[Federal Register Volume 62, Number 88 (Wednesday, May 7, 1997)]
[Notices]
[Pages 25082-25097]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-11881]
[[Page 25081]]
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Part IV
Department of Housing and Urban Development
_______________________________________________________________________
Funding Availability for Housing Opportunities for Persons With AIDS;
Notice
Federal Register / Vol. 62, No. 88 / Wednesday, May 7, 1997 /
Notices
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4210-N-01]
Notice of Funding Availability for Housing Opportunities for
Persons With AIDS
AGENCY: Office of the Assistant Secretary for Community Planning and
Development, HUD.
ACTION: Notice of Funding Availability (NOFA).
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SUMMARY: This Notice announces the availability of $19,600,000 in funds
to be allocated by competition for housing assistance and supportive
services under the Housing Opportunities for Persons With AIDS (HOPWA)
program. This NOFA contains information concerning eligible applicants,
the funding available, the categories of assistance, including Special
Projects of National Significance, projects under the HIV Multiple-
Diagnoses Initiative (MDI) and projects in areas that do not receive
HOPWA formula allocations, the availability of funds for national HOPWA
technical assistance, the availability of additional funds for current
MDI grantees for additional evaluation activities, the use of
performance measures, the rating criteria, the application package, its
processing, and the selection of applications.
DEADLINE DATE: Applications for HOPWA assistance are due in HUD
Headquarters by midnight Eastern Time on July 15, 1997.
Before and on the deadline date, and during normal business hours
(up to 6:00 pm) completed applications will be accepted at the
Processing and Control Branch, Room 7251, Office of Community Planning
and Development (CPD) in Washington at the address below.
On the deadline date and after normal business hours (after 6:00
pm), hand-carried applications will be received at the South Lobby of
the Department of Housing and Urban Development at the address below.
HUD will treat as ineligible for consideration delivered applications
that are received after that deadline.
Applications Mailed. Applications will be considered timely filed
if postmarked before midnight on July 15, 1997, and received by HUD
Headquarters within ten (10) days after that date.
Applications Sent by Overnight Delivery. Overnight delivery items
will be considered timely filed if received before or on July 15, 1997,
or upon submission of documentary evidence that they were placed in
transit with the overnight delivery service by no later than July 15,
1997, and received by HUD Headquarters within ten (10) days after that
date.
No facsimile (FAX). Applications may not be sent by FAX.
Copies of Applications to Field Offices. Two copies of the
application must also be sent to the HUD Field Office serving the area
in which the applicant's projects are located or, in the case of a
project that proposes to undertake activities on a national basis, the
area in which the applicant's administering office is located. Field
office copies must be received by the application deadline as well, but
a determination that an application was received on time will be made
solely on receipt of the application at HUD Headquarters in Washington.
All three copies may be used in reviewing the application.
ADDRESSES: For a copy of the application package and supplemental
information please call the Community Connections information center at
1-800-998-9999 (voice) or 1-800-483-2209 (TTY), or by internet at
www.hud.gov/fundopp.html.
The address of the HUD Headquarters is: Processing and Control
Branch, Room 7251, Office of Community Planning and Development (CPD),
Department of Housing and Urban Development, 451 Seventh Street, S.W.,
Washington, D.C. 20410, Attention: HOPWA Funding. A list of the CPD
Directors in the area CPD offices appears at the end of this NOFA.
ELECTRONIC COPY: You may obtain an electronic copy of the HOPWA
application form that may be used in applying under this notice as well
as a copy of this NOFA with attached Frequently Asked Questions (FAQ)
and other information, via HUD's World Wide Web home page at
www.hud.gov/fundopp.html. The electronic copy of the application is
available on HUD's home page in a Portable Document Format (pdf) that
can be used in preparing the standard forms, narrative exhibits and the
budget exhibit for your application. Material from this electronic
version can be used interchangeably with the printed application. The
additional general information on the HUD Home Page provides
descriptions of grants selected in prior HOPWA competitions and
summaries of area consolidated plans, as well as information on other
HUD programs. Instructions on how to access the application and the
files are available at those sites.
Promoting Comprehensive Approaches to Housing and Community Development
HUD is interested in promoting comprehensive, coordinated
approaches to housing and community development. Economic development,
community development, public housing revitalization, homeownership,
assisted housing for special needs populations, supportive services,
and welfare-to-work initiatives can work better if linked at the local
level. Toward this end, the Department in recent years has developed
the Consolidated Planning process designed to help communities
undertake such approaches.
In this spirit, it may be helpful for applicants under this NOFA to
be aware of other related HUD NOFAs that have recently been published
or are expected to be published in the near future. By reviewing these
NOFAs with respect to their program purposes and the eligibility of
applicants and activities, applicants may be able to relate the
activities proposed for funding under this NOFA to the recent and
upcoming NOFAs and to the community's Consolidated Plan.
The list of related NOFAs the Department has published in the
Federal Register in the last few weeks includes:
The Continuum of Care Homeless Assistance NOFA (including the
Supportive Housing Program, the Shelter Plus Care program, and the Sec.
8 Moderate Rehabilitation Single Room Occupancy Programs for Homeless
Individuals), published on April 8, 1997 (62 FR 17024); The Family
Unification NOFA, published on April 18, 1997 (62 FR 19208); The
Designated Housing NOFA, published on April 10, 1997 (62 FR 17672); and
The NOFA for Mainstream Housing Opportunities, published on April 10,
1997 (62 FR 17666).
The related NOFAs that the Department expects to publish in the
next few weeks include the following: The Supportive Housing for the
Elderly NOFA; The Housing for Persons With Disabilities NOFA; and The
Service Coordinator Funds NOFA.
To foster comprehensive, coordinated approaches by communities, the
Department intends for the remainder of FY 1997 to continue to alert
applicants to upcoming and recent NOFAs as each NOFA is published. In
addition, a complete schedule of NOFAs to be published during the
fiscal year and those already published appears under the HUD Homepage
on the Internet, which can be accessed at http://
[[Page 25083]]
www.hud.gov/fundopp.html. Additional steps on NOFA coordination may be
considered for FY 1998.
For help in obtaining a copy of your community's Consolidated Plan,
please contact the community development office of your municipal or
State government.
FOR FURTHER INFORMATION AND TECHNICAL ASSISTANCE CONTACT: A video
presentation providing general background that can be useful in
preparing your application can be obtained for a nominal fee from the
Community Connections information center. The fee may be waived in the
event of financial hardship.
For answers to your questions, you have several options: you may
contact the HUD CPD office that serves your area, at the phone and
address shown in the appendix; you may contact the Community
Connections information center at 1-800-998-9999 (voice); 1-800-483-
2209 (TTY) or by email at comcon@aspensys.com; or you may contact the
Office of HIV/AIDS Housing at 1-202-708-1934 (voice) or by 1-800-877-
8339 (TTY) at HUD Headquarters.
An appendix also provides frequently asked questions and answers on
the HOPWA competition. Information is also available on the HOPWA
program, including descriptions of the 1996 competitive grants, area
consolidated plans and other related topics on the HUD HOME Page on the
World Wide Web at http://www.hud.gov.
Prior to the application deadline, staff will be available to
provide general guidance, but not guidance in actually preparing the
application. Staff in the HUD CPD office that serves your area also
will be available to help identify organizations in your community that
are involved in developing the area's Consolidated Plan and Continuum
of Care system. Following conditional selection, HUD staff will be
available to assist in clarifying or confirming information that is a
prerequisite to the offer of a grant agreement by HUD. However, between
the application deadline and the announcement of conditional
selections, HUD will accept no information that would improve the
substantive quality of the application pertinent to the funding
decision.
SUPPLEMENTARY INFORMATION:
Paperwork Reduction Act Statement
The information collection requirements for the HOPWA program have
been approved under the Paperwork Reduction Act of 1995 (42 U.S.C.
3501-3520) by the Office of Management and Budget (OMB), and have been
assigned OMB control number 2506-0133 (exp. 5/31/97). An agency may not
conduct or sponsor, and a person is not required to respond to, a
collection of information unless the collection displays a valid
control number.
I. Purpose and Substantive Description
(a) Purpose and General Statement
Under selection procedures established in Section II, the funds
available under this NOFA will be used to fund projects for low-income
persons with HIV/AIDS and their families under three categories of
assistance:
(1) Grants for Special Projects of National Significance (SPNS)
which, due to their innovative nature or their potential for
replication, are likely to serve as effective models in addressing the
needs of eligible persons;
(2) Grants for projects under the HIV Multiple-Diagnoses Initiative
(MDI) which establish model and innovative projects that address the
needs of eligible persons who are also homeless and have chronic
alcohol and/or other drug abuse issues and/or serious mental illness;
and
(3) Grants for projects which are part of Long-term Comprehensive
Strategies (Long-term) for providing housing and related services for
eligible persons in areas that are not eligible for HOPWA formula
allocations.
In addition, the Department proposes to select at least one Special
Project of National Significance award to operate a national HOPWA
technical assistance program over three years, as described in
paragraph (g). This notice also provides for a separate selection
process for applications that request additional funds to complete,
modify and/or expand the evaluation of MDI projects that were selected
in the 1996 HOPWA competition. The program requirements for this
separate selection process for current MDI grants are described in
Section I(f)(4) and are provided in Section III, below.
The Department recommends that applicants for HOPWA assistance
under this NOFA emphasize client access to housing and to appropriate
supportive services in designing their programs. In establishing goals
to end the epidemic of HIV and AIDS, President Clinton identified, in
The National AIDS Strategy (issued in December 1996), the national goal
of ensuring that all people living with HIV have access to services,
from health care to housing and supportive services, that are
affordable, of high quality, and responsive to their needs. The
Strategy further recognized that ``without stable housing a person
living with HIV has diminished access to care and services and a
diminished opportunity to live a productive life.'' In addition, the
Department recommends that proposals also emphasize how they will meet
requirements for the accessibility of the housing to be provided to
eligible persons, and applicants may also address the visitability of
units and structures, including integrating universal design features
that provide basic accessibility in entry and mobility throughout
structures and other modifications that respond to the needs of clients
with disabilities.
The Department anticipates selecting projects under each of the
three categories of assistance that will serve as model components of
the community's larger effort to use Federal and other resources to
meet area needs, including the development of a consolidated plan for
these resources and the creation of a continuum of care system to
assist homeless persons. For a community to successfully address its
often complex and interrelated problems, including homelessness and the
risk of homelessness among persons living with HIV/AIDS and their
families, the community must marshal its varied community and economic
development resources, and use them in a coordinated and effective
manner.
The Consolidated Plan serves as the vehicle for a community to
comprehensively identify each of its needs and to coordinate a plan of
action for addressing them. Within the context of the consolidated
plan, communities are also asked to address the needs of persons who
are homeless by creating, improving and/or maintaining the area's
Continuum of Care system.
The Continuum of Care system seeks to achieve two goals: (1)
maximum participation by non-profit providers of housing and services;
homeless and formerly homeless persons; State and local governments and
agencies; veteran service organizations; the private sector; housing
developers; homeless persons with disabilities; foundations and other
community organizations; and (2) creation, maintenance and building
upon the community-wide inventory of housing and services for homeless
families and individuals; identification of the full spectrum of needs
of homeless families and individuals; and coordination of efforts to
obtain resources, particularly resources sought through the
Department's Continuum of Care NOFA to fill gaps between the current
inventory and existing needs.
Under the MDI category, this notice continues for a second year a
HUD initiative to assist homeless persons who are living with HIV/AIDS
who have
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chronic alcohol and/or other drug abuse issues and/or serious mental
illness. The 1996 notice was published on February 28, 1996, at 61 FR
7664. The 1996 initiative responded to recommendations expressed during
the 1995 White House Conference on HIV and AIDS, as well as to
recommendations to HUD by residents and providers of HIV/AIDS housing.
