[Federal Register: April 24, 2003 (Volume 68, Number 79)]
[Notices]
[Page 20313-20321]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr24ap03-136]
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Part III
Department of Housing and Urban Development
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Notice of Funding Availability (NOFA) for the Permanent Housing and
Special Efforts for Subpopulations Technical Assistance Program
(PHASES-TA); Notice
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4802-N-01]
Notice of Funding Availability (NOFA) for the Permanent Housing
and Special Efforts for Subpopulations Technical Assistance Program
(PHASES-TA)
AGENCY: Office of Community Planning and Development, HUD.
ACTION: Notice of funding availability (NOFA).
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SUMMARY: Purpose of the Program: The purpose of the technical
assistance (TA) program detailed in this NOFA is: To provide technical
assistance to grantees, project sponsors, and potential applicants for
the McKinney-Vento Act funded Supportive Housing Program, Section 8
Moderate Rehabilitation Single Room Occupancy, and Shelter Plus Care
projects to promote the development of permanent housing and supportive
services as part of the Continuum of Care (CoC) approach, including
innovative approaches to enable homeless persons to live as
independently as possible. A Continuum of Care approach helps
communities plan for and provide a balance of emergency, transitional,
and permanent housing and service resources to address the needs of
homeless persons so they can make the critical transition from the
streets to permanent housing and independent living. In addition to
prevention, the fundamental components of a CoC system are outreach and
assessment to identify an individual's or family's needs and make
connections to facilities and services, emergency shelter, transitional
housing, and permanent housing arrangements. In addition, this TA
program is intended to provide assistance to faith-based and other
community grassroots organizations, veteran-specific organizations, and
organizations serving Colonias areas to better enable them to develop
and implement viable project proposals to assist homeless persons using
McKinney-Vento funds.
HUD's Strategic Goals: Activities funded through this NOFA are
meant, to the extent practicable, to support the Strategic Goals
described below:
Strategic Goal 1. Effectively address the challenge of
homelessness. Ending chronic homelessness within a decade is a primary
goal of HUD's homeless assistance programs. HUD is also the primary
agency responsible for providing housing and related resources to
prevent homelessness and help homeless families and individuals move to
permanent housing.
Strategic Goal 2. Strengthen and expand faith-based and other
community partnerships that enhance communities. HUD has a long and
rich history of cooperating with faith-based and other community-based
organizations to address the needs of underserved communities,
including the needs of those Americans for whom homelessness, the lack
of affordable housing, and limited alternatives for special needs
housing lead to despair and hopelessness. Building on this history, HUD
plans to strengthen and expand its partnerships with faith-based and
other community-based groups to take further advantage of their
capacity to provide quality services to communities and families.
Available Funds. Up to $2 million in FY 2002 funds is available for
the PHASES-TA program. (Approximately $1 million will be available in
TA funds for development and implementation of permanent housing, with
the remaining $1 million to be used for technical assistance for faith-
based and other community organizations, veteran-specific
organizations, and organizations either currently serving or desiring
to serve Colonias.)
Eligible Applicants. Specific eligibility requirements for the
PHASES-TA program are found below in Section III (C).
Application Deadline. June 18, 2003.
Match: None.
ADDITIONAL INFORMATION:
I. Application Due Date; Application Submission Procedures; Further
Information and Technical Assistance
Application Due Date: Applicants must submit a completed
application (original and one copy) by June 18, 2003, to the address
shown below. Only one application per applicant is permitted.
Application Submission Procedures. HUD has standardized security
procedures that affect the application submission process. Please read
the following instructions carefully and completely. HUD will not
accept hand delivered applications. Applications may be mailed using
DHL, Falcon Carrier, FedEx, United Parcel Service (UPS), or the United
States Postal Service (USPS). No other delivery services are permitted
into HUD Headquarters without escort. Applicants must, therefore, use
one of the five carriers listed above.
Mailed Applications. An application will be considered timely filed
if it is postmarked on or before 5:15 pm EDT on June 18, 2003, and
received by the designated HUD office on or within twenty-one (21) days
of the application due date. All applicants must obtain and save a
Certificate of Mailing showing the date when the application was
submitted to the United States Postal Service (USPS). The Certificate
of Mailing will be the applicant's documentary evidence that the
application was timely filed.
Applications Sent by Overnight/Express Mail Delivery. If the
application is sent by overnight delivery or express mail, the
application will be timely filed if it is received on or before June
18, 2003, or when the applicant submits documentary evidence that the
application was placed in transit with the overnight delivery/express
mail service by no later than June 18, 2003. Due to security measures,
applicants must use one of four carrier services that are permitted
into HUD Headquarters without escort. These services are DHL, Falcon
Carrier, FedEx and UPS. Delivery by these services must be made during
HUD Headquarters business hours, 8:30 a.m. to 5:30 p.m. Eastern Time,
Monday through Friday. If these companies do not service an applicant's
area, the applicant should submit the application via the United States
Postal Service.
Addresses for Submitting Applications. Applicants must submit
completed applications to HUD Headquarters, U.S. Department of Housing
and Urban Development, Office of Community Planning and Development
(CPD) Processing and Control Branch, Room 7251, 451 Seventh Street,
SW., Washington, DC 20410. A completed application consists of the
original application and one copy. When submitting an application,
applicants should refer to the Permanent Housing and Special Efforts
for Subpopulations Technical Assistance (PHASES-TA) Program. Applicants
should include name, mailing address (including zip code), telephone
number (including area code), and fax number (including area code).
