development, CPD Processing and
Control Branch, Room 7251, 451 Seventh Street, SW, Washington, DC
20410. The copy of the application to be submitted to the appropriate
CPD Field Office should be sent to the address shown on the list of HUD
CPD Field Offices included in the application kit. When submitting your
application, please refer to the Community Development Technical
Assistance Program. Be sure to include your name, mailing address
(including zip code) and telephone number (including area code).
For Application Kits, Further Information, and Technical Assistance
For Application Kits. For an application kit and any supplemental
information, please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's
TTY number at 1-800-483-2209. When requesting an application kit,
please refer to ``Community Development Technical Assistance
Programs.'' Please be sure to provide your name, address (including zip
code), and telephone number (including area code).
For Further Information and Technical Assistance. For answers to
your questions, you have several options. You may call the HUD CPD
Office serving your area at the telephone number listed in the list of
HUD CPD Field Offices included in the application kit, or you may
contact the SuperNOFA Information Center at 1-800-HUD-8929. Persons
with hearing or speech impairments may call the Center's TTY number at
1-800-483-2209. Information on this SuperNOFA may also be obtained
through the HUD web site on the Internet at http://www:HUD.gov.
Additional Information
I. Authority; Purpose; Amount Allocated; Program Award Period;
Eligible Applicants; Eligible and Ineligible Activities; and Sub-
Grants/Pass-Through Funds.
The Authority, Purpose of the Program, Amount Allocated, Eligible
Applicants, Eligible Activities, Ineligible Activities, and Additional
Program Requirements, as applicable, are delineated under each
technical assistance program area for which funding is being made
available. Applicants should take care in reviewing this section to
ensure they are eligible to apply for funds and that they meet the
additional program requirements and limitations described for each
program.
(A) Authority
CDBG Technical Assistance: The Community Development Block Grant
Technical Assistance Program is authorized under Title I of the Housing
and Community Development Act of 1974 (42 U.S.C. 5301-5320; 24 CFR
570.402).
CHDO Technical Assistance: The CHDO Technical Assistance Program is
authorized by the Home Investment Partnerships Act (42 U.S.C. 12773) 24
CFR part 92.
HOME Technical Assistance. The HOME Technical Assistance Program is
authorized by the Home Investment Partnerships Act (42 U.S.C. 12781-
12783) 24 CFR part 92.
Supportive Housing Program Technical Assistance. The Supportive
Housing Program is authorized under 42 U.S.C. 11381 et seq.; 24 CFR
583.140.
(B) Purpose of the Program
The purposes of the technical assistance programs in this SuperNOFA
are:
Community Development Block Grant Technical Assistance. To increase
the effectiveness with which States and units of general local
government plan, develop and administer their Community Development
Block Grant (CDBG) Programs, including assistance to aid non-profits
and other recipients of CDBG funds.
CHDO Technical Assistance. To provide educational and
organizational support assistance to Community Housing Development
Organizations (CHDOs) to promote their ability to maintain,
rehabilitate and construct housing for low-income and moderate-income
families; to facilitate the education of low-income homeowners and
tenants; and to help women who reside in low- and moderate-income
neighborhoods to rehabilitate and construct housing in the
neighborhoods.
HOME Technical Assistance. To help HOME participating jurisdictions
design and implement HOME programs, including: improving their ability
to design and implement housing strategies and incorporate energy
efficiency into affordable housing; facilitating the exchange of
information to help participating jurisdictions carry out their
programs; facilitating the establishment and efficient operation of
employer-assisted housing programs and of land bank programs; and
encouraging private lenders and for-profit developers of low-income
housing to participate in public-private partnerships.
Supportive Housing Program Technical Assistance. To provide HUD-
funded supportive housing projects with technical assistance to promote
the development of supportive housing and supportive services as part
of a Continuum of Care approach, including innovative approaches to
assist homeless persons in the transition from homelessness, and
promoting the provision of supportive housing to homeless persons to
enable them to live as independently as possible.
(C) Amount Allocated
(1) The amounts allocated for each CD-TA program are as follows:
CDBG TA funds: $5,000,000
[[Page 15501]]
CHDO TA funds: $42,000,000
HOME TA funds: $31,000,000
SHP TA funds: $4,395,140
(2) Each HUD/CPD Field Office has been allocated a ``fair-share''
of CD-TA funds for purposes of this competition. (See CD-TA Appendix A
for the fair share allocations) The amounts are based on workload
allocations of HOME, CDBG and SHP entitlement funds and competitive
programs for which Field Offices have management oversight. These
amounts are only for guidance purposes to applicants in developing
their program budgets by Field Office jurisdiction and are not the
exact amounts to be awarded in each area or to each provider.
The total amount to be awarded to any provider will be determined
by HUD based upon the size and needs of the provider's service area
within each Field Office jurisdiction in which the provider is selected
to operate, the funds available for that area, the number of other
awardees selected in that area, and the scope of the technical
assistance to be provided. Additionally, HUD may reduce the amount of
funds allocated for Field Office jurisdictions to fund national CD-TA
providers and other CD-TA providers for activities which cannot be
budgeted or estimated by Field Office jurisdiction. HUD may require
selected applicants, as a condition of funding, to provide coverage on
a geographically broader basis than applied for in order to supplement
or strengthen the intermediary network in terms of the location
(service area), types and scope of technical assistance proposed.
(3) To the extent permitted by funding constraints, HUD intends to
provide coverage for as full a range, as possible, of eligible CD-TA
activities of each CD-TA program in each Field Office jurisdiction. To
achieve this objective, HUD will fund the highest ranking providers
that bring the required expertise in one or more specialized activity
areas, and fund portions of providers' proposed programs in which they
have the greatest skill and capability for given geographic areas or on
a national basis. HUD also may require national, multi-jurisdictional,
or other providers to provide coverage to Field Office jurisdictions
which cannot otherwise receive cost-effective support from a CD-TA
provider. In selecting applicants for funding, in addition to the
rating factors, HUD will apply program policy criteria identified in
Section III of this CD-TA Program section of SuperNOFA to select a
range of providers and activities that would best serve program
objectives for each program serviced by the CD-TA funded under this
SuperNOFA.
(D) Program Award Period
(1) Cooperative Agreements will be for a period of up to 36 months.
HUD, however, reserves the right to:
(a) Terminate awards in accordance with provisions contained in OMB
Circular A-102, and 24 CFR parts 84 and 85 anytime after 12 months;
(b) Withdraw funds from a specific provider, if HUD determines that
the urgency of need for the assistance is greater in other Field Office
jurisdictions or the need for assistance is not commensurate with the
award for assistance;
(c) Extend the performance period of individual awardees up to a
total of 12 additional months.
(2) In cases where an applicant selected for funding under this
program section of the SuperNOFA currently is providing CD technical
assistance under an existing CD-TA grant/cooperative agreement, HUD
reserves the right to adjust the start date of funding under this
program to coincide with the conclusion of the previous award, or to
incorporate the remaining activities from the previous award into the
new agreement, adjusting the funding levels as necessary.
(E) Eligible Applicants
(1) General. The eligible applicants for each of the four CD-TA
programs are listed in paragraphs (2), (3), and (4) of this Section
(E). This paragraph (1) lists requirements applicable to all
applicants.
(a) Many organizations are eligible to apply for more than one CD-
TA program and are encouraged to do so to the extent they have the
requisite experience, expertise and capability.
(b) All applicant organizations must have demonstrated ability to
provide CD-TA in a geographic area larger than a single city or county
and must propose to serve an area larger than a single city or county.
(c) An organization may not provide assistance to itself, and any
organization funded to assist CHDOs under this CD-TA Program section of
the SuperNOFA may not act as a CHDO itself within its service area
while under award with HUD.
(d) A consortium of organizations may apply for one or more CD-TA
programs, but HUD will require that one organization be designated as
the legal applicant, where legally feasible. Where one organization
cannot be so designated for all proposed activities, HUD may execute
more than one cooperative agreement with the members of a consortium.
(e) All applicants must meet minimum statutory eligibility
requirements for each CD-TA program for which they are chosen in order
to be awarded a cooperative agreement. Copies of the Technical
Assistance program regulations will be provided with the application
kit.
(f) All eligible CD-TA providers may propose assistance using in-
house staff, consultants, sub-contractors and sub-recipients, networks
of private consultants and/or local organizations with requisite
experience and capabilities. Whenever possible, applicants should make
use of technical assistance providers located in the Field Office
jurisdiction receiving services. This draws upon local expertise and
persons familiar with the opportunities and resources available in the
area to be served while reducing travel and other costs associated with
delivering the proposed technical assistance services.
(2) CDBG and Supportive Housing Eligible Applicants.
(a) States and units of general local government.
(b) Public and private non-profit or for-profit groups, including
educational institutions and area-wide planning organizations,
qualified to provide technical assistance on CDBG programs or
Supportive Housing projects. With respect to the CDBG program, an
applicant group must be designated as a technical assistance provider
to a unit of government's CDBG program by the chief executive officer
of each unit to be assisted, unless the assistance is limited to
conferences/workshops attended by more than one unit of government.
(3) CHDO Eligible Applicants. Public and private non-profit
intermediary organizations that customarily provide services (in more
than one community) related to affordable housing or neighborhood
revitalization to CHDOs, or similar organizations that engage in
community revitalization, including all eligible organizations under
section 233 of the Cranston-Gonzalez National Affordable Housing Act,
as amended.