The National AIDS Strategy noted the importance of this 1996 initiative
by HUD and the Department of Health and Human Services (HHS) and stated
that efforts ``to improve integration will be continued and expanded,
with special attention to linking HIV and substance abuse prevention
and services.'' The HIV Multiple-Diagnoses Initiative continues to be a
collaborative effort to establish, evaluate and disseminate information
on model programs to provide the integration of health care and other
supportive services with housing assistance for eligible persons. The
initiative targets assistance to homeless persons who often have
complex needs and for whom service systems are often least developed.
(b) Authority
The assistance which may be made available under this NOFA is
authorized by the AIDS Housing Opportunity Act (42 U.S.C. 12901) and
from the Department's fiscal year 1997 appropriation, the ``Departments
of Veterans Affairs and Housing and Urban Development, and Independent
Agencies Appropriations Act, 1997,'' Pub. L. 104-204, approved
September 26, 1996.
The regulations for HOPWA are found at 24 CFR part 574. The Fiscal
Year 1997 program is governed by the HOPWA Final Rule, published in the
Federal Register on April 11, 1994 (59 FR 17194), 24 CFR Part 574. The
rule was amended by the Consolidated Submissions for Community Planning
and Development Programs, Final Rule, 24 CFR Part 91, published on
January 5, 1995 (60 FR 1878), amended by a Final Rule, General HUD
Program Requirements: Cross-Cutting Requirements, published on February
9, 1996 (61 FR 5198), and further amended by a Final Rule, Regulatory
Reinvention: Streamlining the Housing Opportunities for Persons with
AIDS Program, published on February 29, 1996 (61 FR 7962).
(c) Categories of Assistance
This notice will provide funds under three categories of assistance
for new grants that will be selected under section II:
(1) Grants for Special Projects of National Significance (SPNS)
which, due to their innovative nature or their potential for
replication, are likely to serve as effective models in addressing the
needs of eligible persons, including at least one grant for national
HOPWA technical assistance;
(2) Grants for projects under the HIV Multiple-Diagnoses Initiative
(MDI) which establish model and innovative projects that address the
needs of eligible persons who are also homeless and have chronic
alcohol and/or other drug abuse issues and/or serious mental illness;
and
(3) Grants for projects which are part of Long-term Comprehensive
Strategies (Long-term) for providing housing and related services for
eligible persons in areas that are not eligible for HOPWA formula
allocations in fiscal year 1997.
This notice will also provide funds for current MDI grantees under
section III.
(d) Eligibility
For new grants that will be selected under section II:
(1) States, units of general local government, and nonprofit
organizations may apply for grants for Special Projects of National
Significance and grants under the HIV Multiple-Diagnoses Initiative.
(2) Certain states and units of general local government may apply
for grants for projects under the Long-term category of grants, if the
proposed activities will serve areas that were not eligible to receive
HOPWA formula allocations in fiscal year 1997; an appendix describes
these areas. Nonprofit organizations are not eligible to apply directly
for the Long-term category of grants but may serve as a project sponsor
for an eligible state or local government grantee.
(e) Award Amounts and Performance Benchmarks
(1) Amount of Available Funds
A total of $19,600,000 is being made available by this NOFA. The
Department expects that approximately $9 million will be used under an
initiative to address the needs of multiply-diagnosed homeless persons
who are living with HIV/AIDS and have chronic alcohol and/or other drug
abuse issues and/or serious mental illness. Subject to the
reprogramming procedures required by the 1997 VA-HUD-Independent
Agencies Appropriations Act, P.L. 104-204, section 218, additional
funds may be awarded if funds are recaptured, deobligated, appropriated
or otherwise made available during the fiscal year.
(2) Maximum Grant Amounts
The maximum amount that an applicant may receive is $1,000,000 for
program activities. An applicant may receive up to 3 percent of the
amount that is awarded for program activities for grantee
administrative costs and, if the application involves project sponsors,
up to 7 percent of the amount that is provided to project sponsors for
program activities for the project sponsors' administrative costs. For
example, an applicant might receive up to an additional $100,000 for
administrative costs (potentially up to $30,000 for grantee
administrative costs and up to $70,000 for project sponsors'
administrative costs). Due to statutory limits on administrative costs,
no project sponsor administrative costs are available in cases where
the grantee directly carries out the program activities and that
grantee is limited to using up to 3 percent of the grant amount for
administering the grant. An applicant should note that the costs of
staff that are carrying out the program activities may be included in
those program activity costs and that costs may be prorated between
categories as may be appropriate. A sponsor is only eligible to use up
to 7 percent of the amount that they receive for the sponsor's
administrative costs.
For a MDI applicant only, this notice also makes available up to
$170,000 for program development support to undertake the MDI
evaluation and dissemination component described below in paragraph
(f)(3).
(3) Award Modifications
HUD reserves the right to fund less than the full amount requested
in any application, to make mathematical corrections, to remove funds
designated for an ineligible activity and to modify requests
accordingly. If a request is modified by HUD, the conditionally
selected applicant will be required to modify its project plans and
application to conform to the terms of HUD approval before execution of
a grant agreement. HUD also reserves the right to ensure that a project
that is applying for and eligible for selection under this and other
competitions, including the 1997 Continuum of Care Homeless Assistance
NOFA, is not awarded funds that duplicate activities.
(4) Performance Benchmarks
Funds received under this competition are expected to be expended
within three years following the date of the signing of a grant
agreement. As a condition of the grant, selected projects are expected
to
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undertake activities based on the following performance benchmarks: (a)
a project that involves the acquisition or leasing of a site is
required to gain site control within one year of their selection, i.e,
one year from the date of the signing of their selection letter by HUD;
(b) if the project is proposing to use HOPWA funds to undertake
rehabilitation or new construction activities, the project is required
to begin the rehabilitation or construction within eighteen months of
their selection and to complete the activity within three years of that
date; and (c) except for a project that involves HOPWA-funded
rehabilitation or construction activities, the project is required to
begin program operations within one year of their selection. If a
selected project does not meet the appropriate performance benchmark,
the Department reserves the right to cancel or withdraw the grant
selection or otherwise deobligate awarded funds. In exercising this
right, the Secretary may waive a termination action in cases that HUD
determines evidence that the delay and failure to meet the performance
benchmark are due to factors that were beyond the control of the
grantee.
(f) HIV Multiple-Diagnoses Initiative
(1) Overview of MDI
This notice implements, for a second year, an initiative to address
the needs of multiply-diagnosed homeless persons who are living with
HIV/AIDS and have chronic alcohol and/or other drug abuse issues and/or
serious mental illness. In 1996, this HUD-HHS initiative began to
address these needs by funding projects for model programs for
multiply-diagnosed clients under the Special Projects of National
Significance components of the HOPWA program administered by HUD and
the Ryan White CARE Act programs administered by HHS. During the 1996
competition, HUD received 78 approvable MDI applications which
requested over $79 million in HOPWA program funds. Based on their
responsiveness to the rating criteria, eight of these applications were
selected by the Department and awarded a total of $8,171,233 under the
MDI category of assistance. Applications that were not selected in
1996, as a result of available funds, constitute an example of the
unmet need in communities throughout the nation in assisting persons
who are homeless and are living with HIV/AIDS who also have chronic
alcohol and/or other drug abuse issues and/or serious mental illness.
The HOPWA assistance announced in this notice may be undertaken in
conjunction with related assistance available under the Ryan White CARE
Act as administered by the Department of Health and Human Services,
programs under the Department of Veterans Affairs, and other Federal,
state and local programs. Projects to be selected under the fiscal year
1997 HOPWA funding will also benefit from guidance or experience on
project successes and lessons learned as well as other information that
will be developed on the fiscal year 1996 MDI grantees through the
efforts of the HHS-funded Evaluation Technical Assistance Center. The
Center is undertaking national and multi-site evaluations and providing
support for project assessment for the MDI projects selected by HUD and
by HHS in 1996.
The Department estimates that approximately $9 million will be used
to address the needs of MDI clients. This expected amount will help
ensure that a sufficient number of applications, estimated to be six to
nine projects, are selected under the initiative in 1997 in order to
provide for the operation and evaluation of a variety of model programs
as well as provide additional resources to the targeted underserved
population. HUD reserves the right to reduce this estimate for the HIV
Multiple-Diagnoses Initiative and reallocate funds to the other
categories of assistance if an insufficient number of approvable
applications are received for this initiative.
(2) Standard MDI Elements
The Department advises applicants that, in proposing activities to
be funded under HOPWA and other sources, the following standard program
elements should be addressed in providing assistance to multiply-
diagnosed homeless persons who are living with HIV/AIDS and have
chronic alcohol and/or other drug abuse issues and/or serious mental
illness. Among those elements are:
Outreach to homeless persons who are living with HIV/AIDS
and have chronic alcohol and/or other drug abuse issues and/or serious
mental illness;
Client needs assessment and monitoring;
Short-term or transitional supportive housing;
Permanent supportive housing;
Health care and other supportive services that address the
needs of eligible homeless persons with chronic alcohol and/or other
drug abuse issues and/or serious mental illness;
Safe haven residences or other housing assistance for
homeless persons with serious mental illness that have minimal initial
demands on residents and do not require participation in services. It
is hoped and anticipated that, in time, safe haven clients will
participate in mental health programs and/or substance abuse programs
and move to or accept short-term, transitional or other supportive
housing;
Participant involvement in decision-making and project
operations;
Participant safety, how activities address required
accessibility to housing units and other structures, transportation
needs and access to community amenities are addressed;
Program evaluation in coordination with a nation-wide
multi-site evaluation; and
Optionally, other innovative features of the project.
The elements may be funded under this initiative or funded in part
under this initiative in connection with efforts supported from other
federal, state, local or private sources, including health-care and
other supportive services funded under the Ryan White CARE Act and
services for veterans under the Department of Veterans Affairs. Given
the limited amount of housing assistance funds available under this
program, HUD encourages applicants to fund supportive services
activities from non-HOPWA sources.
Under this initiative, the targeting of assistance to homeless
persons means that assistance is provided to persons who are sleeping
in emergency shelters (including hotels or motels used as shelter for
homeless families), other facilities for homeless persons, or places
not meant for human habitation, such as cars, parks, sidewalks, or
abandoned buildings. This includes persons who ordinarily live in such
places but are in a hospital or other institution on a short-term basis
(short-term is considered to be 30 consecutive days or less). In
targeting assistance, HUD expects that only an incidental percentage of
clients who are not homeless, as described above, but are at risk of
homelessness will be assisted under this initiative.
An applicant may propose to assist eligible persons in a Safe
Haven, which is a form of assistance designed to provide persons with
serious mental illness who have been living on the streets with a
secure, non-threatening, non-institutional, supportive environment. A
safe haven proposal should: (1) propose to serve hard-to-serve homeless
persons; (2) provide 24 hour residence; (3) provide private or semi-
private accommodations; (4) provide for accessibility, including,
optionally, for the common use of accessible kitchen facilities, dining
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rooms, and bathrooms; and (5) limit overnight occupancy to no more than
25 persons in any one structure. The rating criteria have been modified
for safe haven proposals to ensure that the special characteristics of
safe havens are not considered less competitive than alternative
supportive housing proposals.
(3) MDI Evaluations
A prime feature of any model project that will be selected under
the HIV Multiple-Diagnoses Initiative is the project's active
participation in the national evaluation of project activities and the
dissemination of information to other organizations in order to help
improve the systems of care and continuum-of-care initiatives for the
targeted population in other localities and nationally. The MDI
applicant must establish measurable objectives for their project in
their application and must agree to participate in the process and
outcome evaluation and dissemination component. This notice provides up
to $170,000 in additional funds to MDI applicants that sign the
agreement that is provided in the 1997 application package.
