[Federal Register Volume 61, Number 96 (Thursday, May 16, 1996)]
[Notices]
[Pages 24868-24873]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-12274]
[[Page 24867]]
_______________________________________________________________________
Part III
Department of Housing and Urban Development
_______________________________________________________________________
Notice of Funding Availability for Community Outreach Partnership
Centers (COPC); Notice
Federal Register / Vol. 61, No. 96 / Thursday, May 16, 1996 /
Notices
[[Page 24868]]
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4056-N-01]
Office of the Assistant Secretary for Policy Development and
Research, NOFA for Community Outreach Partnership Centers (COPC)
AGENCY: Office of the Assistant Secretary for Policy Development and
Research, HUD.
ACTION: Notice of Funding Availability (NOFA) for Fiscal Year 1996.
-----------------------------------------------------------------------
SUMMARY: This NOFA announces the availability of approximately $7.4
million to implement the third year of a demonstration program to make
grants to public and private nonprofit institutions of higher education
to assist in establishing or carrying out research and outreach
activities addressing the problems of urban areas. These funds shall be
used to establish and operate Community Outreach Partnership Centers
(COPC).
The NOFA contains information concerning:
(1) The principal objectives of the competition, the funding
available, eligible applicants and activities and factors for award;
(2) The application process, including how to apply and how
selections will be made; and
(3) A checklist of application submission requirements.
DATES: Application kits may be requested on or after May 21, 1996.
Applications must be physically received by the Office of
University Partnerships, in care of the Division of Budget, Contracts,
and Program Control, in Room 8230 by 4:30 p.m. Eastern Daylight Savings
Time on July 25, 1996. The above-stated application deadline is firm as
to date, hour and place. In the interest of fairness to all competing
applicants, the Department will treat as ineligible for consideration
any application that is received after the deadline. Applicants should
take this practice into account and make early submission of their
materials to avoid any risk of loss of eligibility brought about by
unanticipated delays or other delivery-related problems. Applicants
hand-delivering applications are advised that considerable delays may
occur in attempting to enter the building because of security
procedures.
ADDRESSES: To obtain a copy of the application kit, contact: HUD USER,
ATTN: COPC, P.O. Box 6091, Rockville, Maryland 20850. Requests for
application kits must be in writing, but requests may be faxed to: 301-
251-5747 (this is not a toll-free number). Requests for application
kits must include the applicant's name, mailing address (including zip
code), telephone number (including area code) and must refer to
``Document FR-4056.'' The application kit is also available on the
Internet from the Office of University Partnerships Clearinghouse. The
Clearinghouse can be accessed from the World Wide Web at: http://
oup.aspensys.com:89; or from a Gopher Server at: gopher://
oup.aspensys.com:77.
FOR FURTHER INFORMATION CONTACT: 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) 708-1537. Hearing or
speech-impaired individuals may call HUD's TTY number (202) 708-0770,
or 1-800-877-8399 (Federal Information Relay service TTY). Other than
the ``800'' number, these are not toll-free numbers. Ms. Karadbil can
also be contacted via the Internet at Jane__R.__Karadbil@hud.gov.
SUPPLEMENTARY INFORMATION:
Paperwork Reduction Act Statement
The information collection requirements contained in this notice
have been submitted to the Office of Management and Budget (OMB) for
review under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).
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. The OMB control number, when assigned, will be
announced by a separate notice in the Federal Register.
I. Purpose and Substantive Description
A. Authority
This competition 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 (P.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. The COPC Act also required HUD to establish a national
clearinghouse to disseminate information resulting from research and
outreach conducted at the centers.
COPC is administered by the Office of University Partnerships (OUP)
in the Office of Policy Development and Research. OUP is responsible
for four of the Department's grant programs for institutions of higher
education--Community Outreach Partnership Centers program, Joint
Community Development program, Community Development Work Study
program, and the Doctoral Dissertation Grant program. In addition, OUP
is responsible for a variety of new outreach initiatives to involve
these institutions in local community development, public housing, and
revitalization partnerships.