Further Information and Technical Assistance. For supplemental
information or technical assistance, applicants may contact Jean Whaley
at 202-708-3176, x2774 (this is not a toll-free number) in HUD
Headquarters. Persons with hearing and speech challenges may access the
above number via TTY by calling the Federal Relay Service at 1-800-877-
8339. Information on this NOFA may also be obtained through the HUD Web
site on the Internet at http://www.hud.gov.
II. Amount Allocated
(A) The amount allocated for the PHASES-TA program is up to
$2,000,000.
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(B) HUD will determine the total amount to be awarded to each
provider based upon the size and needs of the provider's operating
service area, the funds available for that area, the number of other
awardees selected in that area, and the scope of the technical
assistance to be provided. HUD may require selected applicants, as a
condition of funding, to provide coverage on a geographically broader
basis than applied for in order to supplement or strengthen the
intermediary network in terms of the location (service area) and types
and scope of technical assistance proposed.
(C) To the extent permitted by funding constraints, HUD intends to
provide coverage for as full a range as possible of eligible
activities. To achieve this objective, HUD will fund the highest
ranking providers that bring the required expertise in one or more
specialized activity areas, and may fund portions of providers'
proposed programs in which they have the greatest skill and capability
for given geographic areas. HUD will apply rating factors, identified
in Section V of this NOFA, to select a range of providers and
activities that would best serve program objectives for the programs
funded under this NOFA.
III. Program Description; Program Award Period; Eligible Applicants;
Eligible Activities
(A) Program Description
Up to $2 million in funds are available for technical assistance
providers to help organizations that operate or wish to provide
McKinney-Vento programs to better serve their clients' permanent and/or
special housing and supportive service needs. Here the term ``special''
refers to one or more of three designated populations: homeless
veterans, homeless persons in Colonias, or homeless persons being
assisted by faith-based and other community grassroots organizations.
Faith-based and other community grassroots organizations are defined as
those organizations that are headquartered in the local community to
which they provide services; and have social service budgets of
$300,000 or less (not including other portions of the budget such as
salaries and expenses), or have six or fewer full-time equivalent
employees. Local affiliates of national organizations are not
considered ``grassroots.'' Local affiliates of national organizations
are encouraged, however, to partner with grassroots organizations but
must demonstrate that they are currently working with a grassroots
organization, e.g., having a congregation or civic organization, or
other charitable organization provide volunteers.
Thus far, the three types of technical assistance that have been
delineated include TA to providers who serve homeless veterans, TA to
providers who serve homeless persons in Colonias, and TA to providers
who serve homeless persons through faith-based and other community
grassroots organizations. The fourth kind of technical assistance will
be for providers of permanent housing serving any or all categories of
homeless people. Eligible applicants are able to apply for funding to
address the technical assistance needs of as few as one, and as many as
all four, of these TA areas. This section of the NOFA reflects the
statutory requirements of the PHASES-TA program.
(B) Program Award Period
(1) Cooperative agreements will be for a period of up to 18 months.
HUD, however, reserves the right to:
(a) Terminate awards in accordance with provisions contained in OMB
Circular A-102 and A-110, and 24 CFR parts 84-85, anytime after 12
months;
(b) Withdraw funds from a specific provider, if HUD determines that
the need for assistance is not commensurate with the award for
assistance; or
(c) Extend the performance period for up to a total of 12
additional months of individual awardees that have performed
satisfactorily or for which there is a demonstrated continuing need for
assistance. As a condition of receiving an award, a successful
applicant must agree to serve for an extended period.
(2) In cases where an applicant selected for funding is currently
providing technical assistance under an existing HUD grant/cooperative
agreement, HUD reserves the right to adjust the start date of funding
available under this NOFA to coincide with the conclusion of the
previous award, or to incorporate the remaining activities from the
previous award into the new agreement, adjusting the funding levels as
necessary.
(C) Eligible Applicants
HUD is specifically looking for applicants who satisfy any one, or
a combination of, the conditions from the following list:
(1) Applicant is a provider of permanent housing and/or supportive
services to homeless individuals and/or families;
(2) Applicant has experience with the McKinney-Vento funding
process;
(3) Applicant is a provider that services primarily homeless
veterans and their families or focuses on homeless veterans as part of
the homeless population it serves;
(4) Applicant is a provider that serves homeless persons in
Colonias and their families;
(5) Applicant is a faith-based or community organization that
serves homeless individuals and/or families;
(6) Applicant is a public and/or private nonprofit or for-profit
group, including educational institutions and area-wide planning
organizations, qualified to provide technical assistance on McKinney-
Vento Act Homeless Assistance activities.
An organization may not provide assistance to itself. All applicant
organizations must have demonstrated ability to provide TA in a
geographic area larger than a single city or county and must propose to
serve an area larger than a single city or county. A consortium of
organizations may apply for one or more TA programs, but HUD will
require that one organization be designated as the legal applicant,
where legally feasible. Where one organization cannot be so designated
for all proposed activities, HUD may execute more than one cooperative
agreement with the members of a consortium. However, in general HUD
will not award more than one cooperative agreement per application
unless necessary due to legal requirements.