To ensure the highest degree of coordination in a nation-wide
multi-site evaluation of MDI projects that were selected in 1996 by HUD
and by HHS, this notice requires applicants for MDI grants to acquire
the services of the Evaluation Technical Assistance Center (ETAC). This
center was established by HHS in 1996 in collaboration with HUD to
advance knowledge and skills in HIV services delivery to stimulate the
design of innovative models of care by providing technical support and
evaluation of MDI projects selected under the related HUD and HHS
notices. In continuing MDI under this notice, HUD also recognizes the
continued national significance of creating effective evaluation tools
and disseminating information on a national basis on the success or
lessons learned from MDI projects.
As a condition of the MDI grant award, the grantee will use up to
$170,000 in additional program development and evaluation funds to
conduct their local evaluation activities as well as participate in
national evaluation meetings (for up to $90,000 of these funds) and to
acquire ETAC services to evaluate project performance and disseminate
information on project outcomes (for up to $80,000 of these funds). The
Department expects that six semiannual evaluation meetings will be held
with MDI participants over the three year operating period for these
grants.
Although successful MDI applicants will be assigned an ETAC
evaluator after selection, the applicant should consider designing and
proposing activities in their application that anticipate the planned
role of this evaluator. In assisting MDI grantees, the ETAC evaluator
will help: (1) Define research questions that will be addressed and
examined during the project period; (2) Design the full local
evaluation in consultation with the project director and staff; (3)
Develop instruments to assess qualitative and quantitative variables;
(4) Train project staff in the collection of data or collect the data;
(5) Monitor data collection activities to assure that submissions are
complete and accurate, including data coding and entry; (6) Analyze the
data collected; (7) Prepare reports summarizing findings; (8) Maintain
communications with the project director and staff in furtherance of
evaluation activities; (9) Assist in the ETAC 1997 national multi-site
data evaluation effort; and (10) Serve as a liaison to the national
multi-site data evaluation effort underway for MDI grantees that were
selected in 1996.
The program development support and evaluation activities are
eligible HOPWA activities under 24 CFR 574.300(b) (2) and (11) as:
``Resource identification to establish, coordinate and develop housing
assistance resources for eligible persons (including conducting
preliminary research and making expenditures necessary to determine the
feasibility of specific housing-related initiatives''; and ``For
competitive grants only, any other activity proposed by the applicant
and approved by HUD.'' The later paragraph is based on section 855 of
the AIDS Housing Opportunity Act (AHOA) that authorizes grantees
selected by HOPWA competitive funds to carry out other activities that
the Secretary develops in cooperation with eligible States and
localities. The Department has received recommendations that the
program place additional emphasis on technical assistance in the
planning, development and operation of projects as well as greater use
of information obtained through the evaluation of programs. In
addition, as noted by HUD in 1996 in establishing MDI, communities have
requested that additional efforts be made to address the needs of the
MDI target population, multiply-diagnosed homeless persons who are
living with HIV/AIDS who have chronic alcohol and/or other drug abuse
issues and/or serious mental illness. The use of funds for program
evaluation and dissemination of information responds to these
recommendations.
(4) Additional Evaluation Funds for Current MDI Grantees
The Department has decided to set aside part of the amounts
available under this NOFA to promote the evaluation and dissemination
of information among current MDI grantees. Therefore, as provided in
section III, a separate competition within this year's funding will be
undertaken to select applications from current MDI grantees that
propose responsive evaluation and dissemination activities. Under the
funds available in this NOFA, up to $400,000 will be set aside for a
competition among the grantees awarded MDI grants in fiscal year 1996.
It is estimated that the eight grantees that were selected under the
Department's 1996 HIV Multiple-Diagnoses Initiative will apply for and
be selected for up to $50,000 each under this selection to be used in
completing, modifying and/or expanding the planned evaluation of
project performance and dissemination of information on project
outcomes and in acquiring the services of the Evaluation Technical
Assistance Center, as described in paragraph 3. If any funds set aside
for current MDI grantees are not awarded at the time of selection, the
funds will be awarded under Part II for new grants.
The Department recognizes that the eligible applicants under this
paragraph were selected in the first national competition under MDI and
that, except for activities that would be completed, modified and/or
expanded for project evaluation with these 1997 funds, the grantees
will be carrying out activities that were already determined on a
competitive basis to be exemplary and/or innovative in responding to
the needs of the target population. The Department is therefore not
requiring that these potential applicants for 1997 funds resubmit their
1996 application that the Department has already reviewed and selected
for grant award in that prior competition. However, the Department will
require this group of applicants to submit a SF-424, Applicant
certifications, and a letter or other written documentation which
provides a justification based on need for and their plan to use funds
for evaluation activities. As provided in Section III, the Department
will review these 1997 applications based on rating criteria that have
been modified.
(g) National HOPWA Technical Assistance
The Department proposes to select at least one Special Project of
National
[[Page 25087]]
Significance award to operate a national HOPWA technical assistance
program over three years. From the funds to be made available under
this category, HUD reserves up to $1 million to be awarded to the
highest rated application (or applications) that proposes national
HOPWA technical assistance activities.
The Department anticipates that the selected national HOPWA
technical assistance proposal would provide technical assistance and
consultations to improve community-based needs assessments, multiple-
year HIV/AIDS housing planning, facility operations and other
management practices of organizations which provide or plan to provide
housing assistance and/or related supportive services for persons
living with HIV/AIDS and their families. The assistance would also
provide support for HOPWA grantees and project sponsors, including
recipients of HOPWA formula allocations and competitive awards and
designated first-time recipients of formula allocations. The
organizations would receive advice and training on capacity-building
and housing development and operation and the use of the Department's
Consolidated Planning Process, Integrated Disbursement and Information
System, and Grants Management System. The program may also provide
assistance in developing community-based needs assessments and
assistance for State-wide, metropolitan, non-metropolitan and/or rural
areas in development of area multi-year HIV and AIDS housing plans. A
research and information services component of this effort may include
the development of information on HIV/AIDS housing and the performance
of HOPWA grants which will be published for national distribution. This
component should emphasize the collection and dissemination of
information on the ``best practices'' of HUD grantees that should serve
as a basis for peer support, technical assistance, and program
improvement. As part of this technical assistance grant, the grantee
should plan for conducting grantee and sponsor workshops, developing
training materials and sponsoring conferences. HUD employees involved
in the management of the consolidated planning process and development
of Continuum of Care systems may also use materials developed under
this grant.
In proposing to select this award, the Department advises that
other proposals may also propose and be selected to use HOPWA funds for
program development and evaluation activities. HOPWA funds may be used
for these activities at 24 CFR 574.300(b) under these related
categories: technical assistance in establishing and operating a
community residence; resource identification to establish, coordinate
and develop housing assistance resources; housing information services;
and other proposed activities that are accepted by HUD. Applications
that propose these activities will be considered under the appropriate
category of assistance.
In addition, the full scope of technical assistance activities that
may be undertaken are eligible HOPWA activities under section 855 of
AHOA that authorizes grantees selected by HOPWA competitive funds to
carry out other activities that the Secretary develops in cooperation
with eligible States and localities. The Department has received
community recommendations that the program place additional emphasis on
technical assistance in the planning, development and operation of
projects as well as in undertaking the evaluation of performance from
grantees and project sponsors which have been administering HOPWA
formula allocations and/or competitive grants. The use of funds for
national technical assistance responds to these recommendations.
(h) Performance Measures and Measurable Objectives
(1) General Measures
Applicants under all three categories of assistance should
establish general HOPWA-related performance measures in connection with
more specific goals and objectives of their proposed activities. The
measures should reflect area needs assessments, priorities and other
elements of the strategic plan and one-year action plans under the
area's consolidated planning process and area Continuum of Care
systems. In soliciting proposed performance measures, the Department
anticipates that applications to be selected under this competition
will provide examples of best practices in developing and documenting
performance standards and outcomes in programs that assist HOPWA
eligible beneficiaries. The Department also anticipates that
information on these examples will be shared with other entities to
further promote the use of performance standards and program outcome
measures under the HOPWA program.
As general guidance, the applicant's objectives should relate to
two overall goals of the HOPWA program. These general goals are:
maximizing independent living; and maximizing self-determination. In
developing more standard, program-wide performance measures, this
notice recommends that applicants may benefit from using the following
examples of general performance measures:
A. In the area to be served, increase the number of short-term
housing units (or beds) that include access to related supportive
services by an estimated ``xx'' by the end of the program year and that
allow a client to maintain or to access permanent housing at the
completion of the short-term program; for example, a short-term program
that provides drug and/or alcohol abuse treatment and counseling or
mental health services with an outplacement to housing.
B. In the area to be served, increase the number of housing units
(or beds of supportive housing) by an estimated ``xx'' by the end of
the program year; for example, a program designed to offer housing with
access to service components which could assist clients in maintaining
daily living activities through an appropriate range of support.
(2) Measurable Objectives
In addition to performance measures, more responsive programs are
also likely to provide specific measurable objectives or milestones,
i.e. a time sensitive statement of planned accomplishments. For
measurable objectives or milestones, HUD will not consider the level of
expectation described for each objective. An application that sets 85%
for an objective is not necessarily ``better'' than one that sets 25%
as a realistic numerical objective for achievement. Once a program is
operating, the objectives become tools for monitoring the results that
are being accomplished.
(3) Goal: Maximizing Independent Living
This goal refers to assisting persons with HIV/AIDS to avoid, to
the maximum extent possible, institutional living and the expense of
hospitalization by increasing the availability of housing alternatives.
The housing to be provided may offer clients access to related
supportive services that could assist a client in maintaining daily
living activities through an appropriate range of support, including
helping to prevent homelessness by assisting clients maintain their
current residences. Efforts may also address the needs of HOPWA-
eligible clients who are homeless by coordinating assistance with area
Continuum of Care programs that assist persons who are homeless. The
goal recognizes that the economic burdens imposed by diseases related
to
[[Page 25088]]
HIV and AIDS can lead to homelessness and institutional living if
assistance is not available to help persons with HIV/AIDS remain in
their homes, with homecare as necessary, or move to community
residences offering health care services or more intensive care in a
non-institutional setting. This goal also recognizes that periods of
hospitalization can be unnecessarily prolonged if housing and health
care alternatives are not available.
Consistent with this goal, proposals should be designed to increase
the availability of non-institutional housing alternatives. Because a
single project funded under this notice cannot be expected by itself to
address the range of needed housing alternatives, the proposed
activities should be coordinated with other programs, to the maximum
extent possible, to form networks that can respond to the needs of
persons with HIV/AIDS and their families as those needs change over
time. For example, HOPWA projects should be integrated with area
Continuum of Care plans under the homeless assistance programs, to the
degree that area needs include persons living with HIV/AIDS who are
homeless. Programs should also show coordination with area health-care,
rental assistance and other supportive services that are funded under
the Ryan White CARE Act that is administered by the Department of
Health and Human Services. This is necessary to help achieve a non-
duplicative continuum of care approach to offering assistance to
eligible persons.
Examples of measurable objectives for maximizing independent
living. The following are examples of measurable objectives:
``X'' persons with HIV/AIDS will be receiving rental assistance in the
apartments in which they are currently living, with access to home
health care and homemaker/chore services within ``X'' months.
``X'' units in a community residence providing access to a range of
health care and personal support, including intensive care, as needed,
will become available within
``X'' months through the acquisition and renovation of a small
apartment building.