B. Allocation and Form of Award
The competition in this NOFA is for $7.4 million to fund the third
year of the COPC program authorized as indicated above.
HUD has decided that it is important to ensure the
institutionalization of the work of the current COPC grantees as an
integral part of the teaching, service, and research missions of their
colleges and universities as well as to fund new grantees.
Institutionalization was not an emphasis of the program in the last two
funding rounds and current COPC grantees did not necessarily focus
their programs on it. HUD has decided to set aside part of the FY 1996
allocation to promote institutionalization among current grantees.
Therefore, there will be two separate competitions within this year's
funding. To institutionalize their COPC functions, $1.1 million will be
set-aside for a competition among the grantees awarded two-year grants
in FY 1994. The remaining $6.3 million will be used to fund new COPC
grantees. FY 1994 grantees are only eligible for Institutionalization
Grants, not for New Grants. (FY 1995 COPC grantees are not eligible for
either kind of grant.) If any funds set-aside for Institutionalization
Grants are not awarded, they will be used instead as part of the
funding for New Grantees. (Program requirements for
Institutionalization Grants are the same as for New Grants, except as
noted in Section V. below.) It is estimated that approximately 15 COPC
awards to new grantees can be made with the $6.3 million available.
This year, each New Grant made under the COPC program will be for a
maximum three-year period of performance. The grants in previous
funding rounds were for two years. However, HUD has decided that a
longer grant period is needed to institutionalize local programs and
has extended the grant period for one year. The maximum size of any New
Grant will be $400,000, while the minimum will be $250,000. Applicants
must submit an application within this range or they will be
disqualified.
[[Page 24869]]
C. Description of Competition
The Congress has mandated that the Department carry out ``a 5-year
demonstration to determine the feasibility of facilitating partnerships
between institutions of higher education and communities to solve urban
problems through research, outreach and the exchange of information.''
The COPC Act stipulates that grants are to go to public and private
institutions of higher education to establish and operate COPCs. These
COPCs shall: ``(A) Conduct competent and qualified research and
investigation on theoretical or practical problems in large and small
cities; and (B) Facilitate partnerships and outreach activities between
institutions of higher education, local communities, and local
governments to address urban problems.''
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.''
COPC programs must combine research with outreach, work with
communities and local governments and address the multi-dimensional
problems that beset urban areas. Single purpose applications are not
eligible. Applications must be multifaceted and address three or more
urban problems, as described in selection factor #1. The scope of
applications for Institutionalization Grants is covered elsewhere
below.
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, in
applying these results to specific real-life urban problems.
The five 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) 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; (4) the
assistance to neighborhoods should be provided primarily by the
faculty, students, or to a limited extent, by neighborhood residents or
community-based organizations funded by the university; and (5) 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.
D. Eligible Applicants
Applicants for this competition must be 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. Applicants must submit proposals that
address the problems of urban areas.
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.
In previous funding rounds, the Department decided that community
colleges would not be separately eligible but would have to apply as
part of a consortium with eligible institutions. The Department now
believes that many community colleges not only can implement the kind
of comprehensive projects funded under COPC, but also have a growing
capacity to conduct applied research. For these reasons, the Department
has changed its earlier position and will allow community colleges to
apply on their own. However, consortia of institutions are still
eligible to apply. The selection criterion on consortia has been
deleted because its primary purpose was to encourage community colleges
to apply. That selection criterion created a specific definition of a
consortium. As long as the consortium is composed of eligible
applicants, its specific composition is now left to the applicant. If
the application is submitted on behalf of a consortium of institutions,
one institution must be designated as the legal applicant. Each
institution may be part of only one consortium or submit only one
application. Several institutions were disqualified last year because
they were part of more than one application. 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.
Universities awarded Joint Community Development (JCD) grants will
not be eligible to apply for New Grants, nor are FY 1994 or FY 1995
COPC grantees.