An intermediary will be considered as a primarily single State
technical assistance provider if it can document that more than 50% of
its past activities in working with CHDOs or similar nonprofit and
other organizations (on the production of affordable housing or
revitalization of deteriorating neighborhoods and/or the delivery of
technical assistance to these groups) was confined to the geographic
limits of a single State.
(4) HOME Eligible Applicants.
[[Page 15502]]
(a) A for-profit or non-profit professional and technical services
company or firm that has demonstrated capacity to provide technical
assistance services;
(b) A HOME participating jurisdiction (PJ) or agency thereof;
(c) A public purpose organization responsible to the chief elected
official of a PJ and established pursuant to State or local
legislation;
(d) An agency or authority established by two or more PJs to carry
out activities consistent with the purposes of the HOME program;
(e) A national or regional non-profit organization that has
membership comprised predominantly of entities or officials of entities
of PJs or PJs' agencies or established organizations.
(F) Eligible and Ineligible Activities
Eligible and ineligible activities as appropriate for each of the
four CD-TA programs are listed below:
(1) Community Development Block Grant Technical Assistance.
(a) Eligible Activities. Activities performed with CDBG funds must
meet the substantive nexus test contained in 24 CFR 570.402(a)(2) and
may include:
(i) The provision of technical or advisory services;
(ii) The design and operation of training projects such as
workshops, seminars, conferences, or computer-based training;
(iii) The development and distribution of technical materials and
information;
(iv) Other methods of demonstrating and making available skills,
information and knowledge to assist States, units of general local
government, in planning, developing, administering or assessing
assistance under CDBG programs in which they are participating or
seeking to participate.
(b) Ineligible Activities. Activities for which costs are
ineligible for funding under the Community Development Block Grant
Technical Assistance Program include:
(i) In the case of technical assistance for States, the cost of
carrying-out the administration of the State CDBG program for non-
entitlement communities;
(ii) The cost of carrying out the activities authorized under the
CDBG Program, such as the provision of public services, construction,
rehabilitation, planning and administration for which the technical
assistance is to be provided;
(iii) The cost of acquiring or developing the specialized skills or
knowledge to be provided by a group funded under this section;
(iv) Research activities;
(v) The cost of identifying units of governments needing assistance
(except the cost of selecting recipients of technical assistance under
the provision of 24 CFR 570.402(j) is eligible); or
(vi) Activities designed primarily to benefit HUD, or to assist
HUD, in carrying out the Department's responsibilities; such as
research, policy analysis of proposed legislation, training or travel
of HUD staff, or development and review of reports to Congress.
(2) CHDO Technical Assistance. CHDO Technical Assistance funds may
be used only for the following eligible activities:
(a) Organizational Support--Organizational support assistance may
be made available to community housing development organizations to
cover operational expenses and to cover expenses for training and
technical, legal, engineering and other assistance to the board of
directors, staff, and members of the community housing development
organization;
(b) Housing Education--Housing education assistance may be made
available to community housing development organizations to cover
expenses for providing or administering programs for educating,
counseling, organizing homeowners and tenants who are eligible to
receive assistance under other provisions of the HOME Program;
(c) Program-Wide Support of Nonprofit Development and Management--
Technical assistance, training, and continuing support may be made
available to eligible community housing development organizations for
managing and conserving properties developed under the HOME Program;
(d) Benevolent Loan Funds--Technical assistance may be made
available to increase the investment of private capital in housing for
very low-income families, particularly by encouraging the establishment
of benevolent loan funds through which private financial institutions
will accept deposits at below-market interest rates and make those
funds available at favorable rates to developers of low-income housing
and to low-income homebuyers;
(e) Community Development Banks and Credit Unions--Technical
assistance may be made available to establish privately owned, local
community development banks and credit unions to finance affordable
housing;
(f) Community Land Trusts--Organizational support, technical
assistance, education, training and continuing support under this
subsection may be made available to community land trusts (as such term
is defined in section 233(f) of the Cranston-Gonzalez National
Affordable Housing Act) and to community groups for the establishment
of community land trusts; and
(g) Facilitating Women in Homebuilding Professions--Technical
assistance may be made available to businesses, unions, and
organizations involved in construction and rehabilitation of housing in
low- and moderate-income areas to assist women residing in the area to
obtain jobs involving such activities, which may include facilitating
access by helping such women develop nontraditional skills, recruiting
women to participate in such programs, providing continuing support for
women at job sites, counseling and educating businesses regarding
suitable work environments for women, providing information to such
women regarding opportunities for establishing small housing
construction and rehabilitation businesses, and providing materials and
tools for training such women (in an amount not exceeding 10% of any
assistance provided under this paragraph). The Secretary shall give
priority under this paragraph to providing technical assistance for
organizations rehabilitating single family or multifamily housing owned
or controlled by the Secretary pursuant to title II of the National
Housing Act and which have women members in occupations in which women
constitute 25% or less of the total number of workers in the occupation
(in this section referred to as ``nontraditional occupations'').
(3) HOME Technical Assistance Program. HUD will provide assistance
to:
(a) Facilitate the exchange of information that would help
participating jurisdictions carry out the purposes of the HOME statute,
including information on program design, housing finance, land use
controls, and building construction techniques;
(b) Improve the ability of States and units of local government to
design and implement housing strategies, particularly those States and
units of local government that are relatively inexperienced in the
development of affordable housing;
(c) Encourage private lenders and for-profit developers of low-
income housing to participate in public-private partnerships to achieve
the purposes of the HOME statute;
(d) Improve the ability of States and units of local government,
community
[[Page 15503]]
housing development organizations, private lenders, and for-profit
developers of low-income housing to incorporate energy efficiency into
the planning, design, financing, construction and operation of
affordable housing;
(e) Facilitate the establishment and efficient operation of
employer-assisted housing programs, through research, technical
assistance, and demonstration projects; and
(f) Facilitate the establishment and efficient operation of land
bank programs, under which title to vacant and abandoned parcels of
real estate located in or causing blighted neighborhoods is cleared for
use consistent with the purposes of the HOME statute.
(4) Supportive Housing Program Technical Assistance. Funds are
available to provide technical assistance to HUD-funded Supportive
Housing projects. Funds may be used to provide technical assistance to
prospective applicants, applicants, recipients or other providers
(project sponsors) of Supportive Housing or SHP-funded services for
homeless persons. The assistance may include, but is not limited to,
written information such as papers, monographs, manuals, guides and
brochures; person-to-person exchanges; and training and related costs.
(G) Sub-Grants/Pass-Through Funds
Applicants may propose to make sub-grants to achieve the purposes
of their proposed CD-TA programs in accordance with program
requirements in Section II of this CD-TA Program section of the
SuperNOFA. In the case of CHDO TA, these sub-grants (also called
``pass-through'' funds) may be made for eligible activities and to
eligible entities as identified in Section 233(b)(1), (2), and (7) of
the Cranston-Gonzalez National Affordable Housing Act. When CHDO TA
sub-grants are made to CHDOs, two statutory provisions apply:
(1) The sub-grant amount, when combined with other capacity
building and operating support available through the HOME program,
cannot exceed the greater of 50% of the CHDO's operating budget for the
year in which it receives the funds, or $50,000 annually;
(2) An amount not exceeding 10% of the total funds awarded for the
``Women in the Homebuilding Professions'' eligible activity may be used
to provide materials and tools for training such women.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following
requirements:
(A) Profit/Fee
No increment above cost, no fee or profit, may be paid to any
recipient or subrecipient of an award under this CD-TA Program section
of the SuperNOFA.
(B) Demand/Response Delivery System
(1) All awardees must operate within the structure of the demand/
response system described in this section. They must coordinate their
plans with, and operate under the direction of, each HUD Field Office
within whose jurisdiction they are operating. When so directed by a
Field Office, they will coordinate their activities instead through a
lead CD-TA provider or other organization designated by the Field
Office.
(2) If selected as the lead CD-TA provider in any Field Office
jurisdiction, the awardee must coordinate the activities of other CD-TA
providers selected under this CD-TA Program section of the SuperNOFA
under the direction of the HUD Field Office. Joint activities by CD-TA
providers may be required.
(3) Under the demand/response system, CD-TA providers will be
required to:
(a) When requested by a Field Office or GTR, market the
availability of their services to existing and potential clients to
include local jurisdictions in which the assistance will be delivered.
(b) Respond to requests for assistance from the HUD Field Office(s)
with oversight of the geographic service area for which the technical
assistance will be delivered, including responding to priorities
established by the Field Office in its Grants Management System. CHDOs,
HOME PJs, CDBG and Supportive Housing grantees may request assistance
from the CD-TA provider directly, but such requests must be approved by
the local HUD Field Office.
(c) When requested by a Field Office or GTR, conduct a Needs
Assessment to identify the type and nature of the assistance needed by
the recipients of the assistance. Such needs assessments should
typically identify the nature of the problem to be addressed by the
technical assistance services; the plan of action to address the need
including the type of technical assistance services to be provided, the
duration of the service, the staff assigned to provide the assistance,
anticipated products and/or outcomes, and the estimated cost for the
provision of services; and the relationship of the proposed services to
the planned or expected Consolidated Plan submission to HUD and to
other technical assistance providers providing service within the
locality.
(d) Obtain approval for the Technical Assistance Delivery Plan
(TADP) from the HUD Field Office(s) with oversight for the area in
which service will be provided. (See Section C below).