``X'' persons with HIV/AIDS currently living in emergency shelters will
move within
``X'' months to scattered-site apartments with rental assistance and
access to services.
(4) Goal: Maximizing Self-determination
This goal refers to the opportunities provided to participants to
make informed decisions that affect their lives. Those opportunities
could result from the participant's involvement in developing his or
her individualized plan for housing and related supportive services,
including participant selection of service providers. It could be shown
in the opportunities to select available legal, therapeutic and other
types of personal assistance, as well as educational, employment
assistance, social, and volunteer activities made accessible through
the program. This goal may also be achieved through client
participation in advisory group meetings, such as residential councils,
in efforts to evaluate and improve program procedures, comment on
planned renovations to a community residence, and through other means
of client expression within the program.
Examples of measurable objectives for maximizing self-
determination. The following are examples of measurable objectives:
``X'' percent of participants, who have a need for home health care,
will choose their home health care provider within one month of
entering the program;
``X'' percent of a community resident's clients will attend a weekly
resident advisory meeting that is held at least once a month;
``X'' percent of the residents of the city's group homes for persons
with HIV/AIDS will participate each year in completing a survey that
evaluates the residential program.
(i) Application Certifications
The application under this NOFA also contains certifications that
the applicant will comply, and require any project sponsor to comply,
with fair housing and civil rights requirements, program regulations,
and other Federal requirements. In addition, applications under this
notice are required to file a Certification of Consistency with the
Consolidated Plan from the jurisdiction in the proposed area to be
served. Under 24 CFR Part 91, sections 225 for local governments and
325 for States, the jurisdiction is required to submit a certification
in its annual consolidated plan submission that it will affirmatively
further fair housing, which means that it will conduct an analysis to
identify impediments to fair housing choice within the jurisdiction,
take appropriate actions to overcome the effects of any impediments
identified through that analysis, and maintain records reflecting the
analysis and actions in this regard. The Consolidated Plan
certification is not required for an application that proposes nation-
wide activities. In addition, MDI applicants are required to certify
that they will participate in the MDI evaluation component.
(j) Nondiscrimination, Fair Housing and Accessibility
Projects funded under this NOFA shall operate in a fashion that
does not deprive any individual of any right protected by the Fair
Housing Act (42 U.S.C. 3601-19), Section 504 of the Rehabilitation Act
of 1973 (29 U.S.C. 794) or the Americans with Disabilities Act of 1990
(42 U.S.C. 12101 et. seq.). All HUD-financed and insured new
construction must be in compliance with the Fair Housing Act and
programs must amend their inspection and certification procedures to
provide for these provisions.
The requirements of 24 CFR 574.603 concerning nondiscrimination and
equal oppportunity apply to use of the HOPWA funds. Applicants should
note that, in accordance with paragraph (b) of that regulation, ``[a]
grantee or project sponsor must adopt procedures to ensure that all
persons who qualify for the assistance, regardless of their race,
color, religion, sex, age, national origin, familial status, or
handicap, know of the availability of the HOPWA program, including
facilities and services accessible to persons with a handicap, and
maintain evidence of implementation of the procedures.''
The requirements of 24 CFR part 8, Nondiscrimination based on
handicap in Federally assisted programs and activities of the
Department of Housing and Urban Development, apply to the use of HOPWA
funds. Section 8.1 addresses the purpose of this part ``that no
otherwise qualified individual with handicaps in the United States
shall, solely by reason of his or her handicap, be excluded from the
participation in, be denied the benefits of, or be subjected to
discrimination under any program or activity receiving Federal
financial assistance from the Department * * *'' In addition, the
requirements of 24 CFR part 100, Discriminatory Conduct Under the Fair
Housing Act, apply to the use of HOPWA funds.
The Department recommends that applications for assistance under
this NOFA should emphasize how they will meet requirements for the
accessibility of the housing to be provided to eligible persons. In
addition to these requirements, the Department strongly encourages all
applicants, especially those that use funds for new construction and/or
substantial rehabilitation activities, to develop and/or provide
housing that is visitable by persons with mobility impairments and
[[Page 25089]]
to insure accessibility for persons with disabilities to all aspects of
the program. Under the visitability standard, accessible housing means
that the unit is located on an accessible route (32'' clear passage)
and, when designed, constructed, altered or adapted, can be approached,
entered and used by an individual with physical disabilities.
Visitability involves two specifications: (1) At least one outside
entrance is at grade (no steps or other barrier to a wheelchair), and
(2) all interior and exterior doors provide a 32'' clear passage.
The Department's Office of Policy Development and Research has
issued the following guide which will be useful in designing
appropriate modifications, including integrating universal design
features that provide basic accessibility in entry and mobility
throughout structures and contain other modifications that respond to
the needs of clients with disabilities: Homes for Everyone: Universal
Design Principles in Practice. To obtain this document, applicants
should contact the HUD User information office at 1-800-245-2691 or 1-
800-877-8339 (TTY).
II. Application Selection Process--New Grants
(a) Review and Clarifications
Applications will be reviewed to ensure that they meet the
following:
(1) Applicant eligibility. The applicant and project sponsor(s), if
any, are eligible to apply for the specific program;
(2) Eligible population to be served. The persons proposed to be
served are eligible persons;
(3) Eligible activities. The proposed activities are eligible for
assistance under the program;
(4) Certification of Consistency with Area Consolidated Plans. The
proposed activities that are located in a jurisdiction are consistent
with the jurisdiction's current, approved Consolidated Plan, except
that this certification is not required for projects that propose to
undertake activities on a national basis; and
(5) Other requirements. The applicant is currently in compliance
with the federal requirements contained in 24 CFR part 574, subpart G,
``Other Federal Requirements.''
The Department will use the following standards to assess
compliance with civil rights laws at the threshold review. In making
this assessment, the Department shall review appropriate records
maintained by the Office of Fair Housing and Equal Opportunity, e.g.,
records of monitoring, audit, or compliance review findings, complaint
determinations, compliance agreements, etc. If the review reveals the
existence of any of the following, the application will be rejected:
(A) There is a pending civil rights suit against the sponsor
instituted by the Department of Justice.
(B) There is an outstanding finding of noncompliance with civil
rights statutes, Executive Orders or regulations as a result of formal
administrative proceedings, unless the applicant is operating under a
HUD-approved compliance agreement designed to correct the area of
noncompliance, or is currently negotiating such an agreement with the
Department.
(C) There is an unresolved Secretarial charge of discrimination
issued under Section 810(g) of the Fair Housing Act, as implemented by
24 CFR 103.400.
(D) There has been an adjudication of a civil rights violation in a
civil action brought against it by a private individual, unless the
applicant is operating in compliance with a court order designed to
correct the area of noncompliance or the applicant has discharged any
responsibility arising from such litigation.
(E) There has been a deferral of the processing of applications
from the sponsor imposed by HUD under Title VI of the Civil Rights Act
of 1964, the Attorney General's Guidelines (28 CFR 1.8) and procedures,
or under Section 504 of the Rehabilitation Act of 1973 and the HUD
Section 504 regulations (24 CFR 8.57).
In accordance with the provisions of 24 CFR part 4, subpart B, HUD
may contact an applicant to seek clarification of an item in the
application, or to request additional or missing information, but the
clarification or the request for additional or missing information
shall not relate to items that would improve the substantive quality of
the application pertinent to the funding decision.
(b) Competition
This national competition will involve the review, rating and
selection of applications under each of the three categories of
assistance, including selection for the national HOPWA technical
assistance funds. To rate applications, the Department may establish a
panel or panels including persons not currently employed by HUD to
obtain certain expertise and outside points of view, including views
from other federal agencies. The separate competition for additional
funds for current MDI grantees is provided below in Section III and
described in Section I(f)(4).
(c) Rating of Applications
(1) Procedure
Applications will be rated based on the criteria listed below. The
criteria listed in paragraph (2) (A), (B), (C), and (D) are common for
all applications. Paragraphs (3), (4) and (5) are specific for the
category of assistance under which the application is being submitted.
Ratings will be made with a maximum of 100 points awarded. After
rating, these applications will be placed in the rank order of their
final score for selection within the appropriate category of
assistance, except that the proposals for the national HOPWA technical
assistance activities will be placed in the rank order of their final
score for selection under a separate selection list for the purposes of
selecting the highest rated application or applications to be awarded
the amounts reserved for national HOPWA technical assistance activities
and applications that were not selected for the reserved amounts will
be returned to the SPNS category of assistance for consideration under
that selection list.
(2) Common Rating Criteria
Applications under the three categories of grant will be rated on
the following four common criteria for up to 70 points:
(A) Applicant and Project Sponsor capacity (20 points). HUD will
award up to 20 points based on the ability of the applicant and, if
applicable, any project sponsor(s) to develop and operate the proposed
program, such as housing development, management of housing facilities
or units, and service delivery, in relation to which entity is carrying
out an activity. With regard to both the applicant and the project
sponsor(s), HUD will consider: (a) past experience and knowledge in
serving persons with HIV/AIDS and their families; (b) past experience
and knowledge in programs similar to those proposed in the application;
and (c) experience and knowledge in monitoring and evaluating program
performance and disseminating information on project outcomes.
As applicable, the rating under this criterion will also consider
prior performance with any HUD-administered programs, timeliness in
implementing HUD-administered programs, including any serious,
outstanding audit or monitoring findings that directly affect the
proposed project.
(B) Need for the project in the area to be served (10 points). HUD
will award up to 10 points based on the extent to which the need for
the project in the area to be served is demonstrated with
[[Page 25090]]
5 of these points to be determined by the relative numbers of AIDS
cases and per capita AIDS incidence, as reported to and confirmed by
the Director of the Centers for Disease Control and Prevention.
After the other rating criteria have been determined for up to 95
points, HUD will award 5 of the points under this criterion for each
category to the highest rated application in each state and to the
highest rated application among the applications that propose nation-
wide activities.
(C) Appropriateness of program activities: housing, supportive
services and other assistance (30 points). HUD will award up to 30
points based on the extent to which a plan for undertaking and managing
the proposed activities is coordinated with a community strategy and is
responsive to the needs of clients.
(i) The award of points for coordination with a community strategy,
for up to 10 of these points, will be based on how the proposal
describes how activities were planned and are proposed to be carried
out with HOPWA funds and other resources in order to provide a
continuum of housing and services to meet the changing needs of
eligible persons, such as the coordination of housing with access to
health-care and other supportive services in area continuum of care
efforts. Within the points available under this criterion, HUD will
award three bonus points for projects that propose to locate activities
within the boundaries of an area that has been designated an
Empowerment Zone, Enterprise Community, Supplemental Empowerment Zone,
or Enhanced Enterprise Community by the Secretary or by the Secretary
of the Department of Agriculture, if priority placement will be given
by the project: to eligible persons whose last known address was within
the designated area; or to eligible persons who are homeless persons
living on the streets or in shelters within the designated area.
Within the points available under this paragraph, HUD will award
three place-based points for an application based on the assessment of
the Secretary's Representative who is serving the area in which the
project will be located. The Secretary's Representative shall consider
prior HUD experience with the applicant and any project sponsor and the
application's description of the applicant's and any project sponsor's
participation in the development, operation or assessment of a State or
local government strategy to address the housing and related health
care or other supportive service needs of eligible persons in the area
to be served. The views may include but are not limited to whether the
entities evidence sufficient experience and/or ability to carry out the
proposed activities in coordination with other related resources and
that the proposed activities are consistent with and/or complement
other related initiatives in the area to be served.