(D) Eligible Activities
Eligible activities under this NOFA are described below. All
proposed activities must be generally eligible as described in (1), and
address one of the following from (2), (3), (4), or (5), below:
(1) Funds are available to provide technical assistance to grantees
and project sponsors for McKinney-Vento Act funded homeless assistance
projects. Funds also may be used to provide technical assistance to
potential applicants and potential project sponsors of McKinney-Vento
Act homeless assistance grants. The assistance may include, but is not
limited to, written information such as reports, manuals, guides and
brochures; person-to-person exchanges; on-site or remote technical
assistance visits and provision of technical expertise; and training
and related costs. Eligible activities as appropriate for each of the
four separate categories of technical assistance are listed below:
(2) Permanent housing. Provide assistance to (i) identify expert
resources and facilitate the exchange of information needed to help
participating organizations/jurisdictions build the capacity to develop
and/or implement permanent housing in
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projects funded under the McKinney-Vento Act in order to better serve
homeless persons and families; (ii) develop and publish descriptive
material, in the form of a best practices guide, and include best
practice examples for use by organizations working to develop and
implement a McKinney-Vento funded permanent housing project; (iii)
develop regional workshops focused on developing and implementing
permanent housing projects funded under the McKinney-Vento Act; (iv)
conduct 25 on-site or remote technical assistance visits to
organizations seeking to develop or implement a permanent housing
project using McKinney-Vento funds; (v) develop a guidebook on how Safe
Havens can be developed and implemented as Supportive Housing Program
permanent housing for the handicapped homeless and Section 8 Single
Room Occupancy (SRO) projects. Safe Havens are a form of permanent
housing that serves hard-to-reach homeless persons with severe mental
illness who are unwilling or unable to participate in supportive
services.
(3) Colonias. Colonias are primarily rural communities that are
located within 150 miles of the U.S.-Mexican border and lack adequate
infrastructure and basic services. For providers who serve homeless
persons in Colonias, provide assistance to (i) identify projects
receiving HUD McKinney-Vento Act funds that can be cited as best
practices and or expert resources for effectively coordinating between
Colonias and community organizations; (ii) identify and analyze
barriers that tend to exclude or discourage Colonias from participation
in the Continuum of Care process or other efforts to assist homeless
persons; (iii) develop one or more workshops focused on developing and
implementing housing projects funded under the McKinney-Vento Act and
serving homeless persons in Colonias; (iv) develop and publish
descriptive material in the form of a best practices guide for use by
organizations working to develop and implement a McKinney-Vento-funded
housing and/or services project serving homeless persons in Colonias.
(4) Faith-based and other community organizations. Provide
assistance to (i) identify active projects receiving HUD McKinney-Vento
Act funds that can be cited as best practices and/or expert resources
for effectively coordinating between Continuum of Care systems and
faith-based and other community organizations; (ii) identify and
analyze factors that may tend to discourage faith-based and other
community organizations from participation in HUD's homeless programs;
(iii) develop 3-5 regional workshops, institutes, or other forums that
will attract faith-based and other community organizations interested
in developing projects to serve homeless individuals and families.
Assistance will focus on the organization's capacity, which means that
in addition to knowledge of, and experience with, homelessness in
general, the organization carrying out the project, its employees and/
or its partners must have the necessary knowledge, experience, and
administrative systems in place to carry out the specific activities
proposed (e.g., housing development, housing management, and service
delivery) and the TA provided will be able to successfully assist or
train organizations to compete for funding assistance under HUD's
McKinney-Vento Act Homeless Assistance Program; (iv) conduct 10 on-site
or remote technical assistance visits to faith-based and other
community organizations seeking to develop or implement McKinney-Vento
projects;
(5) Homeless veterans. Using previously identified best practices
and expert resources, provide assistance to (i) facilitate the exchange
of information needed to help participating organizations/jurisdictions
build capacity to develop veteran-specific McKinney-Vento projects,
i.e., in which the primary target group is homeless veterans; (ii)
develop and participate in 3-5 training workshops, institutes, forums,
or national or regional conferences and present the pertinent
information obtained; (iii) conduct ten on-site or remote technical
assistance visits to organizations seeking to develop or implement a
veteran-specific McKinney-Vento project using McKinney-Vento funds;
(iv) analyze coordination between the Continuum of Care and the
Department of Veterans Affairs Community Homelessness Assessment, Local
Education and Networking Groups (CHALENG) planning systems as it
relates to addressing housing to meet the needs of veterans who are
chronically homeless. The analysis should lead to development of more
efficient planning and/or delivery of housing to chronically homeless
veterans.
IV. Program Requirements
(A) Statutory Requirements
To be eligible for funding under this NOFA, the applicant must meet
all statutory and regulatory requirements applicable to the McKinney-
Vento program or programs for which funding is sought. If applicants
need copies of the program regulations, they are available through the
HUD Web site, http://www.hud.gov.
(B) Threshold Requirements
(1) Ineligible Applicants. HUD will not consider an application
from an ineligible applicant.
(2) Compliance with Fair Housing and Civil Rights Laws.
(a) All applicants and their sub-recipients must comply with all
Fair Housing and Civil Rights laws, statutes, regulations, and
Executive Orders as enumerated at 24 CFR 5.105(a).