(e) Work cooperatively with other CD-TA providers in their
geographic areas to ensure that clients are provided with the full
range of CD-TA services needed and available. CD-TA providers are
expected to be knowledgeable about the range of services available from
other providers, make referrals and arrange visits by other CD-TA
providers when appropriate, and carry out CD-TA activities concurrently
when it is cost-effective and in the interests of the client to do so.
HUD Field Offices may direct CD-TA providers to conduct joint
activities.
(C) Technical Assistance Delivery Plan (TADP)
(1) After selection for funding but prior to award, each applicant
must develop a TADP for each Field Office jurisdiction or National
Program for which it has been selected, in consultation with the Field
office and/or GTR.
(2) In developing the TADP, the applicant shall be guided by the
Field Office's management strategies/workplans for each community/State
in the Field Office's jurisdiction. It shall use these management
strategies/workplans in determining its priority work activities,
location of activities, and organizations to be assisted during the
cooperative agreement performance period.
(3) The grantee management strategies/workplans are part of the
Field Office's Grants Management Process (GMP) and should indicate the
issues to be addressed by CD-TA, the improved performance expected as a
result of CD-TA, and methods for measuring the success of the CD-TA.
(4) The TADP must delineate all the tasks and sub-tasks for each CD
program the applicant will undertake in each Field Office jurisdiction.
It shall show the location of the community/State in which the CD-TA
activities will occur, the level of CD-TA funding and proposed
activities by location, the improved program performance or other
results expected from the CD-TA and the methodology to be used for
measuring the success of the CD-TA. A
[[Page 15504]]
time schedule for delivery of the activities, budget-by-task and
staffing plan shall be included in the TADP.
(D) Negotiation
After all applications have been rated and ranked and a selection
has been made, HUD requires that all winners participate in
negotiations to determine the specific terms of the TADP and the
budget. HUD will follow the negotiation procedures described in Section
III(D) of the General Section of the SuperNOFA.
(E) Forms, Certifications and Assurances
Each applicant must submit (1) the forms, certifications and
assurances listed in the General Section of this SuperNOFA, and after
selection for funding but prior to award (2) the CDBG Nexus Statement
(where applicable).
(F) Financial Management and Audit Information
After selection for funding but prior to award, each applicant must
submit a certification from an Independent Public Accountant or the
cognizant government auditor, stating that the financial management
system employed by the applicant meets prescribed standards for fund
control and accountability required by 24 CFR part 84 for Institutions
of Higher Education and other Non-Profit Institutions, 24 CFR part 85
for States and local governments, or the Federal Acquisition
Regulations (for all other applicants). The information should include
the name and telephone number of the independent auditor, cognizant
Federal auditor, or other audit agency as applicable.
(G) Designation for CDBG/CHDO Technical Assistance Providers
CDBG TA providers will be expected to obtain designation as
technical assistance providers by the chief executive officers of each
community within which they are working as required by 24 CFR
570.402(c)(2). CHDO TA providers will be responsible for securing a
technical assistance designation letter from a PJ stating that a CHDO
or prospective CHDO to be assisted by the provider is a recipient or
intended recipient of HOME funds and indicating, at its option, subject
areas of assistance that are most important to the PJ.
(H)) Training Sessions
When conducting training sessions as part of its CD-TA activities,
CD-TA providers are required to:
(1) Design the course materials as ``step-in'' packages (also
called ``train-the trainer'' packages) so that a Field Office or other
CD-TA provider may separately give the course on its own;
(2) Arrange for joint delivery of the training with Field Office
participation when so requested by the Field Office; and
(3) When requested by a Field Office and/or Government Technical
Representative (GTR), make provision for professional videotaping of
the workshops/courses and ensure their production in a professional and
high quality manner suitable for viewing by other CD clients (if this
requirement is implemented, additional funds may be requested).
(I) Reports to Field Offices and/or GTRs
CD-TA providers will be required to report to the HUD Field
Office(s) with oversight of the geographic area(s) in which CD-TA
services are provided or to Headquarters GTRs in the case of national
providers. At a minimum, this reporting shall be on a quarterly basis
unless otherwise specified in the approved TADP.
(J) Active Participation
HUD Field Offices will be active participants in the delivery of
all technical assistance by funded providers throughout the term of the
cooperative agreement.
(K) CHDO Pass-Through Funds
CD-TA providers proposing pass-through grants are required to:
(1) Establish written criteria for selection of CHDOs receiving
pass-through funds which includes the following:
(a) Participating jurisdictions (PJs) must designate the
organizations as CHDOs.
(b) Generally, the organizations should not have been in existence
more than 3 years.
(2) Enter into an agreement with the CHDO that the agreement and
pass-through funding may be terminated at the discretion of the
Department if no written legally binding agreement to provide
assistance for a specific housing project (for acquisition,
rehabilitation, new construction or tenant-based rental assistance) has
been made by the PJ with the CHDO within 24 months of receiving the
pass-through funding.
(L) Affirmatively Furthering Fair Housing
Section II(D) of the General Section of the SuperNOFA does not
apply to these technical assistance programs.
III. Application Selection Process
(A) Rating and Ranking
(1) Applications will be evaluated competitively and ranked against
all other applicants that have applied for the same CD-TA program
(CDBG, HOME, CHDO and Supportive Housing) within each Field Office or
as a National Provider. There will be separate rankings for each CD-TA
program, and applicants will be ranked only against others that have
applied for the same CD-TA program.
(2) Once scores are assigned, all applications will be listed in
rank order for each CD-TA program for which they applied by Field
Office jurisdiction and/or National Program. In each Field Office
jurisdiction or National Program area, all applications for the CDBG TA
program will be listed in rank order on one list, all applications for
the CHDO TA program will be listed in rank order on a second list, all
applications for the HOME TA program will be listed in rank order on a
third list, and all applications for the Supportive Housing TA program
will be listed in rank order on a fourth list. Under this system, a
single application from one organization for all four CD-TA programs
could be assigned different scores and different rankings for each
program in different Field Offices.
(3) Applications will be funded in rank order for each CD-TA
program by Field Office jurisdiction, except for national providers and
others which cannot be ranked by Field Office jurisdiction. National
providers and others will be ranked separately and funded in rank order
for each CD-TA program. Irrespective of final scores, HUD may apply
program policy criteria to select no more than one applicant per Field
Office among all four CD-TA programs in this section of the SuperNOFA,
to ensure diversity of methods, approaches, or kinds of projects. HUD
will apply these program policy criteria to provide coverage of CD-TA
services for minorities; women, particularly women in the homebuilding
professions under section 233(b)(7) of the Cranston-Gonzalez National
Affordable Housing Act; the disabled; homeless; persons with special
needs; and rural areas.
(4) In addition to the authority in the General Section to adjust
funding, HUD reserves the right to adjust funding levels for each
applicant for each CD-TA program as follows:
(a) Pursuant to section 233(d)(1) and (2) of the Cranston-Gonzalez
National Affordable Housing Act, funding to any single eligible
nonprofit intermediary organization seeking to provide CHDO
[[Page 15505]]
CD-TA, whether as an independent or joint applicant, is limited to the
lesser of 20% of all funds, or an amount not to exceed 20% of the
organization's operating budget for any one year (not including funds
sub-awarded or passed through the intermediary to CHDOs);
(b) Award additional funds to organizations designated as lead CD-
TA providers as discussed in Section II.(B) of this CD-TA Program
section of the SuperNOFA;
(c) Adjust funding levels for any provider based upon the size and
needs of the provider's service area within each Field Office
jurisdiction in which the provider is selected to operate, the funds
available for that area, the number of other awardees selected in that
area, funds available on a national basis for providers that will be
operating nationally, or the scope of the technical assistance to be
provided;
(d) To negotiate increased grant awards with applicants approved
for funding if HUD requests them to offer coverage to geographic areas
for which they did not apply or budget, or if HUD receives an
insufficient amount of applications.
(5) If funds remain after all selections have been made, remaining
funds may be:
(a) Distributed among all HUD Field Offices (in proportion to their
fair-share awards) and/or the National Program, or
(b) Made available for other CD-TA program competitions.
(B) Factors for Award Used to Evaluate and Rate Applications
The factors and maximum points for each factor are provided below.
The maximum number of points to be awarded for a CD-TA application is
100. The CD-TA program is not an eligible program for the EZ/EC bonus
points, as described in Section III(C) of the General Section of the
SuperNOFA.
Rating of the ``applicant'' or the ``applicant's organization and
staff'', unless otherwise specified, will include any sub-contractors,
consultants, sub-recipients, and members of consortia which are firmly
committed to the project.
When addressing the Factors for Award, the applicant should discuss
the specific TA projects, activities, tasks, etc. that are suggested to
be carried out by the applicant during the term of the cooperative
agreement.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
In rating this factor, HUD will consider the extent to which the
application demonstrates:
(1) (4 points) Recent, relevant and successful experience of the
applicant's organization and staff in providing technical assistance in
all eligible activities and to all eligible entities for the CD-TA
program(s) applied for, as described in the regulations;
(2) (4 points) The experience and competence of key personnel in
managing complex, multi-faceted or multi-disciplinary programs which
require coordination with other CD-TA entities or multiple, diverse
units in an organization;
(3) (4 points) The applicant has the skills and knowledge to aid
grantees in the development of Consolidated Submissions for CD
programs, comprehensive plans and planning processes and citizen
participation activities, or in the case of SHP TA applicants, aid
grantees in the development of supportive housing and supportive
services as part of a Continuum of Care approach;
(4) (4 points) The applicant has a working knowledge of, and
established relationships with, key public bodies and private
organizations involved in CD programs in the geographic or national
areas in which it proposes to serve;
(5) (4 points) The applicant has sufficient personnel or access to
qualified experts or professionals to deliver the proposed level of
technical assistance in each proposed service area in a timely and
effective fashion.