(ii) The award of points for responsiveness to the needs of
clients, for up to 20 of these points, will be based on how the
proposal:
(a) Describes and responds to the need for housing and related
supportive services of eligible persons in the community; or, in
relation to technical assistance activities proposed in the
application, describes and responds to the technical assistance needs
of programs which provide housing and related supportive services for
eligible persons;
(b) Describes how activities will offer a personalized response to
the needs of clients which maximizes opportunities for independent
living, including accessibility of housing units and other structures,
and in the case of a family, accommodates the needs of families;
(c) Provides for monitoring and the evaluation of the assistance
provided to participants;
(d) In relation to technical assistance activities proposed in the
application, provides technical assistance related to the development
and operation of programs and the capacity of organizations to
undertake and manage assistance for eligible persons;
(e) In relation to a safe haven, describes how the activities that
will be carried out with HOPWA funds and other resources provide for
the stabilization of clients, provide basic services in the safe haven,
and provide coordination with other assistance; under this activity,
HUD will consider how the safe haven proposal proposes to offer housing
assistance for homeless persons with serious mental illness through a
program that places minimal initial demands on residents and does not
require participation in services but that also anticipates that safe
haven residents, in time, will participate in mental health programs
and/or substance abuse programs and move to or accept transitional or
other supportive housing;
(f) In accordance with an order of the U.S. District Court for the
Northern District of Texas, Dallas Division, with respect to any
application submitted by the City of Dallas, Texas, HUD will also
consider the extent to which the proposal for the use of HOPWA funds
will be used to eradicate the vestiges of racial segregation in the
Dallas Housing Authority's low-income housing programs. The City of
Dallas should address the effect, if any, that vestiges of racial
segregation in Dallas Housing Authority's low income housing programs
have on potential participants in the programs covered by this NOFA,
and identify proposed actions for remedying those vestiges. HUD may
consider up to 2 points of the points available under this criterion
based on this consideration.
(D) Extent of leveraged public and private resources for the
project (10 points). HUD will award up to 10 points based on the extent
to which resources from other public or private sources have been
committed to support the project at the time of application. In
establishing leveraging, HUD will not consider other HOPWA-funded
activities, entitlement benefits inuring to eligible persons, or
conditioned commitments that depend on future fund-raising or actions.
In assessing the use of acceptable leveraged resources, HUD will
consider the likelihood that state and local resources will be
available and continue during the operating period of the grant.
(3) Additional Criterion for Special Projects of National Significance
(30 points)
Applications for projects for this category of assistance will be
rated on the innovative nature of the proposal and its potential for
replication, including the use of performance measures and the
evaluation of activities. HUD will award up to 30 points based on the
extent to which the applicant demonstrates that:
(A) The project involves a new program for, or alternative method
of, meeting the needs of eligible persons, when compared to other
applications and projects funded in the past. The Department will
consider the extent to which the project design, management plan,
proposed effects, local planning and coordination of housing programs,
and proposed activities are exemplary and appropriate as a model for
replication in similar localities or nationally, when compared to other
applications and projects funded in the past.
Within the points available under this criterion, HUD may award up
to five bonus points for projects that propose to continue the
operations of HOPWA funded activities that have been supported by HOPWA
competitive funds in prior years and that have operated with reasonable
success. An applicant has operated with reasonable success if it
evidences that previous HOPWA-funded activities have been
[[Page 25091]]
carried out and funds have been used in a timely manner, that
benchmarks, if any, in program development and operation have been met,
and that the number of persons assisted is comparable to the number
that was planned at the time of application. The Department recognizes
that the clients which benefit under these projects may have only
limited access to other HOPWA funds, except as provided through this
national competition; and
(B) The project establishes performance measures, provides for the
evaluation of activities based on those performance measures, and
provides for the dissemination of information on the success of the
proposed activities in assisting eligible persons and/or in
establishing or operating systems of care for eligible persons.
(4) Additional Criterion for Projects under the HIV Multiple-Diagnoses
Initiative (30 points)
Applications for Projects under this category of assistance will be
rated on:
(A) Innovative nature of the proposal and its potential for
replication. HUD will award up to 25 points based on the extent to
which the project involves a new program for, or alternative method of,
meeting the needs of the targeted population of eligible persons, when
compared to other applications and projects funded in the past. The
Department will consider the extent to which the project design,
management plan, proposed effects, local planning and coordination of
housing programs, and the likelihood that activities will benefit the
targeted population of eligible persons and proposed activities are
exemplary and appropriate as a model for replication in similar
localities or nationally, when compared to other applications and
projects funded in the past.
Within the points available under this criterion, HUD may award up
to five bonus points for projects that propose to continue the
operations of HOPWA funded activities that have been supported by HOPWA
competitive funds in prior years and that have operated with reasonable
success. An applicant has operated with reasonable success if it
evidences that previous HOPWA-funded activities have been carried out
and funds have been used in a timely manner, that benchmarks, if any,
in program development and operation have been met, and that the number
of persons assisted is comparable to the number that was planned at the
time of application. The Department recognizes that the clients which
benefit under these projects may have only limited access to other
HOPWA funds, except as provided through this national competition; and
(B) Performance measures and national MDI evaluation. HUD will
award up to 5 points to an applicant that establishes performance
measures and agrees to fully participate in the national MDI evaluation
component.
(5) Additional Criterion for Projects Which are Part of Long-Term
Comprehensive Strategies for Providing Housing and Related Services (30
points).
Applications for projects for this category of assistance will be
rated on the extent of local planning and coordination of housing
programs, including the use of performance measures and the evaluation
of activities. HUD will award up to 30 points based on the extent to
which the applicant demonstrates:
(A) The proposed project is part of a community strategy involving
local, metropolitan or state-wide planning and coordination of housing
programs designed to meet the changing needs of low-income persons with
HIV/AIDS and their families, including programs providing housing
assistance and related services that are operated by federal, state,
local, private and other entities serving eligible persons.
Within the points available under this criterion, HUD may award up
to five bonus points for projects that propose to continue the
operations of HOPWA funded activities that have been supported by HOPWA
formula or competitive funds in prior years and that have operated with
reasonable success. An applicant has operated with reasonable success
if it evidences that previous HOPWA-funded activities have been carried
out and funds have been used in a timely manner, that benchmarks, if
any, in program development and operation have been met, and that the
number of persons assisted is comparable to the number that was planned
at the time of application. The Department recognizes that the areas
which benefit under this category of assistance currently have no other
access to HOPWA funds except as provided through this national
competition; and
(B) Establishes performance measures, provides for the evaluation
of activities based on those performance measures, and provides for the
dissemination of information on the success of the proposed activities
in assisting eligible persons and/or in establishing or operating
systems of care for eligible persons.
(d) Selection of Awards
Whether an application is conditionally selected will depend on its
overall ranking compared to other applications within each of the three
categories of assistance, and for an application that proposes national
HOPWA technical assistance, with any other applications that propose
similar activities. The Department will select applications to the
extent that funds are available. In allocating amounts to the
categories of assistance, HUD reserves the right to ensure that a
minimum number of applications under each category of assistance are
among the conditionally selected applications. HUD reserves the right
to fund less than the full amount requested in any application and to
make mathematical corrections.
HUD reserves the right to achieve greater geographic diversity
(i.e. resulting in funding activities within a variety of states) by
selecting a lower rated application. In selecting a lower rated
application in order to achieve greater geographic diversity under this
paragraph, HUD will not select an application that is rated below 50
points.
In the event of a tie between applications in a category of
assistance, HUD reserves the right to break the tie: by selecting the
proposal that increases geographic diversity; and, if not greater
geographic diversity is achievable, by subsequently designating as the
higher rated proposal, that proposal which was scored higher on a
rating criterion, taken in the following order until the tie is broken:
the category specific criterion under Section II (c) paragraphs (3),
(4), or (5); the appropriateness of program activities; the applicant
and project sponsor capacity criterion; the need for the project
criterion; and the extent of leveraged resources criterion.
In the event of a procedural error that, when corrected, would
result in selection of an otherwise eligible application during the
funding round under this NOFA, HUD may select that application when
sufficient funds become available.
HUD will notify conditionally selected applicants in writing. Such
applicants will subsequently be notified of any modification made by
HUD, the additional project information necessary for grant award and
the date of deadline for submission of such information. In the event
that a conditionally-selected applicant is unable to meet any
conditions for fund award within the specified timeframe or funds are
deobligated under a grant awarded under this competition, HUD reserves
[[Page 25092]]
the right not to award funds to the applicant, but instead to: use
those funds to make awards to the next highest rated applications in
this competition; to restore amounts to a funding request that had been
reduced in this or in a prior year competition; or to add amounts to
funds available for the next competition.
III. Application Selection Process--Current MDI Grants
(a) General Requirements
All requirements of this NOFA apply also to this selection, except
as otherwise noted herein. The amounts available under this section are
provided in addition to and are not subject to the limitation in
paragraph I(c)(2) on the amount that the applicant may otherwise
qualify for under the selection process for new grants.
(b) Eligible Applicants
An eligible applicant under this selection is an entity that was
selected for a MDI award under the 1996 HOPWA competition. The 1996
NOFA was published in the Federal Register on February 28, 1996 (61 FR
7664) and the notice of funding awards was published on October 23,
1996 (61 FR 55009). In regard to determining eligibility, the review
process contained in Section II has been reduced. Based on the
information provided in the application under paragraph (e), HUD will
determine if an applicant is eligible. Since the eligible applicants
are limited to current recipients of HOPWA MDI grants, the Department
will not otherwise require applicants to duplicate their submission of
documentation to determine the applicant's eligibility, that an
eligible population is to be served, that eligible activities will be
undertaken and that the applicant is in conformance with other
requirements. The Department is satisfied that the review that was
undertaken for these entities in the 1996 MDI competition, for which
these entities were determined to be eligible, is sufficient for the
award of these additional funds.
(c) Eligible Activities
As described in paragraph I(f)(5), a current MDI grantee may also
apply for up to $50,000 in additional funds to be used in modifying and
expanding the planned evaluation of project performance and
dissemination of information on project outcomes and in acquiring the
services of the Evaluation Technical Assistance Center. Applicants
under this section are not required to establish additional performance
measures.
(d) Rating Factors
The rating factors contained in Section II have been modified and
the leveraging criterion was eliminated. Applications for funds under
this section from current MDI grantees will be rated, with a maximum of
100 points awarded, on the following:
(1) Applicant and Project Sponsor capacity (25 points). HUD will
award up to 25 points based on the ability of the applicant and, if
applicable, any project sponsor(s) to develop and operate their current
MDI project and to undertake the proposed additional evaluation
activities. HUD will consider their prior performance on the 1996 MDI
project.
(2) Need for the project in the area to be served (5 points). HUD
will award up to 5 points based on the extent to which the need for the
project in the area to be served is demonstrated by the relative
numbers of AIDS cases and per capita AIDS incidence, as reported to and
confirmed by the Director of the Centers for Disease Control and
Prevention.
(3) Appropriateness of program activities (25 points). HUD will
award up to 25 points based on the extent to which a plan for
undertaking and managing the proposed activities describes and responds
to the need for additional support to complete, modify and/or expand
evaluation activities in regard to a MDI program that provides housing
and related supportive services for eligible persons;
(4) Additional Criterion for Special Projects of National
Significance--HIV Multiple-Diagnoses Initiative (45 points).
(A) HUD will award up to 5 points for the innovative nature of the
proposal and its potential for replication, based on the extent to
which the project involves a new or alternative method for carrying out
evaluation activities and the extent to which the proposed evaluation
activities, the relationship of these activities to related local
planning and coordination of housing programs for eligible persons, are
exemplary or appropriate as a model for replication in similar
localities or nationally; and
(B) HUD will award up to 40 points for evaluation and
dissemination, based on the extent to which the applicant describes an
evaluation and dissemination plan that includes an assessment of the
assistance provided to clients, based on HUD's assessment of the extent
to which the plan will ensure that activities are undertaken in a
timely manner and that funds are expended within the planned use
period.