(b) Applicants may not apply for assistance under this NOFA, if the
applicants:
(i) Have been charged with a systemic violation of the Fair Housing
Act alleging ongoing discrimination;
(ii) Are a defendant in a Fair Housing Act lawsuit filed by the
Department of Justice alleging an on-going pattern or practice of
discrimination; or
(iii) Have received a letter of non-compliance findings under Title
VI, Section 504, or Section 109, and if the charge, lawsuit, or letter
of findings has not been resolved to HUD's satisfaction before the
application deadline stated in the NOFA. HUD's decision regarding
whether a charge, lawsuit, or a letter of findings has been
satisfactorily resolved will be based upon whether appropriate actions
have been taken to address allegations of on-going discrimination in
the policies or practices involved in the charge, lawsuit, or letter of
findings.
(3) Conducting Business in Accordance with HUD's Core Values and
Ethical Standards. Entities subject to 24 CFR parts 84 and 85 (most
nonprofit organizations and state, local and tribal governments or
government agencies or instrumentalities who receive federal awards of
financials assistance) are required to develop and maintain a written
code of conduct (see Sections 84.42 and 85.36(b)(3)). Consistent with
regulations governing specific programs, an applicant's code of conduct
must: prohibit real and apparent conflicts of interest that may arise
among officers, employees, or agents; prohibit the solicitation and
acceptance of gifts or gratuities by its officers, employees, and
agents for their personal benefit in excess of minimal value; and
outline administrative and disciplinary actions available to remedy
violations of such standards. If awarded assistance under this NOFA,
applicants will be required, prior to entering into a grant agreement
with HUD, to submit a copy of their code of conduct and describe the
methods they will use to ensure that all officers, employees, and
agents of their organizations are aware of their code of conduct;
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(C) Additional Program Requirements
(1) Profit/Fee. No increment above cost, and no fee for profit, may
be paid to any recipient of an award under this NOFA:
(2) Demand/Response Delivery System.
(a) Awardees must operate within the structure of the Demand/
Response System described in this section.
(b) Under the Demand/Response System, awardees will be required to:
(i) When requested by a Government Technical Representative (GTR),
market the availability of their services to existing and potential
recipients to include local jurisdictions in which the assistance will
be delivered; (ii) when requested by a GTR, conduct a Needs Assessment
to identify the type and nature of the assistance needed by the
assistance recipients. These needs assessments should identify the
nature of the problem to be addressed by the technical assistance
services, and then delineate the plan of action to address the need,
including the type of technical assistance services to be provided, the
duration of the services, the staff assigned to provide the assistance,
anticipated products and/or outcomes, the estimated cost for the
provision of services, and the relationship of the proposed services to
the planned or expected Consolidated Plan submission to HUD and to
other technical assistance providers within the locality; (iii) obtain
approval for the Technical Assistance Delivery Plan (TADP) from HUD
(See Section a below); (iv) work cooperatively with other PHASES-TA
providers in their geographic areas to ensure that clients are provided
with the full range of PHASES-TA services needed and available. PHASES-
TA providers are expected to be knowledgeable about the range of
services available from other providers, make referrals and arrange
visits by other PHASES-TA providers when appropriate, and carry out
PHASES-TA activities concurrently when it is cost-effective and in the
interests of the client to do so. HUD may direct PHASES-TA providers to
conduct joint activities.
(3) Technical Assistance Delivery Plan (TADP).
(a) After selection for funding, but prior to award, an applicant
must develop a TADP in consultation with and approved by an Office of
Community Planning and Development GTR.
(b) The TADP must clearly delineate all the tasks and sub-tasks for
each program the applicant will undertake. The plan must identify the
improved program performance or other results expected from the
activity and the methodology for measuring the success of the PHASES-
TA. The TADP must show the location of the community/state in which the
PHASES-TA activities will occur, the level of PHASES-TA funding and
proposed activities by location, a time schedule for delivery of the
activities, budget-by-task, budget summary, and staffing plan.
(4) Forms, Certifications, and Assurances. The applicant must
submit signed copies of the standard forms, certifications, and
assurances listed in this section. As part of HUD's continuing efforts
to improve the NOFA process, several of the required standard forms
have been simplified. The standard forms, certifications, and
assurances are:
[sbull] Application for Federal Assistance (HUD-424);
[sbull] Applicant Assurance and Certifications (HUD-424-B);
[sbull] Budget Summary for Competitive Grant Programs (HUD-424-C);
[sbull] Grant Application Detailed Budget Worksheet (HUD-424-CBW);
[sbull] Applicant/Recipient Disclosure/Update Report (HUD-2880);
[sbull] Certification of Consistency with RC/EZ/EC Strategic Plan
(HUD-2990), if applicable;
[sbull] Certification of Consistency with the Consolidated Plan
(HUD-2991), if applicable;
[sbull] Acknowledgment of Application Receipt (HUD-2993);
[sbull] Client Comments and Suggestions (HUD-2994); and
[sbull] If engaged in lobbying, the Disclosure Form Regarding
Lobbying (SF-LLL).
Copies of these standard forms are available from the HUD Web site
at http://www.hud.gov.