E. Program Requirements
Grantees must meet the following program requirements:
1. Responsibilities. In accordance with section 851(h) of the HCD
Act of 1992, each COPC shall:
``(a) 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;
(b) Establish outreach activities in areas identified in the grant
application as the communities to be served;
(c) 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;
(d) Coordinate outreach activities in communities to be served by
the Center;
(e) Facilitate public service projects in the communities served by
the Center;
(f) Act as a clearinghouse for dissemination of information;
(g) Develop instructional programs, convene conferences, and
provide training for local community leaders, when appropriate; and
(h) Exchange information with other Centers.''
The clearinghouse function in (f) above refers to a local or
regional clearinghouse for dissemination of information and is separate
and distinct from the functions in (h) above, which relate to the
provision of information to the National Clearinghouse.
2. Match. Grantees must meet the following match requirements:
(a) Research Activities. 50 percent of the total project costs of
establishing and operating research activities.
(b) Outreach Activities. 25 percent of the total project costs of
establishing and operating outreach activities.
[[Page 24870]]
This non-Federal share may include cash or the value of non-cash
contributions, equipment and other allowable in-kind contributions as
detailed in Attachment E of OMB Circular No. A-110, Grants and
Agreements with Institutions of Higher Education, Hospitals, and other
Nonprofit organizations.
In order to avoid confusion about the calculation of the match, an
example is provided.
Assume that the total project cost for a COPC was $500,000, with
$125,000 for research and $375,000 for outreach. Note that this project
meets the requirement that no more than 25 percent of the total project
costs be for research. The total amount of the required match would be
$156,250. The research match would be $62,500 ($125,000 X 50 percent)
and the outreach match would be $93,750 ($375,000 X 25 percent). The
Federal grant requested would be $343,750 ($500,000 minus the match of
$156,250). In calculating the match, administrative costs should be
applied to the appropriate attributable outreach or research component.
3. Administrative. The grant will be governed by the provision of
OMB Circulars A-110 (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
Institutions of Higher Education and other Nonprofit Institutions), as
implemented at 24 CFR part 45. No more than 20% of the Federal grant
funds may be used for planning and program administrative costs.
Overhead costs directly related to carrying out activities under
research and outreach need not be considered planning and program
administrative costs, since those costs are eligible under that
section. Moreover, the 20% limitation imposed under this program
applies only to Federal funds received through this grant, not to
matching funds.
F. Eligible Activities
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.
Such activities may not total more than one-quarter of the total
project costs contained in any grant made under this NOFA (including
the required 50 percent match).
2. Outreach, technical assistance and information exchange
activities which are designed to address specific problems in
designated communities and neighborhoods. Such activities must total no
less than three-quarters of the total project costs contained in any
grant made under this NOFA (including the required 25 percent 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 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 and residents to assist them
resolve local problems such as homelessness, housing discrimination,
and impediments to fair housing choice;
(d) 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) Work with local public housing authorities, 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; and
(g) Assistance to communities to improve the fair housing planning
process.
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 I.E.1.
G. Ineligible Activities
Ineligible activities are:
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. Rating Factors/Selection Process for New Grantees
A. Rating Factors
HUD will use the following criteria to rate and rank applications
for New Grants received in response to this NOFA. Selection factors for
Institutionalization Grants are described below in Section V.
The Department has made several changes to the selection criteria,
as described below. The factors and maximum points for each factor are
provided below. The maximum number of points is 100.
Rating of the ``applicant'' or the ``applicant's organization and
staff'', unless otherwise specified, will include any sub-contractors,
consultants and sub-recipients which are firmly committed to the
project.
(1) (5 points) The demonstrated research and outreach resources
available to the applicant for carrying out the purposes of the COPC
Act. 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 which
have clear near-term potential for practical application to significant
urban problems associated with affordable housing, fair housing,
economic development, neighborhood revitalization, infrastructure,
health care, job training, education, crime prevention, planning and
community organizing, and
(b) Undertaking outreach activities in specific communities to
solve or ameliorate significant urban problems. Under this factor, HUD
will also evaluate the capability of the applicant to provide
leadership in solving community problems and in making national
contributions to solving long-term and immediate urban problems. In the
FY 1994 competition, research and outreach resources and local and
national prominence were three separate selection factors.