(e) Applications
The application requirements have been modified. An eligible
applicant under this section is not required to resubmit their 1996
application or to submit their 1997 application based on the form that
is made available for applicants under section II, except as noted
below in using the SF-424 and the HOPWA Applicant Certifications (see
item B of Statutory Certifications). An applicant under this section is
required to submit each of the following items:
(a) a signed SF-424;
(b) a signed HOPWA Applicant Certifications; and
(c) a letter or other written document of approximately one page
that requests an amount (up to $50,000) and describes the applicant's
need for and plan to use additional funds to complete, modify and/or
expand the planned program development and evaluation efforts under its
1996 award.
(f) Selection Process
The selection process contained in Section II has been modified. An
applicant that meets the review criteria in section (b), must have a
rating score of at least 50 points in order to be funded. Applicants
will not be ranked for this selection. There is sufficient funding for
all eligible applications under this section.
IV. Other Matters
Environmental Impact
This NOFA provides funding under, and does not alter the
environmental requirements of, regulations in 24 CFR part 574.
Accordingly, under 24 CFR 50.19(c)(5), this NOFA is categorically
excluded from environmental review under the National Environmental
Policy Act of 1969 (42 U.S.C. 4321). Activities under this NOFA are
subject to the environmental review provisions set out at 24 CFR
574.450.
Federalism Impact
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that the policies
contained in this Notice will not have substantial direct effects on
states or their political subdivisions, or the relationship between the
federal government and the states, or on the distribution of power and
responsibilities among the various levels of government. As a result,
the Notice is not subject to review under the Order. The Notice
announces the availability of funds and invites applications from
eligible applicants for the HOPWA program.
[[Page 25093]]
Accountability in the Provision of HUD Assistance
HUD's regulation implementing section 102 of the Department of
Housing and Urban Development Reform Act of 1989, found at 24 CFR part
12, contains a number of provisions designed to ensure greater
accountability and integrity in the provision of certain types of
assistance administered by HUD. Additional information on the
implementation of section 102 was published on January 16, 1992 at 57
FR 1942. The documentation, public access, and disclosure requirements
of section 102 apply to assistance awarded under this NOFA as follows:
HUD will ensure documentation and other information regarding each
application submitted pursuant to this NOFA are sufficient to indicate
the basis upon which assistance was provided or denied. This material,
including any letters of support, will be made available for public
inspection for a five-year period beginning not less than 30 days after
the award of the assistance. Material will be made available in
accordance with the Freedom of Information Act (5 U.S.C. 552) and HUD's
implementing regulations at 24 CFR part 15. In addition, HUD will
publish notice of awards made in response to this NOFA in the Federal
Register.
HUD will make available to the public for five years all applicant
disclosure reports (HUD Form 2880) submitted in connection with this
NOFA. Update reports (also Form 2880) will be made available along with
the applicant disclosure reports, but in no case for a period less than
three years. All reports--both applicant disclosures and updates--will
be made available in accordance with the Freedom of Information Act (5
U.S.C. 552) and HUD's implementing regulations at 24 CFR part 15. (See
subpart C, and the notice published in the Federal Register on January
16, 1992 (57 FR 1942), for further information on these disclosure
requirements.)
Prohibition on Advance Release of Funding Information
HUD's regulation implementing section 103 of the Department of
Housing and Urban Development Reform Act of 1989, found at 24 CFR part
4, applies to the funding competition announced today. The requirements
of that rule continue to apply until the announcement of the selection
of successful applicants.
HUD employees involved in the review of applications and in the
making of funding decisions are limited by part 4 from providing
advance information to any person (other than an authorized employee of
HUD) concerning funding decisions, or from otherwise giving any
applicant an unfair competitive advantage. Persons who apply for
assistance in this competition should confine their inquiries to the
subject areas permitted under 24 CFR part 4.
Applicants who have questions should contact the HUD Ethics Law
Division (202) 708-3815 (this is not a toll-free number). A
telecommuni- cations device for hearing-and speech-impaired persons
(TTY) is available at 1-800-877-8339 (Federal Information Relay
Service). The Ethics Law Division can provide information of a general
nature to HUD employees, as well. However, a HUD employee who has
specific program questions, such as whether particular subject matter
can be discussed with persons outside the Department, should contact
his or her Field Office Counsel, or Headquarters Counsel for the
program to which the question pertains.
Prohibition Against Lobbying Activities
The use of funds awarded under this NOFA is subject to the
disclosure requirements and prohibitions of section 319 of the
Department of Interior and Related Agencies Appropriations Act for
Fiscal Year 1990 (31 U.S.C. 1352) (The ``Byrd Amendment'') and the
implementing regulations at 24 CFR part 87. These authorities prohibit
recipients of federal contracts, grants, or loans from using
appropriated funds for lobbying the Executive or Legislative branches
of the federal government in connection with a specific contract,
grant, or loan. The prohibition also covers the awarding of contracts,
grants, cooperative agreements, or loans unless the recipient has made
an acceptable certification regarding lobbying. Under 24 CFR part 87,
applicants, recipients, and subrecipients of assistance exceeding
$100,000 must certify that no federal funds have been or will be spent
on lobbying activities in connection with the assistance. A standard
disclosure form, SF-LLL, ``Disclosure Form to Report Lobbying,'' must
be used to disclose lobbying with other than federally appropriated
funds at the time of application.
Drug-Free Workplace Certification
In accordance with 24 CFR 24.630, an applicant must submit its
Certification for a Drug-Free Workplace (Form HUD-50070).
Dated: May 1, 1997.
Jacquie Lawing,
General Deputy Assistant Secretary for Community Planning and
Development.
Appendix A.--List of HUD Area CPD Offices (as of 2-20-97)
In addition to filing the original application with HUD
Headquarters, as described in the NOFA, applicants are required to
submit two (2) copies of the application to the HUD CPD office
serving the area in which the applicant's project is located;
applicants proposing nation-wide activities should file the two (2)
copies with the original application to HUD Headquarters. This
appendix provides a list of the CPD Directors in those area CPD
offices.
Telephone numbers for Telecommunications Devices for the Deaf
(TTY machines) are listed for CPD Directors in HUD Field Offices;
all HUD numbers, including those noted *, may be reached via TTY by
dialing the Federal Information Relay Service on 1-800-877-TDDY or
(1-800-877-8339).
Alabama
William H. Dirl, Beacon Ridge Tower, 600 Beacon Pkwy. West,
Suite 300, Birmingham, AL 35209-3144; (205) 290-7645; TTY (205) 290-
7624.
Alaska
Colleen Bickford, 949 E. 36th Avenue, Suite 401, Anchorage, AK
99508-4399; (907) 271-4684; TTY (907) 271-4328.
Arizona
Martin H. Mitchell, Two Arizona Center, Suite 1600, 400 N. 5th
St., Phoenix, AZ 85004; (602) 379-4754; TTY (602) 379-4461.
Arkansas
Billy M. Parsley, TCBY Tower, 425 West Capitol Ave., Suite 900,
Little Rock, AR 72201-3488; (501) 324-6375; TTY (501) 324-5931.
California
(Southern) Herbert L. Roberts, 611 West Sixth St., Suite 800,
Los Angeles, CA 90017-3127; (213) 894-8026; TTY (213) 894-8133.
(Northern) Steve Sachs, 450 Golden Gate Ave., P.O. Box 36003,
San Francisco, CA 94102-3448; (415) 436-6597; TTY (415) 436-6594.
Colorado
Guadalupe M. Herrera, First Interstate Tower North, 633 17th
St., Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.
Connecticut
Mary Ellen Morgan, 330 Main St., Hartford, CT 06106-1866; (860)
240-4508; TTY (860) 240-4665.
Delaware
Joyce Gaskins, Wanamaker Bldg., 100 Penn Square East,
Philadelphia, PA 19107; (215) 656-0624; TTY (215) 656-3452.
District of Columbia (and MD and VA suburbs)
James H. McDaniel, 820 First St., NE, Washington, DC 20002;
(202) 275-0994; TTY (202) 275-0772.
Florida
(Northern) James N. Nichol, 301 West Bay St., Suite 2200,
Jacksonville, FL 32202-
[[Page 25094]]
5121; (904) 232-3587; TTY (904) 232-1241.
(Miami-So. Dade) Angelo Castillo, Gables Tower 1, 1320 South
Dixie Hwy., Coral Gables, FL 33146-2911; (305) 662-4570; TTY (305)
662-4511.
Georgia
John L. Perry, Russell Fed. Bldg., Room 270, 75 Spring St., SW,
Atlanta, GA 30303-3388; (404) 331-5139; TTY (404) 730-2654.
Hawaii (and Pacific)
Patty A. Nicholas, 7 Waterfront Plaza, Suite 500, 500 Ala Moana
Blvd., Honolulu, HI 96813-4918; (808) 522-8180 x264; TTY (808) 522-
8193.
Idaho
John G. Bonham, 400 S.W. Sixth Ave., Suite 700, Portland, OR
97204-1632 (503) 326-7012; TTY * via 1-800-877-8339.
Illinois
James Barnes, 77 W. Jackson Blvd., Chicago, IL 60604-3507; (312)
353-1696; TTY (312) 353-5944.
Indiana
Robert F. Poffenberger, 151 N. Delaware St., Indianapolis, IN
46204-2526; (317) 226-5169; TTY * via 1-800-877-8339.
Iowa
Gregory A. Bevirt, Executive Tower Centre, 10909 Mill Valley
Road, Omaha, NE 68154-3955; (402) 492-3144; TTY (402) 492-3183.
Kansas
William Rotert, Gateway Towers 2, 400 State Ave., Kansas City,
KS 66101-2406; (913) 551-5485; TTY (913) 551-6972.
Kentucky
Ben Cook, P.O. Box 1044, 601 W. Broadway, Louisville, KY 40201-
1044; (502) 582-6141; TTY 1-800-648-6056.
Louisiana
Gregory J. Hamilton, 501 Magazine St., New Orleans, LA 70130;
(504) 589-7212; TTY (504) 589-7237.
Maine
David Lafond, Norris Cotton Fed. Bldg., 275 Chestnut St.,
Manchester, NH 03101-2487; (603) 666-7640; TTY (603) 666-7518.
Maryland
Joseph J. O'Connor, Acting Director, 10 South Howard Street, 5th
Floor, Baltimore, MD 21202-0000; (410) 962-2520 x3071; TTY (410)
962-0106.
Massachusetts
Robert L. Paquin, Thomas P. O'Neill, Jr., Fed. Bldg., 10
Causeway St., Boston, MA 02222-1092; (617) 565-5342; TTY (617) 565-
5453.
Michigan
Richard Paul, Patrick McNamara Bldg., 477 Michigan Ave.,
Detroit, MI 48226-2592; (313) 226-4343; TTY * via 1-800-877-8339.
Minnesota
Shawn Huckleby, 220 2nd St. South, Minneapolis, MN 55401-2195;
(612) 370-3019; TTY (612) 370-3185.
Mississippi
Jeanie E. Smith, Dr. A. H. McCoy Fed. Bldg., 100 W. Capitol St.,
Room 910, Jackson, MS 39269-1096; (601) 965-4765; TTY (601) 965-
4171.
Missouri
(Eastern) James A. Cunningham, 1222 Spruce St., St. Louis, MO
63103-2836; (314) 539-6524; TTY (314) 539-6331.
(Western) William Rotert, Gateway Towers 2, 400 State Ave.,
Kansas City, KS 66101-2406; (913) 551-5485; TTY (913) 551-6972.