Rating Factor 2: Potential Effectiveness of the Application in Meeting
Needs of Target Groups/Localities and Accomplishing Project Objectives
for Each CD-TA Program for which Funds Are Requested (20 Points)
In rating this factor, HUD will consider the extent to which the
application:
(1) (4 points) Identifies high priority needs and issues to be
addressed for each CD-TA program for which funding is requested;
(2) (4 points) Outlines a clear and effective plan of suggested TA
activities for addressing those needs and aiding a broad diversity of
eligible grantees and/or beneficiaries, including those which
traditionally have been under-served;
(3) (4 points) Identifies creative and promising ways of carrying
out eligible activities which will result in better or less costly
service to CD-TA program grantees and/or program beneficiaries;
(4) (4 points) Identifies creative activities to assist eligible
grantees in participating in the development of, and improving, local
Consolidated Plans and comprehensive strategies;
(5) (4 points) Identifies creative ways to assist grantees in
achieving the economic development and continuum of care objectives of
local consolidated plans and comprehensive strategies or of creating
linkages between activities they are assisting and activities to
achieve these objectives.
Rating Factor 3: Soundness of Approach (40 Points)
In rating this factor, HUD will consider the extent to which the
application:
(1) (20 points) Provides a technically and cost effective plan for
designing, organizing, and carrying out the suggested technical
assistance activities within the framework of the Demand/Response
System;
(2) (10 points) Demonstrates an effective and creative plan for
coordinating and conducting activities to be carried out jointly by the
applicant and other entities it has partnered with in each Field Office
jurisdiction in which it will operate; and/or demonstrates an effective
and creative plan for working in partnership with all other CD TA
providers in each Field Office jurisdiction;
(3) (5 points) Provides for full geographic coverage, including
urban and rural areas, (directly or through a consortium of providers)
of a single State or Field Office jurisdiction or is targeted to
address the needs of rural areas, minority groups or other under-served
groups;
(4) (5 points) Proposes a feasible, creative plan, which uses state
of the art or new promising technology, to transfer models and lessons
learned in each of its CD-TA program's activities to grantees and/or
program beneficiaries in other CD-TA programs.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure
community resources (note: financing is a community resource) which can
be combined with HUD's program resources to achieve program purposes.
In evaluating this factor HUD will consider:
The extent to which the applicant has partnered with other entities
to secure additional resources to increase the effectiveness of the
proposed program activities. Resources may include funding or in-kind
contributions, such as services or equipment, allocated to the
purpose(s) of the award the applicant is seeking. Resources may be
provided by governmental entities, public or private nonprofit
organizations, for-profit private
[[Page 15506]]
organizations, or other entities willing to partner with the applicant.
Applicants may also partner with other program funding recipients to
coordinate the use of resources in the target area.
Applicants must provide evidence of leveraging/partnerships by
including in the application letters of firm commitments, memoranda of
understanding, or agreements to participate from those entities
identified as partners in the application. Each letter of commitment,
memorandum of understanding, or agreement to participate should include
the organization's name, proposed level of commitment and
responsibilities as they relate to the proposed program. The commitment
must also be signed by an official of the organization legally able to
make commitments on behalf of the organization.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which the applicant coordinated
its activities with other known organizations, participates or promotes
participation in a community's Consolidated Planning process, and is
working towards addressing a need in a holistic and comprehensive
manner through linkages with other activities in the community.
In evaluating this factor, HUD will consider the extent to which
the applicant demonstrates it has:
(1) Coordinated its proposed activities with those of other groups
or organizations prior to submission in order to best complement,
support and coordinate all known activities and if funded, the specific
steps it will take to share information on solutions and outcomes with
others. Any written agreements, memoranda of understanding in place, or
that will be in place after award should be described.
(2) Taken or will take specific steps to work with recipients of
technical assistance services become active in the community's
Consolidated Planning process (including the Analysis of Impediments to
Fair Housing Choice) established to identify and address a need/problem
that is related to the activities the applicant proposes.
(3) Taken or will take specific steps to develop linkages to
coordinate comprehensive solutions through meetings, information
networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other Federal, State or locally funded activities, including
those proposed or on-going in the community.
IV. Application Submission Requirements
In addition to the forms, certifications and assurances listed in
Section II(G) of the General Section of the SuperNOFA, all applications
must, at a minimum, contain the following items:
(A) Transmittal Letter which identifies the SuperNOFA, the CD-TA
programs for which funds are requested and the dollar amount requested
for each program, and the applicant or applicants submitting the
application.
(B) Narrative statement addressing the Factors for Award described
in Section III(B) of this CD-TA Program section of this SuperNOFA. The
narrative response should be numbered in accordance with each factor
for award. This narrative statement will be the basis for evaluating
the application. It should include a plan of suggested TA activities as
described in Factors 2(b), 3(a), and elsewhere. These suggested TA
activities may form a starting point for negotiating the TADP described
in Section II(C) of this CD-TA Program section of the SuperNOFA.
(C) Statement which identifies the Field Office jurisdictions in
which the applicant proposes to offer services. If services will not be
offered throughout the full jurisdictional area of the Field Office,
the statement should identify the service areas involved (e.g., States,
counties, etc.), as well as the communities in which services are
proposed to be offered.
(D) A matrix which summarizes the amount of funds requested for
each CD-TA program in each Field Office jurisdiction or National
Program for which funding is requested. (See CD-TA Appendix B for a
copy of the matrix to be submitted.)
(E) A statement as to whether the applicant proposes to use pass-
through funds for CHDOs under the CHDO TA program, and, if so, the
amount and proposed uses of such funds.
(F) If applying for the CHDO TA program, a statement as to whether
the applicant qualifies as a primarily single-State provider under
section 233(e) of the Cranston-Gonzalez Affordable Housing Act and as
discussed in Section I(E)(3) of the CD-TA Program section of this
SuperNOFA.
(G) A statement as to whether the applicant proposes to be
considered for the role of lead CD-TA provider in one or more specific
program areas in a Field Office jurisdiction, and if so, the
capabilities and attributes of the organization that qualify it for the
role.
(H) For applicants for national program funds in one or more
specific program areas, a statement as to the capabilities and
attributes of the organization that qualify it to operate on a national
basis. The statement should also include the nature of the suggested TA
activities that make them inappropriate for funding under Field Office
jurisdictions.
(I) Budget identifying costs for implementing the plan of suggested
TA activities by cost category for each CD-TA program for which funds
are requested by Field Office or as a National Provider (in accordance
with the following):
(1) Direct Labor by position or individual, indicating the
estimated hours per position, the rate per hour, estimated cost per
staff position and the total estimated direct labor costs;
(2) Fringe Benefits by staff position identifying the rate, the
salary base the rate was computed on, estimated cost per position, and
the total estimated fringe benefit cost;
(3) Material Costs indicating the item, quantity, unit cost per
item, estimated cost per item, and the total estimated material costs;
(4) Transportation Costs, as applicable.
(5) Equipment charges, if any. Equipment charges should identify
the type of equipment, quantity, unit costs and total estimated
equipment costs;
(6) Consultant Costs, if applicable. Indicate the type, estimated
number of consultant days, rate per day, total estimated consultant
costs per consultant and total estimated costs for all consultants;
(7) Subcontract Costs, if applicable. Indicate each individual
subcontract and amount;
(8) Other Direct Costs listed by item, quantity, unit cost, total
for each item listed, and total other direct costs for the award;
(9) Indirect Costs should identify the type, approved indirect cost
rate, base to which the rate applies and total indirect costs.
These line items should total the amount requested for each CD-TA
program area. The grand total of all CD-TA program funds requested
should reflect the grand total of all funds for which application is
made.
V. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VI. Environmental Requirements
In accordance with 24 CFR 50.19(b)(9) and 58.34(a)(9), the
assistance provided
[[Page 15507]]
by these programs relates only to the provision of technical assistance
and is categorically excluded from the requirements of the National
Environmental Policy Act and not subject to environmental review under
the related laws and authorities. This determination is based on the
ineligibility of real property acquisition, construction,
rehabilitation, conversion, leasing or repair for HUD assistance under
these technical assistance programs.
BILLING CODE 4210-32-P
[[Page 15508]]
[GRAPHIC] [TIFF OMITTED] TN31MR98.001
[[Page 15509]]
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Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
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BILLING CODE 4210-32-C
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Funding Availability for Community Outreach Partnership Centers
Program Description: Approximately $7 million is available to
establish and operate Community Outreach Partnership Centers (COPCs) to
assist in outreach and applied research activities addressing the
problems of urban areas.
Application Due Date: Completed applications must be submitted no
later than 12:00 midnight, Eastern time on July 8, 1998 at HUD
Headquarters. See the General Section of this SuperNOFA for specific
procedures governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications: Completed applications (one
original and two copies) must be submitted to: Processing and Control
Branch, Office of Community Planning and Development, U.S. Department
of Housing and Urban Development, 451 Seventh Street, SW, Room 7251,
Washington, DC 20410. When submitting your application, please refer to
COPC, and include your name, mailing address (including zip code) and
telephone number (including area code).
For Application Kits, Further Information and Technical Assistance
For Application Kits. For an application kit and supplemental
information please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's
TTY number at 1-800-483-2209. 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 COPC
and provide your name, address (including zip code), and telephone
number (including area code).