(5) Financial Management and Audit Information. After selection for
funding, but prior to award, an applicant must submit a certificate
from an Independent Public Accountant or the cognizant government
auditor, stating that its financial management system meets prescribed
standards for control and accountability required by 24 CFR part 84 for
Institutions of Higher Education and other Non-Profit Institutions, 24
CFR part 85 for States and local governments, or the Federal
Acquisition Regulations (for all other applicants). The information
should include the name and telephone number of the independent
auditor, cognizant federal auditor, or other audit agency, as
applicable.
(6) Training Sessions. When conducting training sessions as part of
PHASES-TA activities, providers are required to; (a) design the course
materials as ``step-in'' packages (also called ``train-the-trainer''
packages) so that HUD or its designee may separately give the course on
its own; (b) arrange for joint delivery (grantee and HUD staff or
designees, for example) of the training when so requested by the GTR;
and (c) when requested by the GTR, provide for professional videotaping
of the workshops/courses and ensure their production in a professional
and high-quality manner, suitable for viewing by other PHASES-TA
clients (if this requirement is implemented, additional funds may be
requested); (d) when required by HUD, deliver HUD-approved training
courses that have been designed and developed by other HUD contractors
or HUD cooperating parties on a ``step-in'' basis for PHASES-TA
clients, and send trainers to HUD-approved Train-the-Trainer sessions.
(7) Reports to GTRs. PHASES-TA awardees will be required to report
to Headquarters GTRs. At a minimum, this reporting will be on a
quarterly basis unless otherwise specified in the approved TADP.
(D) Additional Non-Discrimination Requirements
Applicants, and their sub-recipients, must comply with the
Americans with Disabilities Act of 1990 (42 U.S.C. 1201 et seq),
Section 504 of the Rehabilitation Act of 1973, and Title IX of the
Education Amendments Act of 1972 (20 U.S.C. 1681 et seq).
(E) Accessible Technology
The Rehabilitation Act Amendments of 1998 apply to all electronic
technology (EIT) used by a grantee for transmitting, receiving, using
or storing information to carry out the responsibilities of any federal
grant awarded. The Act's coverage includes, but is not limited to,
computers (hardware, software, word-processing, e-mail, and web pages),
facsimile machines, copiers and telephones. When developing, procuring,
maintaining, or using EIT, funding recipients must ensure that the EIT
allows employees with disabilities and members of the public with
disabilities to have access to and use of information and data that is
comparable to the access and use of information and data by employees
and members of the public who do not have disabilities. If these
standards impose a hardship on a funding recipient, they may provide an
alternative means to allow the individual to use the information and
data. However, no grantee will be required to provide information
services
[[Page 20318]]
to a person with disabilities at any location other than the location
at which the information services are generally provided.
V. Application Selection Process
(A) Rating and Ranking
HUD will evaluate applications competitively and rank them against
all other applicants that have applied for the PHASES-TA program.
(1) Once scores are assigned, all applications will be listed in
rank order.
(2) Applications will be funded in rank order; however, HUD
reserves the right to make selections out of rank order to provide for
geographic distribution of its funds.
(3) HUD reserves the right to adjust funding levels for each
applicant as follows:
(a) Adjust funding levels for any provider based upon the size and
needs of the provider's operating service area, the funds available for
that area, the number of other awardees selected in that area, funds
available on a national basis for providers that will be operating
nationally, or the scope of the technical assistance to be provided;
(b) To negotiate increased grant awards with applicants approved
for funding if HUD requests them to offer coverage to geographic areas
for which they did not apply or budget, or if HUD receives an
insufficient amount of applications;
(c) If funds remain after all selections have been made, remaining
funds may be made available for other HUD-administered McKinney-Vento
Act program competitions.
(B) Factors for Award Used To Evaluate and Rate Applications
The factors and maximum points for each factor are provided below.
The maximum number of points to be awarded for a PHASES-TA application
is 100. The minimum score for an applicant to be considered in the
funding range is 75, with a minimum of 15 points for Factor 1. Rating
of the ``applicant'' or the ``applicant's organization and staff,''
unless otherwise specified, will include any sub-contractors,
consultants, sub-recipients, and members of consortia which are firmly
committed to the project. When addressing the Factors for Award,
applicants should discuss the specific TA projects, activities, tasks,
etc., suggested to be carried out during the term of the cooperative
agreement. See Sections IV(C)(2) and (3) of this NOFA for a discussion
of the Demand/Response Delivery System and the TADP and the extent to
which such activities may be revised at or after time of award. In
responding to the factors, applicants should be specific about the type
of experience, knowledge, skills and abilities that organization,
staff, and any subcontractors have with the PHASES-TA program and
should provide relevant examples to support the application. Applicants
should also be specific when detailing the communities, populations
and/or organizations which they propose to serve, especially in
response to Factor 3, Subfactor 2.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Staff (25 Points) (Minimum for Funding Eligibility: 15 Points)
In rating this factor, HUD will consider the extent to which the
application demonstrates, in relation to the PHASES-TA program funding
that is requested:
(1) (10 points) Recent relevant and successful experience of an
applicant's organization and staff in providing technical assistance in
all eligible activities and to all eligible entities for the PHASES-TA
program, as described in the NOFA; (In rating this factor, HUD will
evaluate experience, preferably within the last 4 years, which
describes and documents specific examples of actual past work.)