Montana
Guadalupe Herrera, First Interstate Tower North, 633 17th St.,
Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.
Nebraska
Gregory A. Bevirt, Executive Tower Centre, 10909 Mill Valley
Road, Omaha, NE 68154-3955; (402) 492-3144; TTY (402) 492-3183.
Nevada
(Las Vegas, Clark Cnty) Martin H. Mitchell, Two Arizona Center,
Suite 1600, 400 N. 5th St., Phoenix, AZ 85004; (602) 379-4754; TTY
(602) 379-4461.
(Remainder of State) Steve Sachs, 450 Golden Gate Ave., P.O. Box
36003, San Francisco, CA 94102-3448; (415) 436-6597; TTY (415) 436-
6594.
New Hampshire
David J. Lafond, Norris Cotton Fed. Bldg., 275 Chestnut St.,
Manchester, NH 03101-2487; (603) 666-7640; TTY (603) 666-7518.
New Jersey
Kathleen Naymola, Acting Director, 1 Newark Center, Newark, NJ
07102; (201) 622-7900x3300; TTY (201) 645-3298.
New Mexico
Frank Padilla, 625 Truman St. N.E., Albuquerque, NM 87110-6472;
(505) 262-6463; TTY (505) 262-6463.
New York
(Upstate) Michael F. Merrill, Lafayette Ct., 465 Main St.,
Buffalo, NY 14203-1780; (716) 551-5768; TTY * via 1-800-877-8339.
(Downstate) Joseph D'Agosta, 26 Federal Plaza, New York, NY
10278-0068; (212) 264-0771; TTY (212) 264-0927.
North Carolina
Charles T. Ferebee, Koger Building, 2306 West Meadowview Road,
Greensboro, NC 27407; (910) 547-4006; TTY (910) 547-4055.
North Dakota
Guadalupe Herrera, First Interstate Tower North, 633 17th St.,
Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.
Ohio
John E. Riordan, 200 North High St., Columbus, OH 43215-2499;
(614) 469-6743; TTY (614) 469-6694.
Oklahoma
David H. Long, 500 West Main Place, Suite 400, Oklahoma City, OK
73102; (405) 553-7569; TTY * via 1-800-877-8339.
Oregon *
John G. Bonham, 400 S.W. Sixth Ave., Suite 700, Portland, OR
97204-1632 (503) 326-7012; TTY * via 1-800-877-8339.
Pennsylvania
(Western) Bruce Crawford, 339 Sixth Ave., Pittsburgh, PA 15222-
2515; (412) 644-5493; TTY (412) 644-5747.
(Eastern) Joyce Gaskins, Wanamaker Bldg., 100 Penn Square East,
Philadelphia, PA 19107; (215) 656-0624; TTY (215) 656-3452.
Puerto Rico (and Caribbean)
Carmen R. Cabrera, 159 Carlos Chardon Ave., San Juan, PR 00918-
1804; (787) 766-5576; TTY (787) 766-5909.
Rhode Island
Robert L. Paquin, Thomas P. O'Neill, Jr., Fed. Bldg., 10
Causeway St., Boston, MA 02222-1092; (617) 565-5342; TTY (617) 565-
5453.
South Carolina
Louis E. Bradley, Fed. Bldg., 1835 Assembly St., Columbia, SC
29201; (803) 765-5564; TTY (803) 253-3071.
South Dakota
Guadalupe Herrera, First Interstate Tower North, 633 17th St.,
Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.
Tennessee
Virginia E. Peck, John J. Duncan Federal Bldg., Third Floor, 710
Locust St. S.W., Knoxville, TN 37902-2526; (423) 545-4391; TTY (423)
545-4559.
Texas
(Northern) Katie Worsham, 1600 Throckmorton, P.O. Box 2905, Fort
Worth, TX 76113-2905; (817) 978-9016; TTY (817) 978-9274.
(Southern) John T. Maldonado, Washington Sq., 800 Dolorosa, San
Antonio, TX 78207-4563; (210) 472-6820; TTY (210) 472-6885.
Utah
Guadalupe Herrera, First Interstate Tower North, 633 17th St.,
Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.
Vermont
David J. Lafond, Norris Cotton Fed. Bldg., 275 Chestnut St.,
Manchester, NH 03101-2487; (603) 666-7640; TTY (603) 666-7518.
Virginia
Joseph K. Aversano, 3600 W. Broad St., Richmond, VA 23230-4920;
(804) 278-4503; TTY (804) 278-4501.
Washington *
John W. Peters, Federal Office Bldg., 909 First Ave., Suite 200,
Seattle, WA 98104-1000; (206) 220-5150; TTY (206) 220-5185.
West Virginia
Bruce Crawford, 339 Sixth Ave., Pittsburgh, PA 15222-2515; (412)
644-5493; TTY (412) 644-5747.
Wisconsin
Lana J. Vacha, Henry Reuss Fed. Plaza, 310 W. Wisconsin Ave.,
Ste. 1380, Milwaukee, WI 53203-2289; (414) 297-3113; TTY * via 1-
800-877-8339.
---------------------------------------------------------------------------
* The following areas in Washington State are served by the
Oregon CPD office: Clark, Klickitat and Shamania Counties.
---------------------------------------------------------------------------
Wyoming
Guadalupe Herrera, First Interstate Tower North, 633 17th St.,
Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.
Appendix B. Areas Eligible To Receive HOPWA 1997 Formula Allocations
and not Eligible for Long-Term Projects
The following are the areas that are eligible to receive HOPWA
formula allocations in FY
[[Page 25095]]
1997. State or local governments located in or serving eligible
persons in these areas are only eligible to apply for grants for
Special Projects of National Significance under the HOPWA 1997
competition. The Long-term category of assistance, grants for
projects that are part of long-term comprehensive strategies for
providing housing and related services, is reserved by statute for
areas that are not eligible to receive HOPWA formula awards, i.e.
any area outside of the list below.
1. 1997 formula allocations are available for all areas in the
States of:
Alabama
Arkansas
California
Connecticut
Delaware
District of Columbia
Florida
Georgia
Hawaii
Illinois
Indiana
Kentucky
Louisiana
Massachusetts
Michigan
Mississippi
New Jersey
New York
North Carolina
Ohio
Oklahoma
Pennsylvania
Puerto Rico
South Carolina
Tennessee
Texas
Washington State
Wisconsin.
2. 1997 formula allocations are available for all areas in the
following metropolitan areas in the States of Arizona, Colorado,
Kansas, Maryland, Minnesota, Missouri, Nevada, New Hampshire, Oregon,
Virginia and West Virginia:
1120 Boston MA-NH PMSA (part)
Rockingham County, NH (part):
Seabrook town, NH
South Hampton town, NH
0720 Baltimore, MD PMSA
Anne Arundel County, MD
Baltimore County, MD
Carroll County, MD
Harford County, MD
Howard County, MD
Queen Anne's County, MD
Baltimore City, MD
6760 Richmond-Petersberg, VA MSA
Charles City County, VA
Chesterfield County, VA
Dinwiddie County, VA
Goochland County, VA
Hanover County, VA
Henrico County, VA
New Kent County, VA
Powhatan County, VA
Prince George County, VA
Colonial Heights city, VA
Hopewell city, VA
Petersberg city, VA
Richmond city, VA
8840 Washington, DC-MD-VA-WV PMSA
Calvert County, MD
Charles County, MD
Frederick County, MD
Montgomery County, MD
Prince George County, VA
Arlington County, VA
Clarke County, VA
Culpeper County, VA
Fairfax County, VA
Fauquier County, VA
King George County, VA
Loudoun County, VA
Prince William County, VA
Spotsylvania County, VA
Stafford County, VA
Warren County, VA
Alexandria City, VA
Fairfax City, VA
Falls Church City, VA
Fredericksburg City, VA
Manassas City, VA
Manassas Park City, VA
Berkeley County, WV
Jefferson County, WV
5720 Norfolk-Virginia Beach-Newport News, VA-NC MSA
Gloucester County, VA
Isle of Wight County, VA
James City County, VA
Mathews County, VA
York County, VA
Chesapeake city, VA
Hampton city, VA
Newport News city, VA
Norfolk city, VA
Poquoson city, VA
Portsmouth city, VA
Suffolk city, VA
Virginia Beach city, VA
Williamsburg city, VA
5120 Minneapolis-St. Paul, MN-WI MSA (part)
Anoka County, MN
Carver County, MN
Chisago County, MN
Dakota County, MN
Hennepin County, MN
Isanti County, MN
Ramsey County, MN
Scott County, MN
Sherburne County, MN
Washington County, MN
Wright County, MN
3760 Kansas City, MO-KS MSA (part)
Cass County, MO
Clay County, MO
Clinton County, MO
Jackson County, MO
Lafayette County, MO
Platte County, MO
Ray County, MO
Johnson County, KS
Leavenworth County, KS
Miami County, KS
Wyandotte County, KS
7040 St. Louis, MO-IL MSA (part)
Crawford County, MO (part): Sullivan City, MO
Franklin County, MO
Jefferson County, MO
Lincoln County, MO
St. Charles County, MO
St. Louis County, MO
Warren County, MO
St. Louis City, MO
2080 Denver, CO PMSA
Adams County, CO
Arapahoe County, CO
Denver County, CO
Douglas County, CO
Jefferson County, CO
6200 Phoenix-Mesa, AZ MSA
Maricopa County, AZ
Pinal County, AZ
4120 Las Vegas, NV-AZ MSA
Clark County, NV
Nye County, NV
Mohave County, AZ
6440 Portland-Vancouver, OR-WA PMSA (part)
Clackamas County, OR
Columbia County, OR
Multnomah County, OR
Washington County, OR
Yamhill County, OR
Appendix C.--Frequently Asked Questions (FAQ) on the 1997 HOPWA
Competition
1. How do you define ``Special Projects of National
Significance?''
Grants for Special Projects of National Significance (SPNS) and
grants under the HIV Multiple-Diagnoses Initiative (MDI) component,
will be made for proposals that demonstrate qualities that are
innovative, exemplary and appropriate as a model to be replicated in
other similar localities. Such qualities may be demonstrated in any
of the eligible activities, such as housing assistance, supportive
services, technical assistance, and others and may involve, for
example, how activities will adapt to the changing needs of clients
or filling gaps in community efforts to provide access to a
comprehensive range of care. HUD will consider the extent to which
the project design, management plan, proposed effects, local
planning and coordination of housing programs, and proposed
activities are exemplary and appropriate as a model for replication
in similar localities or nationally, when compared to other
applications and projects funded in the past. Examples of SPNS and
MDI grants from prior competitions can be found under the HOPWA
listing on the HUD HOME page on the World Wide Web at http://
www.hud.gov/fundopp.html.
2. What do you mean by performance measures?
General performance measures and specific measurable objectives
or milestones are required for all three types of proposals and are
discussed in the NOFA. A general performance measure will establish
the overall goal of a proposal such as the number of short-term
housing and number of supportive housing units to be added in a
community during an operating period with grant funds. A measurable
objective or milestone is a specific, achievable and time-limited
statement of how an activity will help obtain the overall goals of a
program. An example of a measure is ``25 persons with HIV/AIDS
currently in emergency shelters will move within 6 months to
scattered-site apartments with rental assistance and access to
services.'' The measure will be a tool for the project for
monitoring the results and noting the milestones that are being
accomplished as the funded activities are undertaken. A special
focus of the MDI component involves participation in
[[Page 25096]]
evaluations of actual program performance under the established
performance measures to better understand what works to assist these
clients and to disseminate information on such findings as model
efforts.
3. Can a city or State that is a HOPWA formula recipient also
apply for a Special Project of National Significance?