(2) (5 points) The demonstrated commitment of the applicant to
supporting research and outreach programs by providing matching
contributions for the Federal assistance received. In rating this
factor, HUD will provide an increasing number of points for increasing
amounts of contributions beyond the statutory 50 percent for research
and 25 percent for outreach. Maximum points will be awarded for
applications that secure 50 percent more than the amount of match
required. Points for this factor have been reduced, with the additional
points being added
[[Page 24871]]
to Factor 7 on institutionalization. The latter factor is being
increased because the test of the institution's commitment is not only
how much in-kind contribution it is willing to make, but also the many
other ways it chooses to institutionalize community partnerships.
(3) (10 points) The extent of need in the communities to be served
by the applicant. The applicant must demonstrate that it is serving
areas with substantial low-income populations, low standards of living,
and large numbers of empty or abandoned dwellings. HUD will consider
the extent to which the proposal clearly delineates a need or needs in
the specific communities or neighborhoods, that can be resolved through
the activities of a COPC. The applicant must demonstrate how these
needs were determined and how the COPC will help resolve these needs.
The applicant should demonstrate a strong familiarity (based on
sufficient investigation) with the existing and planned efforts of
government agencies, community-based organizations, faith-based
institutions, for-profit firms and any 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 impacts.
(4) (10 points) The demonstrated ability of the applicant to
disseminate results of research and successful strategies developed
through outreach activities to other COPCs and communities served
through this demonstration program. In rating this factor, HUD will
evaluate the past experience of the applicant's staff and the scope and
the quality of the applicant's proposal to disseminate information on
COPC research results and strategies to: (a) local communities in its
area and (b) other communities and COPCs through the OUP Clearinghouse.
(5) (35 points) The projects and activities that the applicant
proposes to carry out under the grant. This factor has three sub-
factors: (a) effectiveness of the research strategy (10 points); (b)
effectiveness of the outreach strategy (15 points); and (c) work on
specific HUD priority activities (10 points).
(a) In rating the effectiveness of the research strategy, HUD will
consider:
(i) The extent to which the applicant's proposal outlines a clear
research agenda, based on a thorough familiarity with existing research
on the subject, that can be successfully carried out within the grant
period. (The applicant should demonstrate that the proposed research
builds on existing research in the field and does not duplicate
research previously completed, or currently underway, by others.); and
(ii) The extent to which the applicant demonstrates how the
research to be undertaken will fit into the outreach strategy and
activities. Although the proposed outreach activities should be
supported by a reasonably strong existing knowledge base, an
application is strengthened to the extent that the proposed research
will further inform--and be strengthened by knowledge gained through--
the outreach activities.
(b) In rating the effectiveness of the outreach strategy factor,
HUD will consider the extent to which:
(i) The application identifies a clear outreach agenda related to
locally-identified needs that can be successfully carried out within
the period of this grant;
(ii) The outreach agenda includes design or strengthening and
implementation of a community strategy to resolve community and
neighborhood problems. Applicants will be expected to have involved the
community in designing the strategy and to identify an agenda that they
have already worked with the community to design;
(iii) There is a plan for involving the university in the execution
of the outreach strategy; and
(iv) The outreach program provides for on-site or a frequent
presence in the communities and neighborhoods to be assisted through
outreach activities.
(c) If all of the applicant's work is to be in an Empowerment Zone
or Enterprise Community, five (5) points will be awarded. If some of an
applicant's work is related to public housing transformation,
distressed assisting housing, or Campus of Learners/Neighborhood
Networks, five (5) points will be awarded.
(6) (10 points) The extent of neighborhood and neighborhood based
organization participation in the planning and implementation of the
COPC. In rating this factor, HUD will consider whether:
(a) One or more effective community advisory committees comprised
of representatives of local institutions and a balance of the race,
ethnic, disability status, gender and income of residents of the
communities to be served has been or will be formed to participate in
identifying local needs to be addressed by the COPC and to form a
partnership with the COPC to develop and implement strategies to
address those needs. 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 persons whose involvement they
will seek.