(2) (8 points) The relevant experience, including past experience
in providing similar services to HUD and HUD clients, competence,
knowledge, skills, and abilities of key personnel in managing complex,
multi-faceted or multi-disciplinary programs that require coordination
with other PHASES-TA entities or multiple, diverse units in an
organization; (In rating this factor, HUD will evaluate the resumes of
key staff, consultants, and subcontractors for their recent (within 4
years) and relevant experience in performing activities that are
substantially the same as the activities covered by this NOFA, as well
as clearly described and documented examples of the work.)
(3) (7 points) Sufficient personnel or access to qualified experts
or professionals with the knowledge, skills, and abilities to deliver
the proposed level of technical assistance in each proposed service
area in a timely and effective manner; (In rating this factor, HUD will
evaluate the resumes of key staff, consultants, and subcontractors to
determine their availability to perform the work, factoring in time and
geography.)
Rating Factor 2: Need/Extent of the Problem (20 Points)
In rating this factor, HUD will consider the extent to which the
application:
(1) (10 points) Identifies high priority needs and issues for the
PHASES-TA program; (In rating this factor, HUD will be looking for very
specific needs and issues and a detailed demonstration of the
applicant's knowledge of the homeless programs.)
(2) (10 points) Outlines a clear and cost-effective plan of
suggested TA activities for addressing those needs and aiding a broad
range of eligible grantees or potential grantees and/or beneficiaries;
(In rating this factor, HUD will evaluate the proposed costs of the
program described in the application including labor, travel, and other
costs as it relates to costs for similar activities in other TA
programs which HUD has undertaken.)
Rating Factor 3: Soundness of Approach (30 Points)
In rating this factor, HUD will consider the extent to which the
application:
(1) (7 points) Provides evidence of a sound approach in addressing
identified needs; (In rating this factor, HUD will evaluate the
specific techniques and methods proposed to alleviate the needs
identified in the application.)
(2) (8 points) Provides a cost-effective plan for designing,
organizing, managing, and carrying out the suggested technical
assistance activities within the framework of the Demand/Response
System; (In rating this factor, HUD will evaluate how clearly the
applicant spells out how it will operate under the requirements of the
Demand/Response System, including: (a) How it will operate under the
direction of, and respond to requests for assistance from HUD; (b) how
it will handle competing demands for assistance; and (c) how it will
coordinate activities. The work plan should have built-in flexibility
to allow for unanticipated demands for assistance.)
(3) (10 points) Demonstrates an effective outreach and assistance
program to the identified clients for the categories of assistance
being proposed; (In rating this factor, HUD will evaluate whether the
applicant specifically names and accurately identifies communities
(meaning neighborhoods as well as localities) and/or organizations that
are significantly disadvantaged and underserved by McKinney-Vento
programs. HUD will also evaluate if the applicant persuasively
demonstrates that the
[[Page 20319]]
identified community/organization has a high potential to participate
in McKinney-Vento programs if it receives the level of TA proposed.)
(4) (5 points) Proposes a feasible, creative plan to transfer
models and lessons learned in its PHASES-TA program activities to other
community programs; (In rating this factor, HUD will evaluate whether
the applicant has proposed a clear and feasible plan for obtaining and
disseminating information on lessons learned in each of its TA
activities to other TA clients, using state of the art or new promising
technology as appropriate.)
Rating Factor 4: Quality/Responsiveness and Sustainability (15 Points)
HUD will review applications to determine if they meet the
following quality standards:
(1) (10 points) The proposed TA must be appropriate and responsive
to the needs of the project sponsors, McKinney-Vento grantees, and
potential applicants to be served, as well as the localities involved.
The PHASES-TA applicant should emphasize how they will advise and train
project applicants and project sponsors in undertaking program
planning, community consultations, housing development and operations,
coordination with related health-care and other supportive services,
and evaluation and reporting on program performance. All of these
elements are especially important when addressing the needs of
providers desiring to provide permanent housing for severely mentally
ill persons, homeless veterans, homeless persons in Colonias, and
chronically homeless and hard-to reach individuals and families; (In
rating this factor, HUD will evaluate the specificity in which each
element of this factor is addressed that demonstrates both an
understanding of the issues and solid experience and methods in
fulfilling each of the elements.) HUD may find the technical assistance
to be inappropriate if:
(a) The technical assistance to be provided does not show how
participants will be helped to expand their capacity to develop
permanent housing, if proposing activities in this category of
technical assistance; or, for those proposing to serve the other three
categories, if the proposal does not show how participants will be
helped to expand their capacity to develop McKinney-Vento projects
serving the special subpopulations they propose to serve.
(b) Development of housing and housing accessibility for persons
with disabilities will not be provided as required by applicable laws
including Section 504 of the Rehabilitation Act of 1973, the Americans
with Disabilities Act of 1990 and the Fair Housing Act and their
implementing regulations.
(c) The technical assistance provided or activities proposed will
not result in service delivery in the most integrated setting
appropriate for qualified persons with disabilities, consistent with
the objectives of the President's New Freedom Initiative and Olmstead
v. L.C.
(d) The technical assistance to be provided does not address
community-wide planning to avoid duplication of service activity or
service provision.
(e) The technical assistance to be provided does not demonstrate
responsive, efficient and cost-effective planning in its proposed
activities.
(2) (5 Points). The proposed TA must promote sustainability.