For Further Information. Jane Karadbil, Office of University
Partnerships in the Office of Policy Development and Research,
Department of Housing and Urban Development, 451 Seventh Street, S.W.,
Room 8110, Washington, DC 20410, telephone (202) 708-5918, ext. 218.
Persons with speech or hearing impairments may call HUD's TTY number
(202) 708-0770, or 1-800-877 8399 (the Federal Information Relay
Service TTY). Other than the ``800'' number, these numbers are not
toll-free. Ms. Karadbil can also be reached via the Internet at
[email protected]
For Technical Assistance. An information broadcast via satellite
will be held for potential applicants to learn more about the program
and preparation of an application. For more information about the date
and time of this broadcast, please consult the HUD web site at the web
address listed above.
Additional Information
I. Authority; Purpose; Amount Allocated; and Eligibility
(A) Authority
This program is authorized under the Community Outreach Partnership
Act of 1992 (42 U.S.C. 5307 note; hereafter referred to as the ``COPC
Act''). The COPC Act is contained in section 851 of the Housing and
Community Development Act of 1992 (Pub.L. 102-550, approved October 28,
1992) (HCD Act of 1992). Section 801(c) of the HCD Act of 1992
authorizes $7.5 million for each year of the 5-year demonstration to
create Community Outreach Partnership Centers as authorized in the COPC
Act.
(B) Purpose
The purpose of this COPC Program is to assist in establishing or
carrying out outreach and applied research activities addressing the
problems of urban areas. Funding under this demonstration program shall
be used to establish and operate Community Outreach Partnership Centers
(COPC).
The six key concepts of the COPC Program are:
(1) The program should provide outreach, technical assistance,
applied research, and empowerment to neighborhoods and neighborhood-
based organizations based on what the residents decide is needed, not
based on what the institution thinks is appropriate for that
neighborhood;
(2) Community-based organizations should be partners with the
institutions throughout the life of the project, from planning to
implementation;
(3) Components of the program may address metropolitan or regional
strategies. The applicant must clearly demonstrate how:
(a) Those strategies are directly related to what the targeted
neighborhoods and neighborhood-based organizations have decided is
needed; and
(b) Neighborhoods and neighborhood organizations are involved in
the development and implementation of the metropolitan or regional
strategies;
(4) The applied research should be related to the outreach
activities and be usable in these activities within the grant period or
shortly after it ends, rather than research without practical
application;
(5) Assistance through the grant should be provided primarily by
faculty, students, or to a limited extent, by neighborhood residents or
community-based organizations funded by the university; and
(6) The program should be part of the institution's broader effort
to meet its urban mission, and be supported by senior officials, rather
than just the work of a few faculty members. Proposed activities should
not duplicate those of other entities in the community and should be
appropriate for an institution of higher education to undertake in
light of its teaching, research, and service missions.
The statute states that grants under the COPC Program must focus on
the following specific problems: ``problems associated with housing,
economic development, neighborhood revitalization, infrastructure,
health care, job training, education, crime prevention, planning,
community organizing, and other areas deemed appropriate by the
Secretary.'' Furthermore, the COPC Act states: ``The Secretary shall
give preference to institutions of higher education that undertake
research and outreach activities by bringing together knowledge and
expertise in the various social science and technical disciplines that
relate to urban problems.''
(C) Amount Allocated
The competition in this program is for up to $7.0 million to fund
the fifth year of the COPC Program to fund New Grants.
Institutionalization Grants will not be funded under this funding
announcement for COPC. COPC grantees that have previously received a
New or Institutionalization grant are not eligible to apply under this
COPC funding announcement, nor are institutions of higher education
that received Joint Community Development Program grants.
New Grants will be awarded to institutions of higher education to
begin or expand their applied research and outreach activities. Each
New Grant will be for a three-year period of performance (i.e.,
applicants must complete their proposed activities within three years).
In order to ensure that as many eligible applicants are funded as
possible, HUD has set the maximum size of any new grant at $400,000.
Because these projects are quite complex, HUD has also set the minimum
grant size at $250,000. Since the Statement of Work and other facets of
the technical review are assessed in the context of the proposed budget
and grant request, and in the interest of fairness to all applicants,
HUD will not accept an application that is under $250,000 or over
$400,000.
[[Page 15521]]
(D) Eligible Applicants
Eligible applicants are public or private nonprofit institutions
of higher education granting two-or four-year degrees and accredited by
a national or regional accrediting agency recognized by the U.S.
Department of Education. Consortia of eligible institutions may apply,
as long as one institution is designated the lead applicant. Since the
Statement of Work and other facets of the technical review are assessed
in the context of the proposed staffing, and in order to fund as many
eligible applicants as possible, HUD has determined that each
institution may be part of only one consortium or submit only one
application or it will be disqualified. HUD will hold an institution
responsible for ensuring that neither it nor any part of the
institution, including specific faculty, participates in more than one
application.
Different campuses of the same university system are eligible to
apply, even if one campus has already received COPC funding. Such
campuses are eligible as separate applicants only if they have
administrative and budgeting structures independent of other campuses
in the system.
(E) Eligible Activities
COPC Programs must combine research with outreach, work with
communities and local governments and address the multidimensional
problems that beset urban areas. To meet the threshold requirements,
applications should be multifaceted and address three or more urban
problems. Single purpose applications are not eligible.
To be most effective during the term of the demonstration, the
funded research must have a clear near-term potential for solving
specific, significant urban problems. The selected institutions must
have the capacity to apply their research results and to work with
communities and local institutions, including neighborhood groups and
other appropriate community stakeholders, in applying these results to
specific real-life urban problems.
Eligible activities include:
(1) Research activities which have practical application for
solving specific problems in designated communities and neighborhoods,
including evaluation of the effectiveness of the outreach activities.
In order to ensure that the primary focus of local projects is on
outreach, research may not total more than one-quarter of the total
project costs contained in any grant made under this COPC funding
announcement (including the required 50% match).
(2) Outreach, technical assistance and information exchange
activities which are designed to address specific urban problems in
designated communities and neighborhoods. Such activities must total no
less than three-quarters of the total project costs (including the
required 25% match). Examples of outreach activities include, but are
not limited to:
(a) Job training and other training projects, such as workshops,
seminars and one-on-one and on-the-job training;
(b) Design of community or metropolitan strategies to resolve urban
problems of communities and neighborhoods;
(c) Innovative use of funds to provide direct technical expertise
and assistance to local community groups, residents, and other
appropriate community stakeholders to assist them in resolving local
problems such as homelessness, housing discrimination, and impediments
to fair housing choice;
(d) Technical assistance in business start-up activities for low-
and moderate-income individuals and organizations, including business
start-up training and technical expertise and assistance, mentor
programs, assistance in developing small loan funds, business
incubators, etc;
(e) Technical assistance to local public housing authorities on
welfare-to-work initiatives and physical transformations of public or
assisted housing;
(f) Assistance to communities to improve consolidated housing and
community development plans and remove impediments to design and
implementation of such plans;
(g) Assistance to communities to improve the fair housing planning
process; and
(h) Regional projects that maximize the interaction of targeted
inner city distressed neighborhoods with suburban opportunities similar
to HUD's Bridges-to-Work or Moving to Opportunity programs, or projects
that link inner-city and suburban youth with leadership training that
focuses on the needs of the distressed targeted neighborhoods.
(3) Funds for faculty development including paying for course time
or summer support to enable faculty members to work on the COPC.
(4) Funds for stipends for students (which cannot cover tuition and
fees) when they are working on the COPC.
(5) Activities to carry out the ``Responsibilities'' listed under
Section II.(A) below. These activities may include leases for office
space in which to house the Community Outreach Partnership Center,
under the following conditions:
(a) The lease must be for existing facilities;
(b) No repairs or renovations of the property may be undertaken
with Federal funds; and
(c) Properties in the Coastal Barrier Resource System designated
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be
leased with Federal funds.
(F) Ineligible Activities
(1) Research activities which have no clear and immediate practical
application for solving urban problems or do not address specific
problems in designated communities and neighborhoods.
(2) Any type of construction, rehabilitation, or other physical
development costs.
(3) Costs used for routine operations and day-to-day administration
of regular programs of institutions of higher education, local
governments or neighborhood groups.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, grantees must meet the following program
requirements:
(A) Responsibilities
In accordance with section 851(h) of the HCD Act of 1992, each COPC
shall:
(1) Employ the research and outreach resources of its sponsoring
institution of higher education to solve specific urban problems
identified by communities served by the Center;
(2) Establish outreach activities in areas identified in the grant
application as the communities to be served;
(3) Establish a community advisory committee comprised of
representatives of local institutions and residents of the communities
to be served to assist in identifying local needs and advise on the
development and implementation of strategies to address those issues;
(4) Coordinate outreach activities in communities to be served by
the Center;
(5) Facilitate public service projects in the communities served by
the Center;
(6) Act as a clearinghouse for dissemination of information;
(7) Develop instructional programs, convene conferences, and
provide training for local community leaders, when appropriate; and
(8) Exchange information with other Centers.
The clearinghouse function in (6) above refers to a local or
regional clearinghouse for dissemination of information and is separate
and distinct from the functions in (8) above, which
[[Page 15522]]
relate to the provision of information to the University Partnerships
Clearinghouse, which is the national clearinghouse for the program.
(B) Cap on Research Costs
No more than 25% of the total project costs (Federal share plus
match) can be spent on research activities.