Yes. Both types of grants, SPNS and MDI, are available to all
States, localities and non-profit organizations. Only the Long-term
component is reserved for certain areas, those that are not part of
a formula HOPWA allocation.
4. Can an agency submit a Continuum of Care homeless assistance
application and a HOPWA proposal which will be linked but not
identical?
Yes. You can apply for funding under both competitions and other
Federal funds that may be available. A HOPWA grant and a Continuum
of Care grant may serve the same group of clients but with distinct
activities that may complement but not duplicate the other HUD-
funded activities. If the activities are duplicated in the two
applications, HUD will ensure that an activity will only be funded
from one source; however, if they are dependent on each other, they
must still compete under the separate competitions. If they do not
duplicate the same activities for the same participants, then both
may be funded.
5. As an applicant, we plan to carry out activities directly.
Can we qualify for both the grantee's (3%) as well as the sponsor's
(7%) administrative costs?
No. A grantee is limited to using no more than three (3) percent
of the grant amount for administering the grant, such as providing
general management, oversight, coordination, evaluation and
reporting on activities. Please note that costs of staff that are
carrying out the program activities may be included in those program
activity costs, including prorating costs between categories as may
be appropriate. A sponsor is eligible to use up to seven (7) percent
of the amount that they receive for the sponsor's administrative
costs.
6. Can a HOPWA program be designated to assist homeless and
large families only?
Yes, to the degree that a program responds to the greater or
specialized needs of eligible persons, for example, you can look at
homelessness as a greater need and try to serve those in the
greatest need as a priority in selecting participants. Program
features might also be appropriate for certain clients, such as
housing units with larger number of bedrooms to serve large
families. However, as required by law and provided under the
certifications, programs are required to comply with
nondiscrimination and equal opportunity requirements.
7. We have applied to IRS for a 501(c)(3) designation but we
have not received it yet. Can we apply? If not, can we go to the
state or another non-profit and partner with them and come in under
their application?
Nonprofit organizations that are either the applicant or a
project sponsor must either; (a) have an IRS ruling that provides
your tax exempt status under Sec. 501(c)(3) of the IRS Code by the
application due date; or (b) provide documentation that shows that
the organization satisfies the criteria provided by the statutory
definition of non-profit organization found at 42 U.S.C. 12902 (13)
or your organization cannot serve in those capacities.
The statutory definition reads: ``The term ``nonprofit
organization'' means any nonprofit organization (including a State
or locally chartered, nonprofit organization) that--(A) is organized
under State or local laws; (B) has no part of its net earnings
inuring to the benefit of any member, founder, contributor, or
individual; (C) complies with standards of financial accountability
acceptable to the Secretary; and (D) has among its purposes
significant activities related to providing services or housing to
persons with acquired immunodeficiency syndrome or related
diseases.''
The Department interprets this definition to include the
following: (a) in lieu of a IRS exemption for nonprofits in Puerto
Rico, a ruling from the Treasury Department of the Commonwealth of
Puerto Rico granting income tax exemption under Section 101 of the
Income Tax Act of 1954, as amended (13 LPRA 3101);
(b) that documentation of an IRS ruling of tax exempt status
under Sec. 501(c)(4), (6), (7), (9) or (19) is acceptable in lieu of
the Sec. 501(c)(3) documentation;
(c) that in lieu of the IRS ruling, a nonprofit organization may
provide documentation to evidence that it satisfies the statutory
definition; HUD would consider as satisfactory the submission of the
following four items: (1) a certification by the appropriate
official of the jurisdiction under whose laws the nonprofit
organization was organized, that the organization was so organized
and is in good standing; (2) documentation showing that the
organization is a certified United Way member agency or other
documentation that shows that no inurement of benefits will occur;
(3) documentation from a CPA or Public Accountant that the
organization has a functioning accounting system that is operated in
accordance with generally acceptable accounting principles or that a
qualifying entity is designated for that activity, or the United Way
member agency certification noted in item 2; and (4) a certified
copy of the nonprofit organization's articles of incorporation, by-
laws, statement of purposes, board of director's resolution or a
similar document which includes a provision demonstrating its
purpose regarding significant activities for persons living with
HIV/AIDS; and
(d) that the term ``related diseases'' includes HIV infection.
If your organization does not provide the requested
documentation, the organization would not be eligible to receive
funds and serve as the grantee or as a project sponsor. However, you
could collaborate with eligible nonprofit organizations (e.g. which
have the 501(c)(3) designation) or with a government agency that
applies for the grant and assist them, for example, in planning for
the proposed activities, identifying needs in your community and
identifying clients who will be assisted. Eligible grantees and
project sponsors may also contract out services that are funded by
this grant.
8. Renewals. Can an existing HOPWA program funded for up to a
three-year period through a prior HOPWA competitive grant program
apply for additional 1997 HOPWA funds to supplement or continue the
same program?
Yes. (1) Under the SPNS and MDI components, it is possible for
existing grantees to propose and be selected in order to continue
the same activities, or, alternatively, to provide additional
activities that expand on or modify what the current grant is
accomplishing. For example, in addition to their model features, an
existing SPNS or MDI grant may contain innovative features; if that
applicant proposes activities that only continue existing
activities, the application would not be viewed as innovative nor
receive rating points associated with innovation but that
application may still be selected based on its other qualities. If
HUD determines that a project has been reasonably successful under a
prior HOPWA competitive grant, a proposal to continue its operations
may be given up to 5 bonus points, even if the proposal contains no
new innovative approaches.
As an alternative, your proposal may be based on your existing
program but propose additional features that benefit recipients; for
example, you may want to apply some new things you learned from the
program you operate or want to try a new approach, that might be
considered innovative and awarded points on that basis.
(2) If your existing project was selected under the Long Term
component, you could seek additional funds to continue assistance in
this competition based on your eligibility for this category and its
criteria. If HUD determines that a project has been reasonably
successful, a proposal to continue its operations may be given up to
5 bonus points. If, in the alternative, your area now qualifies for
a formula allocation, you are not eligible to apply for the Long-
term category of funds in this competition; in this case, you may
apply under the SPNS or MDI categories or you could seek formula
HOPWA funds that are available from your area's State or city
grantee for your project.
For all three categories of assistance, an applicant will be
deemed to have operated with reasonable success if it evidences in
its application that previous HOPWA-funded activities have been
carried out and funds have been used in a timely manner, that
benchmarks, if any, in program development and operation have been
met, and that the number of persons assisted is comparable to the
number that was planned at the time of application. For example, if
program funds were to be expended during a three year operating
period, and the grant agreement was signed two years ago, timely
expenditure would mean that approximately two-thirds or more of
program funds have been expended under that prior grant.
(3) Current MDI grantees may apply under section III for up to
$50,000 in additional funds to complete, modify and/or expand the
evaluation of MDI projects that were selected in the 1996 HOPWA
competition. The program requirements for this separate selection
process for current MDI grants are described in Section I(f)(4) and
are provided in Section III of the NOFA.
[[Page 25097]]
9. Formula recipients. Can an area that previously received a
HOPWA formula allocation, but no longer receives such funding, apply
for additional 1997 HOPWA competitive funds to supplement or
continue the same program?
Yes, but only in special circumstances that are noted in the
paragraph below. The Department does not intend to use the limited
amount of funds available in this competition to renew projects to
continue activities that have been supported under HOPWA formula
allocations and may continue to do so by formula grantee discretion.
Under the Long-term category, the NOFA recognizes that certain
areas that are not eligible for a formula allocation in fiscal year
1997, may have been eligible in a prior year and may have existing
projects that were previously funded under a formula allocation. In
such cases, the Department recognizes that the existing projects do
not have any other access to HOPWA funds and that, if HUD determines
that a project is reasonably successful, a proposal to continue its
operations may be given up to 5 bonus points.
10. If alcoholism, chemical dependency or mental illness is
suspected or observed in a person living with AIDS, but undiagnosed
clinically, can the MDI funds be used as a vehicle for diagnosis?
Yes. You can determine your outreach and client assessment
procedures which may specify the types of documentation within
reasonable flexibility. For example, designing new methods for
reaching and serving persons who are homeless who are often hard-to-
reach might be part of your proposed innovation. HOPWA funds can be
used to determine eligibility for program participation.
11. As a non-profit organization, must we obtain a certification
that the application is consistent with our city or state's
consolidated plan?
Yes, the certification of consistency with the area consolidated
plan is required. The Department initiated the consolidated planning
process to improve our partnership with communities in addressing
area needs. As a change from prior competitions, a certificate of
consistency with the area comprehensive plan is required under this
NOFA for non-profits applying for a SPNS or MDI grant. The
certification continues to be required for city and State
applications, including the activities that are carried out by a
nonprofit serving as a project sponsor. An exception is made for
proposals that plan to undertake activities on a national basis.
12. If we request HOPWA funds for supportive services, will that
impact our application's competitiveness?
No. You can apply for any eligible activity, alone or in
combination with others. The application notes that in the case of a
services-only proposal, you should identify how the recipients are
currently in housing or will be receiving housing assistance from
some other source.
13. Currently, our city is a HOPWA formula recipient. Does this
eliminate or disqualify non-profits for applying for competitive
funds under HOPWA?
No. Nonprofit organizations located in a HOPWA formula area can
apply for a HOPWA competitive grant under the SPNS or MDI
components. The nonprofit could apply directly or as a sponsor in an
application from a State or local government for the SPNS or MDI
grant. The nonprofit might also seek funding under the formula
allocation (which constitutes ninety percent of the annual program
appropriation) from the city or State that is serving as the
grantee. Since formula funds are available in that area, an
application under the Long-term category is not eligible.
14. Is it correct that we don't submit our own MDI evaluation
dissemination plan since we plan to participate in the evaluation
component? Will our application still be awarded points for this?
Yes. For a MDI application, if you establish performance
measures and agree to participate in the evaluation component by
signing the MDI participation agreement certification, your
application will receive the full 5 points. As a condition for the
MDI grant, the NOFA describes the role of the ETAC evaluator that
will be assigned to the selected MDI grants. Once selected, HUD will
work with grantees to initiate their project, design methods to
monitor performance and create evaluation procedures and methods to
disseminate information on the program. MDI grants will also receive
an additional $170,000 to ensure support for an effective program
evaluation effort, of which up to $90,000 would be used for local
activities and participation in conferences and $80,000 would be
used to acquire the described ETAC services.
15. Can a public housing agency (PHA) apply for these funds? Can
a PHA serve as a project sponsor?
Yes, in some cases. A public housing agency that is a functional
part of a State or a unit of general local government may serve as
the applicant/grantee on behalf of that unit of government. In cases
where the PHA is an independent special purpose agency, the PHA
could not serve as the applicant/grantee but may assist another
qualified applicant/grantee as a project sponsor. If applying as the
grantee, the PHA should use item 7 on the SF-424 to designate if it
is an functional part of the State or a unit of general local
government, and provide its PHA number on the Applicant
Certifications, as requested.
FOR FURTHER INFORMATION AND TECHNICAL ASSISTANCE CONTACT: The
Community Connections information center at 1-800-998-9999 (voice);
1-800-483-2209 (TTY) or by email at comcon@aspensys.com.
For answers to your questions, you have several options: you may
contact the HUD CPD office that serves your area, at the phone and
address shown in the appendix; you may contact the Community
Connections information center noted above; or you may contact the
Office of HIV/AIDS Housing at 1-202-708-1934 (voice) or by 1-800-
877-8339 (TTY) at the U.S. Department of Housing and Urban
Development, 451 Seventh Street, SW., Room 7154, Washington, DC
20410.
[FR Doc. 97-11881 Filed 5-2-97; 4:43 pm]
BILLING CODE 4210-29-P