Sustainability refers to the potential for TA recipient organizations
to become self-sustaining financially, and the potential of a specific
project or activity to be sustained into the future absent any
McKinney-Vento funding; (In rating this factor, HUD will evaluate the
specificity in which sustainability is addressed and any experience the
applicant can document in achieving this goal.)
Rating Factor 5: Achieving Results and Program Evaluation (10 Points)
This factor emphasizes HUD's commitment to ensure that grantees
keep promises made in their applications and to assess their
performance to ensure performance goals are met. Program evaluation
requires that the applicant identify program outcomes, interim products
or benchmarks, and performance indicators that will allow measure of
performance. Performance indicators should be quantifiable and measure
actual against planned achievements. Applicants are also asked to
describe their successful past performance, including timely and cost-
effective delivery of services, in other relevant community development
and/or technical assistance programs.
In rating this factor, HUD will consider the extent to which the
application:
(1) (5 points) Proposes an effective, outcome-oriented evaluation
plan for measuring performance. The evaluation plan should identify
outcomes to be measured, how they will be measured, and the steps in
place to make adjustments to work plans if performance targets are not
met within established timeframes. The evaluation plan should also
identify shortcomings and recommend areas for improvement when
providing technical assistance services. The applicant is also asked to
describe previous experience developing such plans; (In rating this
factor, HUD will evaluate the specificity in which the evaluation plan
is developed and the applicant's previous experience in developing such
plans.)
(2) (5 points) Demonstrates successful past performance in
administering HUD McKinney-Vento TA grants. Applicants new to HUD's
Community Development Technical Assistance (CD-TA) Programs should
certify to that fact. In order to reach new technical assistance
providers in the McKinney-Vento Act homeless assistance program area,
up to 25% of the funds will be reserved for applicants who have not
previously been funded under a community and planning development
technical assistance competition. If qualified new applicants are not
found in each field office and/or at the national level, the remaining
funds will be made available for previously funded providers. (Note:
There will be no point deduction on this subfactor for new applicants
who comply with the above requirement.) Applicants new to the HUD
Supportive Housing-TA or Homeless-TA Programs should certify to that
fact, but should demonstrate successful past performance in providing
technical assistance in other community development programs. (In
rating this factor, HUD will use currently available information in HUD
files, including financial and drawdown information, for all current
Community Development TA providers.)
VI. Application Submission Requirements
The application must, at a minimum, contain the following items:
(A) Transmittal Letter which identifies the NOFA, the dollar amount
requested, and the applicant or applicants submitting the application.
(B) Narrative statement addressing the Factors for Award described
in section V of this NOFA. An applicant should number the narrative
response in accordance with each factor for award. This narrative
statement will be the basis for evaluating the application. It should
include a plan of suggested TA activities as described in factors 2, 3,
and elsewhere. These suggested TA activities may form a starting point
for negotiating the TADP described in section IV(C)(2) of this NOFA.
(C) Budget Summary identifying costs for implementing the plan of
suggested TA activities by cost category, in accordance with the
following:
(1) Direct Labor by position or individual, indicating the
estimated hours per position, the rate per hour,
[[Page 20320]]
estimated cost per staff position, and the total estimated direct labor
costs;
(2) Fringe Benefits by staff position identifying the rate, the
salary base the rate was computed on, estimated cost per position, and
the total estimated fringe benefit cost;
(3) Material Costs indicating the item, quantity, unit cost per
item, estimated cost per item, and the total estimated material costs;
(4) Transportation Costs, as applicable;
(5) Equipment charges, if any. Equipment charges should identify
the type of equipment, quantity, unit costs, and total estimated
equipment costs;
(6) Consultant Costs, if applicable. Indicate the type, estimated
number of consultant days, rate per day, total estimated consultant
costs per consultant, and total estimated costs for all consultants.
(7) Subcontract Costs, if applicable. Indicate each individual
subcontract and amount;
(8) Other Direct Costs listed by item, quantity, unit cost, total
for each item listed, and total other costs for the award;
(9) Indirect Costs should identify the type, approved indirect cost
rate, base to which the rate applies and total indirect costs.
These line items should total the amount requested for the PHASES-
TA program.
VII. Corrections, Debriefing
(A) Corrections to Deficient Applications
After the application due date, HUD may not, consistent with its
regulations in 24 CFR part 4, subpart B, consider any unsolicited
information applicants may want to provide. HUD may contact applicants
to clarify an item in an application or to correct technical
deficiencies. HUD may not seek clarification of items or responses that
improve the substantive quality of responses to any rating factors. In
order to not unreasonably exclude applications from being rated and
ranked, HUD may contact applicants to ensure proper completion of the
application and will do so on a uniform basis for all applicants.
Examples of correctable technical deficiencies include failure to
submit the proper certifications or failure to submit an application
that contains an original signature by an authorized official. In each
case, HUD will notify applicants in writing by describing the
clarification or technical deficiency. HUD will notify applicants by
facsimile (FAX) or by USPS, return receipt requested. Clarifications or
corrections of technical deficiencies in accordance with the
information provided by HUD must be submitted within 14 calendar days
of the date of receipt of the HUD notification. (If the due date falls
on a Saturday, Sunday, or federal holiday, an applicant's correction
must be received by HUD on the next day that is not a Saturday, Sunday,
or federal holiday.) If the deficiency is not corrected within this
time period, HUD will reject the application as incomplete and it will
not be considered for funding.