(C) Match
This non-Federal share may include cash or the value of non-cash
contributions, equipment and other allowable in-kind contributions as
detailed in 24 CFR part 84, and in particular Sec. 84.23 entitled
``cost sharing or matching.'' Applicants must meet the match
requirements identified below:
(1) Research Activities. 50% of the total project costs of
establishing and operating research activities.
(2) Outreach Activities. 25% of the total project costs of
establishing and operating outreach activities.
An example of how to calculate the match is included in the
application kit.
(D) Administrative
The grant will be governed by the provisions of 24 CFR part 84
(Grants and Agreements with Institutions of Higher Education, Hospitals
and other Nonprofit Organizations), A-122 (Cost Principles for
Nonprofit Organizations), and A-133 (Audits of States, Local
Governments and Nonprofit Organizations).
III. Application Selection Process
Two types of reviews will be conducted: a threshold review to
determine applicant eligibility; and a technical review to rate the
application based on the rating factors in this Section III.
(A) Additional Threshold Criteria for Funding Consideration
Under the threshold review, the applicant will be rejected from the
competition if the applicant is not in compliance with the requirements
of the General Section of the SuperNOFA and if the following additional
standards are not met:
(1) The applicant has met the statutory match requirements.
(2) The applicant has proposed a program in which no more than 25%
of the total project costs will be for research activities.
(3) The applicant has requested a Federal grant that is no less
than $250,000 and no more than $400,000 over the three-year grant
period.
(4) The application addresses at least three urban issues, such as
affordable housing, fair housing, economic development, neighborhood
revitalization, infrastructure, health care; job training, education,
crime prevention, planning, and community organizing.
(5) The applicant, and any part of the applicant's organization,
does not participate in more than one application.
(B) Factors for Award Used To Evaluate and Rate Applications
The factors for rating and ranking applicants, and maximum points
for each factor, are provided below. The maximum number of points for
this program is 102. This includes two EZ/EC bonus points, as described
in the General Section of the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (15 Points)
This factor addresses the extent to which the applicant has the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. The rating of the ``applicant''
or the ``applicant's organization and staff'' for technical merit or
threshold compliance, unless otherwise specified, will include any
faculty, sub-contractors, consultants, sub-recipients, and members of
consortia which are firmly committed to the project. In rating this
factor HUD will consider the extent to which the proposal demonstrates:
(1) (10 points) The knowledge and experience of the overall
proposed project director and staff, including the day-to-day program
manager, consultants and contractors in planning and managing programs
for which funding is being requested. Experience will be judged in
terms of recent, relevant and successful experience of the applicant's
staff to undertake eligible program activities. In rating this factor,
HUD will consider the extent to which the applicant's organization and
staff have recent, relevant, and successful experience in:
(a) Undertaking research activities in specific communities that
have a clear near-term potential for practical application to
significant urban issues, such as affordable housing, fair housing,
economic development, neighborhood revitalization, infrastructure,
health care, job training, education, crime prevention, planning, and
community organizing;
(b) Undertaking outreach activities in specific communities to
solve or ameliorate significant urban issues;
(c) Undertaking projects with community-based organizations or
local governments; and
(d) Providing leadership in solving community problems and making
national contributions to solving long-term and immediate urban
problems.
(2) (3 points) The applicant has sufficient personnel or will be
able to quickly access qualified experts or professionals, to deliver
the proposed activities in each proposed service area in a timely and
effective fashion, including the readiness and ability of the applicant
to immediately begin the proposed work program.
(3) (2 points) The applicant has demonstrated experience in
managing programs, and carrying out grant management responsibilities
for programs, similar in scope or nature directly relevant to the work
activities proposed. If the applicant has managed large, complex,
interdisciplinary programs, the applicant should include the
information in the response.
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities and an indication of the
urgency of meeting the need in the target area. In responding to this
factor, applicants will be evaluated on:
(1) (10 points) The extent to which they document the level of need
for the proposed activity: and
(2) (5 points) The urgency in meeting the need. Applicants should
use statistics and analyses contained in a data source(s) that:
(a) Is sound and reliable. To the extent that the applicant's
community's Consolidated Plan and Analysis of Impediments to Fair
Housing Choice (AI) identifies the level of the problem and the urgency
in meeting the need, references to these documents should be included
in the response. The Department will review more favorably those
applicants who used these documents to identify need, when applicable.
If the proposed activity is not covered under the scope of the
Consolidated Plan and Analysis of Impediments to Fair Housing Choice
(AI), applicants should indicate such, and use other sound data sources
to identify the level of need and the urgency in meeting the need.
Types of other sources include, but are not limited to, Census reports,
Continuum of Care gaps analysis, law enforcement agency crime reports,
Public Housing Authorities' Five Year Comprehensive Plan, and other
sound and reliable sources appropriate for the specific program and
activities for which an applicant is applying for funding. Applicants
may also address
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needs in terms of fulfilling court orders or consent decrees,
settlements, conciliation agreements, and voluntary compliance
agreements. For technical assistance programs, input from HUD State and
Area Office(s) and assessments are included among the data sources that
may be used to identify need.
(b) To the extent possible, specific to the area where the proposed
activity will be carried out. Specific attention must be paid to
documenting need as it applies to the area where activities will be
targeted, rather than the entire locality or state. If the target area
is an entire locality or state, then documenting need at this level is
appropriate.
The applicant should discuss how it took into account existing and
planned efforts of government agencies, community-based organizations,
faith-based institutions, for-profit firms and other entities to
address such needs in the community(ies) to be served, how the proposed
program compliments or supplements these existing efforts, and why
additional funds are being requested.
Rating Factor 3: Soundness of Approach (50 Points)
This factor addresses the quality and cost-effectiveness of the
applicant's proposed work plan. There must be a clear relationship
between the proposed activities, community needs and the purpose of the
program funding for an applicant to receive points for this factor. The
factor will be evaluated based on the extent to which the proposed
activities will:
(1) (4 points) Help solve or address an urgent need or problem as
identified under Rating Factor 2--Need/Extent of the Problem. The
impact of the activity will be evaluated, including the tangible
benefits to be attained by the community and by the target population
including affirmatively furthering fair housing for classes protected
under the Fair Housing Act. The applicant should demonstrate a strong
familiarity with the existing and planned efforts of government
agencies, community-based organizations, faith-based organizations,
for-profit firms and other entities to address such needs in the
communities to be served, and should demonstrate that the applicant can
cost-effectively complement any such efforts to attain measurable
results.
(2) (8 points) The extent to which the proposed work program
identifies the specific services or activities to be performed. In
reviewing this subfactor HUD will consider the extent to which:
(a) The applicant's proposal outlines a clear research agenda,
based on a thorough familiarity with existing research on the subject.
The applicant should demonstrate that the proposed research does not
duplicate research previously completed or currently underway by
others.
(b) The applicant demonstrates how the research will fit into and
strengthen the outreach strategy and activities. For example, an
applicant proposing to study the extent of housing abandonment in a
neighborhood and then designing a plan for reusing this housing would
be able to demonstrate the link between the proposed research and
outreach strategies.
(c) The applicant's plan outlines a clear outreach agenda;
(d) There is a plan for involving the university as a whole in the
execution of the outreach strategy.
(e) The extent to which grant funds will pay for activities
conducted by the grantee, rather than passed through to other entities.
(3) (7 points) The extent to which the proposed program of
activities involves the communities to be served in implementation of
these activities. In reviewing this subfactor, HUD will look at the
extent to which:
(a) One or more Community Advisory Committees, comprised of
representatives of local institutions and a balance of the race,
ethnic, disability status, gender, and income of the residents of the
communities to be served, has been or will be formed to work in
partnership with the COPC to develop and implement strategies to
address the needs identified in Factor 2. Applicants will be expected
to demonstrate that they have already formed such a committee(s) or
secured the commitment of the appropriate persons to serve on the
committee(s), rather than just describing generally the types of people
whose involvement they will seek.
(b) A wide range of neighborhood organizations and local government
entities participated in the identification of the research and
outreach activities.
(c) The outreach program provides for on-site or a frequent
presence in the targeted communities and neighborhoods.
(d) The outreach agenda includes training projects for local
community leaders, for example, to increase their capacity to direct
their organizations or undertake various kinds of community development
projects.
(4) (6 points) The extent to which the proposed activities will
achieve the purposes of the program from which funding is requested
within the grant period. The applicant should identify specific time
phased and measurable objectives to be accomplished during the period
of performance; the proposed short and long term program objectives to
be achieved as a result of the proposed activities; the tangible and
measurable impacts the work program will have on the community in
general and the target area or population in particular; and the
relationship of the proposed activities to other on-going or proposed
efforts to improve the economic, social or living environment in the
impact area.
(5) (4 points) The extent to which the proposed project will
potentially yield innovative strategies or ``best practices'' that can
be replicated and disseminated to other organizations, including
nonprofit organizations, State and local governments. In reviewing this
factor, HUD will assess the demonstrated ability of the applicant to
disseminate results of research and outreach activities to other COPCs
and communities. HUD will evaluate the past experience of the applicant
and the scope and quality of the applicant's concrete plan to
disseminate information on COPC results, strategies, and lessons
learned through such means as conferences, cross-site technical
assistance, publications, etc.