(b) There is a plan for involving the community advisory
committee(s) in the execution of the research and outreach agenda; and
(c) The outreach agenda includes training projects for local
community leaders, when appropriate.
(7) (25 points) The extent to which the proposed COPC will result
in the institutionalization of the COPC function and activities as part
of the urban mission of the institution. In reviewing this factor, HUD
will consider the extent to which the COPC activities are part of, and
will enhance, a broader set of existing or planned activities and a
climate that rewards faculty and student work on these activities, and
the extent to which these activities are supported at the highest
levels of institutional leadership. This factor has been substituted
for the factor on the interrelatedness of the project's components
because HUD believes that only through institutionalization of these
activities will institutions be able to truly meet their urban mission.
The points related to the eliminated consortium factor have been merged
into this factor, to underscore its importance to HUD.
B. Selection Process for New Grantees
Applications for funding under this NOFA will be evaluated
competitively and points will be awarded as specified in the Rating
Factors section described above. After assigning points based upon the
factors all applications will be listed in rank order. Applications
will then be funded in rank order until all available funds have been
expended. However, in order to be funded, an applicant must receive a
minimum score of 70. HUD reserves the right to fund all or portions of
the proposed activities identified in each application, based upon the
eligibility of the proposed activities.
If two or more applications have the same number of points, the
application with the most points for rating factor (7) shall be
selected. If there is still a tie, the application with the most points
for rating factor (6) shall be selected.
If the amount remaining after funding as many of the highest
ranking applications as possible is insufficient for the next highest
ranking application, HUD shall determine (based upon the proposed
activities) if it is feasible to fund part of the application and offer
a smaller grant to the applicant. If HUD determines that given the
proposed activities a smaller grant amount would render the activities
infeasible, or if the
[[Page 24872]]
applicant turns down the reduced grant amount, HUD shall make the same
determination for the next highest ranking application until all
applications with scores of at least 70 points or available funds have
been exhausted.
C. Geographic Distribution
HUD reserves the right to make selections out of rank order to
provide for a 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 is achieved.
It is HUD's intent to fund at least one eligible applicant (see
Section I.D.) that serves the 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.
III. Application Process
A. Obtaining Applications
To obtain a copy of the application kit, contact: HUD USER, ATTN:
COPC, P.O. Box 6091, Rockville, Maryland 20850. Requests for
application kits must be in writing, but requests may be faxed to: 301-
251-5747 (this is not a toll-free number). Requests for application
kits must include the applicant's name, mailing address (including zip
code), telephone number (including area code) and must refer to
``Document FR-4056.'' HUD strongly recommends the use of the fax
transmission option to promote accuracy and expedite HUD response time.
The application kit is also available on the Internet from the Office
of University Partnerships Clearinghouse. The Clearinghouse can be
accessed from the World Wide Web at: http://oup.aspensys.com:89; or
from a Gopher Server at: gopher://oup.aspensys.com:77.
B. Application Deadline
To be considered for funding, the application package must be
physically received by the Office of University Partnerships, Office of
Policy Development and Research, Department of Housing and Urban
Development, in care of the Division of Budget, Contracts, and Program
Control, Room 8230, 451 Seventh Street, SW., Washington, DC 20410 by
4:30 p.m. Eastern Daylight Savings Time on July 25, 1996. The
application deadline is firm as to date, hour and place. In the
interest of fairness to all competing applicants, the Department will
treat as ineligible for consideration any application that is received
after the deadline. Applicants should take this practice into account
and make early submission of their materials to avoid any risk of loss
of eligibility brought about by unanticipated delays or other delivery-
related problems. Applicants hand-delivering applications are advised
that considerable delays may occur in attempting to enter the building
because of security procedures.