(B) Applicant Debriefing
Beginning not less than 30 days after the Department publicly
announces the awards for assistance, and for at least 120 days after
such announcement, HUD will provide any requesting applicant with a
debriefing on their application. All requests for debriefing must be
made in writing or email by the authorized official whose signature
appears on the HUD-424 or his or her successor in office. Applicants
should submit their requests to Jean Whaley, who may be reached at
(202) 708-3176, extension 2774 (this is not a toll-free number).
Information provided to applicants during the debriefing will include,
at a minimum, the final score received for each rating factor, final
evaluator comments for each rating factor, and the final assessment
indicating the basis upon which assistance was provided or denied.
VIII. Findings and Certifications
(A) Federalism Impact
Executive Order 13132 (captioned ``Federalism'') prohibits, to the
extent practicable and permitted by law, an agency from promulgating a
regulation that has federalism implications and either imposes
substantial direct compliance costs on state and local governments and
is not required by statute, or preempts state law, unless the relevant
requirements of section 6 of the Executive Order are met. This NOFA
does not have federalism implications and does not impose substantial
direct compliance costs on state and local governments nor preempt
state law within the meaning of the Executive Order.
(B) Accountability in the Provision of HUD Assistance
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (HUD Reform Act) and the regulations in 24 CFR part
4, subpart A contain a number of provisions that are designed to ensure
greater accountability and integrity in the provision of certain types
of assistance administered by HUD. On January 14, 1992 (57 FR 1942),
HUD published a notice that also provides information on the
implementation of section 102. HUD will comply with the documentation,
public access, and disclosure requirements of section 102 with regard
to the assistance awarded under this NOFA, as follows:
(1) Documentation and public access requirements. HUD will ensure
that documentation and other information regarding each application
submitted pursuant to this NOFA are sufficient to indicate the basis
upon which assistance was provided or denied. This material, including
any letters of support, will be made available for public inspection
for a 5-year period beginning not less than 30 days after the award of
the assistance. Material will be made available in accordance with the
Freedom of Information Act (5 U.S.C. 552) and HUD's implementing
regulations at 24 CFR part 15.
(2) Disclosures. HUD will make available for public inspection for
5 years all applicant disclosure reports (HUD Form 2880) submitted in
connection with this NOFA. Update reports (also reported on HUD Form
2880) will be made available along with the applicant disclosure
reports, but in no case for a period of 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.
(3) Publication of Recipients of HUD Funding. HUD's regulations at
24 CFR part 4 provide that HUD will publish a Notice in the Federal
Register to notify the public of all decisions made by the Department
to provide:
(i) Assistance subject to section 102(a) of the HUD Reform Act;
and/or
(ii) Assistance provided through grants or cooperative agreements
on a discretionary (non-formula, non-demand) basis, but that is not
provided on the basis of a competition.
(C) Section 103 HUD Reform Act
HUD will comply with section 103 of the Department of Housing and
Urban Development Reform Act of 1989 and HUD's implementing regulations
in subpart B of 24 CFR part 4 with regard to the funding competition
announced today. These requirements 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 section 103 from providing advance information
[[Page 20321]]
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 section 103 and subpart B of 24 CFR part 4.
Applicants or employees who have ethics related questions should
contact the HUD Ethics Law Division at (202) 708-3815 (this is not a
toll-free number). For HUD employees who have specific program
questions, such as whether particular subject matter can be discussed
with persons outside HUD, the employee should contact the appropriate
Field Office Counsel.
(D) Paperwork Reduction Act Statement
The information collection requirements in this NOFA have been
approved by OMB under the Paperwork Reduction Act of 1995 (44 U.S.C.
3501-3520). The OMB number is 2506-0166, valid through November 30,
2004. Under the Paperwork Reduction Act, 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.
(E) Environmental Requirements
This NOFA does not direct, provide for assistance or loan and
mortgage insurance for, or otherwise govern or regulate, real property
acquisition, disposition, leasing, rehabilitation, alteration,
demolition, or new construction, or establish, revise or provide for
standards for construction or construction materials, manufactured
housing, or occupancy. Accordingly, under 24 CFR 50.19 (c)(1), this
NOFA is categorically excluded from the requirements of the National
Environmental Policy Act of 1969 (42 U.S.C. 4321).
In accordance with 24 CFR 50.19(b)(9) and 58.34(a)(9), the
assistance provided by this NOFA relates only to the provision of
technical assistance and is categorically excluded from the
requirements of the National Environmental Policy Act and not subject
to environmental review under the related laws and authorities.
(F) Catalog of Federal Domestic Assistance Numbers
The Federal Domestic Assistance number for this program is 14.506.
IX. Authority
McKinney-Vento Act Homeless Assistance Programs Technical
Assistance. The Supportive Housing Program is authorized under 42
U.S.C. 11381 et seq.; 24 CFR 583.140. The Emergency Shelter Grant,
Section 8 Moderate Rehabilitation Single Room Occupancy Program and the
Shelter Plus Care Technical Assistance Programs are authorized by the
FY 2002 HUD Appropriations Act.
Dated: April 15, 2003.
Roy A. Bernardi,
Assistant Secretary for Community Planning and Development.
[FR Doc. 03-10094 Filed 4-23-03; 8:45 am]
BILLING CODE 4210-29-P