(6) (3 points) The extent to which the proposed application will
further and support the policy priorities of HUD including:
(a) Promoting healthy homes;
(b) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare to work programs;
(c) Enhancing on-going efforts to eliminate drugs and crime from
neighborhoods through program policy efforts such as ``One Strike and
You're Out'' or the ``Officer Next Door'' initiative;
(d) Providing educational and job training opportunities through
such initiatives as Neighborhood Networks, Campus of Learners and
linking to AmeriCorps activities.
(7) (5 points) The extent to which the applicant's work will
include activities that affirmatively further fair housing, for
example:
(a) Overcoming impediments to fair housing, such as discrimination
in the sale or rental of housing or in advertising, provision of
brokerage services, or lending;
(b) Promoting fair housing through the expansion of homeownership
opportunities and improved quality of city services for minorities,
families with children, and persons with disabilities; or
(c) Providing mobility counseling.
[[Page 15524]]
(8) (13 points) The extent to which the proposed COPC will result
in the COPC function and activities being sustained by becoming part of
the urban mission of the institution and being funded in the future by
sources other than HUD. In reviewing this subfactor, HUD will consider
the extent to which:
(a) COPC activities relate to the institution's urban mission; are
part of a climate that rewards faculty work on these activities through
promotion and tenure policies; benefit students because they are an
overall part of a service learning program at the institution; and are
reflected in the curriculum. HUD will look at the institution's
commitment to faculty and staff continuing work in COPC neighborhoods
or replicating successes in other neighborhoods and to its longer term
commitment (e.g., five years after the start of the COPC) of hard
dollars to COPC work.
(b) The applicant has received commitments for funding from sources
outside the university for related non-COPC-funded projects and
activities in the targeted neighborhood or other distressed
neighborhoods. Funding sources to be considered include, but are not
limited to, local governments, neighborhood organizations, private
businesses, and foundations.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure
community resources which can be combined with HUD's program resources
to achieve program purposes. In evaluating this factor HUD will
consider:
The extent to which the applicant has partnered with other entities
to secure additional resources to increase the effectiveness of the
proposed program activities. Resources may include funding or in-kind
contributions, such as services or equipment, allocated to the
purpose(s) of the award the applicant is seeking. Resources may be
provided by governmental entities, public or private nonprofit
organizations, for-profit private organizations, or other entities
willing to partner with the applicant. Applicants may also partner with
the funding recipients in other grant programs to coordinate the use of
resources in the target area.
Because COPC has a matching requirement, rating points for this
factor will be allocated based upon the extent to which an applicant
has exceeded the program's minimum match requirement. Up to a total of
5 points will be awarded for a match that is 50% over the statutorily-
required match.
The Department is concerned that applicants should be providing
hard dollars as part of their matching contributions in order to
enhance the tangible resources going into targeted neighborhoods. Thus,
while indirect costs can count towards meeting the statutorily required
match, they will not be used in calculating match overage. Only direct
costs can count in this factor.
In addition, because HUD is interested in promoting the
institutionalization of COPC projects and activities, up to an
additional 5 points will be awarded for the extent to which matching
funds are provided from eligible sources other than the applicant
(e.g., funds from the city, including CDBG, other State or local
government agencies, public or private organizations, or foundations).
Applicants must provide evidence of leveraging/partnerships by
including in the application letters of firm commitment, memoranda of
understanding, or agreements to participate from those entities
identified as partners in the application. Each letter of commitment,
memorandum of understanding, or agreement to participate should include
the organization's name, proposed level of commitment and
responsibilities as they relate to the proposed program. The commitment
must also be signed by an official of the organization legally able to
make commitments on behalf of the organization.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which the applicant coordinated
its activities with other known organizations, participates or promotes
participation in a community's Consolidated Planning process, and is
working towards addressing a need in a holistic and comprehensive
manner through linkages with other activities in the community.
In evaluating this factor, HUD will consider the extent to which
the applicant demonstrates it has:
(1) (4 points) Coordinated its proposed activities with those of
other groups or organizations prior to submission in order to best
complement, support and coordinate all known activities and if funded,
the specific steps it will take to share information on solutions and
outcomes with others. Any written agreements, memoranda of
understanding in place, or that will be in place after award should be
described.
(2) (3 points) Taken or will take specific steps to become active
in the community's Consolidated Planning process (including the
Analysis of Impediments to Fair Housing Choice) established to identify
and address a need/problem that is related to the activities the
applicant proposes.
(3) (3 points) Taken or will take specific steps to develop
linkages to coordinate comprehensive solutions through meetings,
information networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other Federal, State or locally funded activities, including
those proposed or on-going in the community.
(C) Selections
In order to be funded under COPC, an applicant must receive a
minimum score of 70. It is HUD,s intent to fund at least one eligible
applicant that serves colonias, as defined by section 916(d) of the
Cranston-Gonzalez National Affordable Housing Act, as long as the
applicant receives a minimum score of 70.
If two or more applications have the same number of points, the
application with the most points for Factor 3, Soundness of Approach
shall be selected. If there is still a tie, the application with the
most points for Factor 4, Leveraging Resources shall be selected.
HUD reserves the right to make selections out of rank order to
provide for geographic distribution of funded COPCs. The approach HUD
will use, if it decides to implement this option, will be based on
combining two adjacent standard HUD regions (e.g., Southwest and
Southeast Regions, Great Plains and Midwest Regions, etc.). If the rank
order does not yield at least one fundable COPC within each combined
region, then HUD may select the highest ranking application from such a
combination, as long as the minimum score of 70 points is achieved.
After all applications have been rated and ranked and selections
have been made, HUD may require that all winners participate in
negotiations to determine the specific terms of the Statement of Work
and the grant budget. In cases where HUD cannot successfully conclude
negotiations, or a selected applicant fails to provide HUD with
requested information, awards will not be made. In such instances, HUD
may elect to offer an award to the next highest ranking applicant, and
proceed with negotiations with the next highest ranking applicant.
After award but before grant execution, winners will be required to
[[Page 15525]]
provide a certification from an Independent Public Accountant or the
cognizant government auditor, stating that the financial management
system employed by the applicant meets proscribed standards for fund
control and accountability required by OMB Circular A-133, Uniform
Administrative Requirements for Grant Agreements With Institutions of
Higher Education, Hospitals, and other Non-Profit Organizations,
Revised OMB Circular A-110, or 24 CFR part 85 for States and local
governments, or the Federal Acquisition Regulations (for all other
applicants). This information should contain the name and telephone
number of the Independent Auditor, cognizant Federal auditor, or other
audit agency, as applicable.
IV. Application Submission Requirements
The application should include an original and two copies of the
items listed below. In order to be able to recycle paper, please do not
submit applications in bound form; binder clips or loose leaf binders
are acceptable. Also, please, do not use colored paper. Please note the
page limits below for some of the items listed below and do not exceed
them.
In addition to the forms, certifications and assurances listed in
Section II(G) of the General Section, all applications must, at a
minimum, contain the following items:
(A) Transmittal Letter which must be signed by the Chief Executive
Officer of the institution or his or her designee. If a designee signs,
the application must include the official delegation of signatory
authority;
(B) A Statement of Work (25 page limit) which incorporates all
activities to be funded in the application and details how the proposed
work will be accomplished. Following a task-by-task format, the
Statement of Work must:
(1) Arrange the presentation of related major activities by project
functional category (e.g., economic development, affordable housing,
capacity building), summarize each activity, identify the primary
persons involved in carrying out the activity, and delineate the major
tasks involved in carrying it out.
(2) Indicate the sequence in which the tasks are to be performed,
noting areas of work which must be performed simultaneously.
(3) Identify specific numbers of quantifiable intermediate and end
products and objectives the applicant aims to deliver by the end of the
award agreement period as a result of the work performed.
(C) Narrative statement addressing the Factors for Award in Section
III. (B) (2) above. (30 page limit, not including tables, maps, and
letters of matching commitments). Your narrative response should be
numbered in accordance with each factor and subfactor. Please do not
repeat material in your Statements of Work or Need; instead focus on
how you meet each factor.
(D) Budget. The budget presentation should be consistent with the
Statement of Work and include:
(1) Budget Form--The sample budget form included in the application
kit should be used to prepare the budget.
(2) A narrative explanation of how the applicant arrived at its
cost estimates, for any line item over $1,000.
(3) A statement of compliance with the 20% limitation on ``Planning
and Administration'' Costs.
(4) An explanation of compliance with the requirement that not more
than 25% of the total budget be allocated to research activities.
(5) An explanation of compliance with the matching requirements.
More guidance on all of these items is included in the application kit.
(E) Abstract. (1 page limit) An abstract describing the goals and
activities of the program.
V. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VI. Environmental Requirements
In accordance with 24 CFR 50.19(b) of the HUD regulations,
activities assisted under this program are categorically excluded from
the requirements of the National Environmental Policy Act and are not
subject to environmental review under the related laws and authorities.
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
[[Page 15527]]
Funding Availability for the Historically Black Colleges and
Universities Program
Program Description: Approximately $6,500,000 is available in
funding for the Historically Black Colleges and Universities (HBCU)
Program. The HBCU Program assists HBCUs expand their role and
effectiveness in addressing community development needs in their
localities, including neighborhood revitalization, housing, and
economic development.
Application Due Date: Completed applications must be submitted no
later than 12:00 midnight, Eastern time on July 8, 1998, at HUD
Headquarters with a copy to the appropriate HUD CPD Field Office. See
the General Section of this SuperNOFA for specific procedures governing
the form of application submission (e.g., mailed applications, express
mail, overnight delivery, or hand carried).