IV. Checklist of Application Submission Requirements
A. Application Content
The application kit contains instructions which must be followed in
submitting an application. The following is a checklist of the
application contents that will be specified in the Request for Grant
Applications (the technical term for the application kit).
(1) Transmittal letter signed by the Chief Executive Officer of the
institution;
(2) OMB Standard Forms 424 (Application for Federal Assistance),
Form 424B (Non-Construction Assurances) and Budget;
(3) One- to two-page executive summary of the proposed COPC;
(4) Narrative Project Management Work Plan;
(5) Narrative statement addressing each of the rating factors in
Section II of this NOFA;
(6) Certifications and Exhibits--Applications must also include the
following:
(a) Drug-Free Workplace Certification.
(b) Form SF-LLL, Disclosure of Lobbying Activities, if applicable.
(7) Financial management and audit information.
V. Program and Application Requirements for Institutionalization Grants
(a) General Requirements. All requirements of Parts I, III and IV
of this NOFA apply also to this part unless otherwise herein noted. The
maximum size of any Institutionalization Grant will be $100,000, and
grant requests shall not exceed this amount. The term of the grant will
be for one year. If the grantee proposes entirely new activities, it
may conduct activities under both grants, until funds from both are
fully expended. If the applicant proposes continuation of current
activities, it must expend all the funds under the current grant before
expending any new funds under an Institutionalization Grant. Current
grantees may request a no-cost extension from HUD if necessary to
finish expending all their FY 1994 grant funds.
(b) Eligible Applicants. Only institutions awarded COPC grants in
FY 1994 are eligible for Institutionalization Grants. These grantees
are not eligible for New Grants. Institutionalization Grants to current
grantees will be for a one-year period. Universities that received
Joint Community Development Grants (JCD) are not eligible to compete
for Institutionalization Grants because they have already demonstrated,
through winning a JCD Grant, that they have institutionalized COPC-type
activities. Current COPC grantees that received grants as consortia
must apply again as consortia, with all current member institutions
participating in the proposed Institutionalization Grant, and with the
same lead applicant as in their current COPC.
(c) Eligible Activities. Instead of proposing a range of activities
to be undertaken, applicants should propose activities that will bring
their COPC projects to a successful conclusion or could result in
securing continuation funding from other sources.
(d) Rating Factors/Selection Process
(i) Rating Factors. The selection factors contained in Section
II.A. have been modified. Applicants will be required to meet three
selection factors (which are simply consolidations of the factors used
for new grantees), summarized as ``Past Performance,'' ``Proposed
Activities,'' and ``Potential for Institutionalization.'' Each factor
and the maximum points assigned to it are described below:
((a)) (30 points) The demonstrated past performance of the
applicant, as measured by: the research and outreach resources made
available to the applicant under the current COPC grant; the ability of
the applicant to provide local leadership and disseminate results of
the grant; and the effectiveness of the activities undertaken in the
grant.
((b)) (30 points) The effectiveness of the proposed research and
outreach activities, as measured by: need for the activities;
involvement of the community in these activities; demonstrated
commitment of the application by providing a matching contribution; and
likelihood that these activities can be successfully carried out within
the grant period.
((c)) (40 points) The potential of the proposed outreach strategy
to ensure institutionalization of the COPC
[[Page 24873]]
functions at the college or university, as measured by the extent to
which the proposed COPC functions will become an integral part of the
teaching, research and urban service mission of the institution and the
extent to which the COPC activities are supported by the highest levels
of institutional leadership. In reviewing this factor, HUD will
consider the extent to which the COPC activities are part of and will
enhance a broader set of existing or planned activities and will foster
a culture that rewards faculty and student work on these activities.
(ii) Selection Process. An applicant must receive a score of at
least 70 points in order to be funded. Applications will be rated but
not ranked. There is sufficient funding for all eligible applications.
Applications requesting over $100,000 will be ineligible.
VI. Corrections to Deficient Applications
After the submission deadline date, HUD will screen each
application to determine whether it is complete. If an application
lacks certain technical items or contains a technical error, such as an
incorrect signatory, HUD will notify the applicant in writing that it
has 14 calendar days from the date of HUD's written notification to
cure the technical deficiency. If the applicant fails to submit the
missing material within the 14-day cure period, HUD may disqualify the
application.