Address for Submitting Applications: An original signed application
and one copy shall be submitted to the following address: Processing
and Control Branch, Office of Community Planning and Development,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Room 7251, Washington, DC 20410. When submitting your application,
please refer to the HBCU Program, and include your name, mailing
address (including zip code) and telephone number (including area
code).
Copies of Applications to HUD Offices. To facilitate processing and
review of an application, one copy of the application also should be
sent to the Community Planning and Development (CPD) Director in the
appropriate HUD Field Office for the HBCU. The list of HUD Field
Offices is included in the application kit.
HUD will accept only one application per HBCU. If more than one
application is received from a single HBCU, the application from that
HBCU that was received earliest will be considered for funding, and the
application(s) submitted later will be ineligible. If more than one
application is received simultaneously from an HBCU then all such
applications will be considered ineligible for funding. Applicants
should take these policies into account and take steps to ensure that
multiple applications are not submitted.
For Application Kits, Further Information, and Technical Assistance:
For Application Kits. For an application kit and any supplemental
information, please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's
TTY number at 1-800-843-2209. 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 the
HBCU Program and provide your name, address (including zip code), and
telephone number (including area code).
For Further Information and Technical Assistance. For answers to
your questions, you have several options. You may call Ms. Delores
Pruden, Historically Black Colleges and Universities Program, Office of
Community Planning and Development, Department of Housing and Urban
Development, 451 Seventh St, SW, Washington, DC 20410; telephone (202)
708-1590. (This is not a toll-free number.) Persons with speech or
hearing impairments may access this number via TTY by calling the
Federal Information Relay Service toll-free at 1-800-877-8339.
Information may also be obtained from the HUD Field Office located in
the applicant's geographic area. The application kit contains the
names, addresses and telephone numbers of the HUD Field Offices. For
general information and information regarding training on this HBCU
Program section of the SuperNOFA, applicants can call the SuperNOFA
Information Center at 1-800-HUD-8929.
Additional Information:
I. Authority; Purpose; Amount Allocated; and Eligibility.
(A) Authority
This program is authorized under section 107(b)(3) of the Housing
and Community Development Act of 1974 (the 1974 Act) (42 U.S.C.
5307(b)(3)), which was added by section 105 of the Department of
Housing and Urban Development Reform Act of 1989 (Pub. L. 101-235). The
HBCU Program is governed by regulations contained in 24 CFR 570.400 and
570.404, and in 24 CFR part 570, subparts A, C, J, K, and O.
(B) Purpose
The purpose of the HBCU Program is to assist HBCUs expand their
role and effectiveness in addressing community development needs in
their localities, including neighborhood revitalization, housing, and
economic development, consistent with the purposes of Title I of the
Housing and Community Development Act of 1974, as amended.
(1) For the purposes of this program, the term ``locality''
includes any city, county, town, township, parish, village, or other
general political subdivision of a State or the U.S. Virgin Islands
within which an HBCU is located.
(2) An HBCU located in a metropolitan statistical area (MSA), as
established by the Office of Management and Budget, may consider its
locality to be one or more of these entities within the entire MSA. The
nature of the locality for each HBCU may differ, therefore, depending
on its location.
(3) A ``target area'' is the locality or area within the locality
that the HBCU will implement its proposed HUD grant activities.
(C) Amount Allocated
(1) In order to ensure that some previously unfunded HBCUs will
receive awards in this competition, approximately one-third of the
available funds will be awarded to applicants that have not previously
been funded under the HUD HBCU program. (The FY 1991 competition was
the first funded under the current HBCU Program authorization, section
107(b)(3) of the 1974 Act.) Therefore, of the $6.5 million in FY 1998
funds made available under this SuperNOFA for the HBCU Program:
(a) Approximately $2.2 million will be awarded to HBCUs that have
not received funding in past HUD HBCU competitions under section
107(b)(3) of the Housing and Community Development Act of 1974, as
amended, which includes competitions for Fiscal Years 1991 through 1997
(``Previously-unfunded HBCUs'').
(b) The remaining approximately $4.3 million of FY 1998 funds will
be awarded to HBCUs that have received funding under such competitions
(``Previously-funded HBCUs'') (Previously funded HBCUs are listed in
HBCU Appendix A to this HBCU Program section of the SuperNOFA.
Previously-unfunded HBCUs are listed in HBCU Appendix B section of the
SuperNOFA.).
If recaptured funds are made available, those funds will also be
divided proportionately between the two types of applicant i.e. one
third to Previously-unfunded HBCUs and two-thirds to Previously-funded
HBCUs.
(2) The maximum period for performance of a proposed program under
this SuperNOFA for the HBCU Program is 24 months. The performance
period will commence on the effective date of the grant agreement. HUD
reserves the right to make awards for less than the maximum amount or
less than the amount requested in a particular application. The awards
will be made in the form of grants. The
[[Page 15528]]
maximum amount awarded to any applicant will be $400,000.
(D) Eligible Applicants
Only HBCUs as determined by the Department of Education in 34 CFR
608.2 in accordance with that Department's responsibilities under
Executive Order 12876, dated November 1, 1993, are eligible for funding
under the HBCU Program. As indicated above, funds available under this
program will be split between two classes of HBCU applicant.
(1) The first category, previously-funded HBCUs, includes HBCUs
that have received funding in past HUD HBCU competitions under section
107(b)(3) of the Housing and Community Development Act of 1974, which
includes competitions for Fiscal Years 1991 through 1997.
(2) The second category of eligible applicant, Previously-unfunded
HBCUs, includes HBCUs that have not received funding under such
competitions. Lists of Previously-funded HBCUs and Previously-unfunded
HBCUs appear as Appendices A and B to the HBCU Program section of the
SuperNOFA. HUD will use these lists to determine in which category the
application should be considered.
(E) Eligible Activities
(1) General. Each activity proposed for funding must meet both a
Community Development Block Grant (CDBG) Program national objective AND
the CDBG eligibility requirements, which are described in Section III
of the HBCU Program section of the SuperNOFA. Eligible activities that
may be funded under this HBCU Program section of the SuperNOFA are
those activities eligible for CDBG funding. The activities are listed
in 24 CFR part 570, subpart C, particularly Secs. 570.201 through
570.206. Ineligible activities are listed at Sec. 570.207.
Additionally, an activity which otherwise is eligible under
Secs. 570.201 through 570.206 may not be funded if State or local law
requires that it be carried out by a governmental entity.
(2) Examples of Eligible Activities. Examples of activities that
generally can be carried out with these funds include, but are not
limited to:
(a) Acquisition of real property;
(b) Clearance and demolition;
(c) Rehabilitation of residential structures to increase housing
opportunities for low- and moderate-income persons and rehabilitation
of commercial or industrial buildings to correct code violations or for
certain other purposes; e.g., making accessibility and visitability
modifications to housing. Applicants proposing to undertake this
activity will be required to provide reasonable estimates, from a
qualified entity other than the applicant, of the cost to complete
projects. Such an entity must be involved in the business of housing
rehabilitation, construction and/or management;
(d) Direct homeownership assistance to low- and moderate-income
persons, as provided in section 105(a)(25) of the Housing and Community
Development Act of 1974;
(e) Acquisition, construction, reconstruction, rehabilitation, or
installation of public facilities and improvements, such as water and
sewer facilities and streets. Applicants proposing to undertake this
activity will be required to provide reasonable estimates, from a
qualified entity other than the applicant, of the cost to complete
projects. Such an entity must be involved in the business of housing
rehabilitation, construction and/or management;
(f) Special economic development activities described at 24 CFR
570.203;
(g) Eligible public service activities, including activities that
provide a continuum of care for the homeless; adult basic education
classes; GED preparation and testing; job and career counseling and
assessment; citizen participation academies, and public access
telecommunications centers including ``Campus of Learners'' (COL) and
``Neighborhood Networks'' (NN); social and medical services; other
support activities for youth, senior citizens, and other low- and
moderate-income residents; and/or fair housing services designed to
further the fair housing objectives of the Fair Housing Act (42 U.S.C.
3601-20) by making all persons, without regard to race, color,
religion, sex, national origin, family status and/or disability aware
of the range of housing opportunities available to them;
(h) Assistance to facilitate economic development by providing
technical or financial assistance for the establishment, stabilization,
and expansion of microenterprises, including minority enterprises;
(i) Establishment of a Community Development Corporation (CDC) to
undertake eligible activities;
(j) Assistance to a community based development organization (CBDO)
to carry out a CDBG neighborhood revitalization, community economic
development, or energy conservation project, in accordance with 24 CFR
570.204. This could include activities in support of a HUD approved
local CDBG Neighborhood Revitalization Strategy (NRS) or HUD approved
State CDBG Community Revitalization Strategy (CRS). HBCUs proposing a
Community Development Corporation (CDC) component may qualify for CBDO
activities; and
(k) Program administration costs related to the planning and
execution of community development activities assisted in whole or in
part with grant funds. In order to expand the capacity of HBCUs
eligible under this SuperNOFA, applicants may propose to use up to 10%
of the award funds to acquire technical assistance (TA) from a
qualified TA provider to assist in implementing the proposed
activities. While applicants are responsible for ensuring that
potential TA providers are qualified, HUD would expect that the most
qualified providers would be entities/organizations that have
demonstrated the expertise and capacity to successfully conceptualize,
develop and implement community and economic development projects and
initiatives similar to those proposed by the applicant. Although pre-
award technical assistance costs may not be paid out of grant funds
(not including matching funds, if any), applicants expecting to need
technical assistance are encouraged,
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