This 14-day cure period applies only to non-substantive
deficiencies or errors. Any deficiency capable of cure will involve
only items not necessary for HUD to assess the merits of an application
against the factors specified in this NOFA.
VI. Other Matters
Environmental Review
In accordance with 40 CFR 1508.4 of the regulations of the Council
on Environmental Quality and 24 CFR 50.20(b) of the HUD regulations,
the policies and procedures in this document relate only to the
provision of research, training and technical assistance which do not
result in physical change and therefore are categorically excluded from
the requirements of the National Environmental Policy Act.
Federalism Impact
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that the policies
and procedures contained in this notice will not have substantial
direct effects on States or their political subdivisions, or the
relationship between the federal government and the States, or on the
distribution of power and responsibilities among the various levels of
government. As a result, the notice is not subject to review under the
Order. Specifically, the notice solicits participation in an effort to
provide assistance to institutions of higher education for establishing
and carrying out research and outreach activities addressing the
problems of urban areas. The COPCs established under this notice will
work with local communities to help resolve urban problems. The notice
does not impinge upon the relationships between the Federal government
and State or local governments.
Impact on the Family
The General Counsel, as the Designated Official under Executive
Order 12606, The Family, has determined that this notice will likely
have a beneficial impact on family formation, maintenance, and general
well-being. The assistance to be provided by the funding under this
NOFA is expected to help local residents to become self-sufficient by
improving living conditions and standards. Accordingly, since the
impact on the family is beneficial, no further review is considered
necessary.
Documentation and Public Access Requirements: HUD Reform Act
HUD will ensure that documentation and other information regarding
each application submitted pursuant to this NOFA are sufficient to
indicate the basis upon which assistance was provided or denied. This
material, including any letters of support, will be made available for
public inspection for a five-year period beginning not less than 30
days after the award of the assistance. Material will be made available
in accordance with the Freedom of Information Act (5 U.S.C. 552) and
HUD's implementing regulations at 24 CFR part 15. In addition, HUD will
include the recipients of assistance pursuant to this NOFA in its
Federal Register notice of all recipients of HUD assistance awarded on
a competitive basis. (See 24 CFR 12.14(a) and 12.16(b), and the notice
published in the Federal Register on January 16, 1992 (57 FR 1942), for
further information on these requirements.)
Prohibition Against Advance Information on Funding Decisions
HUD's regulation implementing section 103 of the Department of
Housing and Urban Development Reform Act of 1989, codified as 24 CFR
part 4, applies to the funding competition announced today. The
requirements of the rule continue to apply until the announcement of
the selection of successful applicants. HUD employees involved in the
review of applications and in the making of funding decisions are
limited by part 4 from providing advance information to any person
(other than an authorized employee of HUD) concerning funding
decisions, or from otherwise giving any applicant an unfair competitive
advantage. Persons who apply for assistance in this competition should
confine their inquiries to the subject areas permitted under 24 CFR
part 4.
Applicants or employees who have ethics related questions should
contact the HUD Office of Ethics (202) 708-3815. (This is not a toll-
free number.) For HUD employees who have specific program questions,
such as whether particular subject matter can be discussed with persons
outside HUD, the employee should contact the appropriate Field Office
Counsel, or Headquarters counsel for the program to which the question
pertains.
Protection of Human Subjects
45 CFR part 46, Subtitle A on the protection of human subjects does
not apply to the COPC program because the research activities to be
conducted under the program are only incidentally regulated by the
Department solely as part of its broader responsibility to regulate
certain types of activities whether research or non-research in nature.
Authority: 42 U.S.C. 5307 note.
Dated: May 8, 1996.
Michael A. Stegman,
Assistant Secretary for Policy Development and Research.
[FR Doc. 96-12274 Filed 5-15-96; 8:45 am]
BILLING CODE 4210-62-P
