Funding Availability for CD-TA Programs

Funding Availability for Community Development Technical Assistance
(CD-TA) Programs--CDBG, CHDO, Home, Supportive Housing and HOPWA

Program Overview

    Purpose of the Program. The purposes of the technical assistance programs in this SuperNOFA are:

   Community Development Block Grant Technical Assistance. To increase
the effectiveness with which States and units of general local
government plan, develop and administer their Community Development
Block Grant (CDBG) Programs, including assistance to aid non-profits
and other recipients of CDBG funds.
    CHDO Technical Assistance. To promote the ability of Community
Housing Development Organizations (CHDOs) to maintain, rehabilitate and
construct housing for low-income and moderate-income families;
facilitate the education of low-income homeowners and tenants; and help
women who reside in low- and moderate-income neighborhoods to
rehabilitate and construct housing in the neighborhoods.
    HOME Technical Assistance. To help HOME participating jurisdictions
design and implement HOME programs, including: improving their ability
to design and implement housing strategies and incorporate energy
efficiency into affordable housing; facilitating the exchange of
information to help participating jurisdictions carry out their
programs; facilitating the establishment and efficient operation of
employer-assisted housing programs and land bank programs; and
encouraging private lenders and for-profit developers of low-income
housing to participate in public-private partnerships.
    Supportive Housing Program (SHP) Technical Assistance. To provide
HUD-funded Supportive Housing Program projects with technical
assistance to promote the development of supportive housing and
supportive services as part of a Continuum of Care approach, including
innovative approaches to assist homeless persons in the transition from
homelessness, and promoting the provision of supportive housing to
homeless persons to enable them to live as independently as possible.
    Housing Opportunities for Persons with AIDS (HOPWA). To train
communities to create comprehensive housing strategies and responsive
area programs that assist residents who are living with HIV/AIDS; to
train HOPWA grantees to administer formula and competitive funds in an
efficient and effective manner, including undertaking community
consultations, program planning, housing development and operations,
program evaluation and reporting on accomplishments; and to build the
capacity of nonprofit organizations to carry out activities as HOPWA
projects sponsors.
    Available Funds. Up to $24.3 million is available for the five CD-
TA programs.
    Eligible Applicants. Specific eligibility requirements for the five
CD-TA programs are found below in Section III(C). Forty percent of the
CDBG, CHDO, HOME and Supportive Housing technical assistance funds is
limited to qualified providers who have not previously received a
technical assistance award. This limitation is not applicable to HOPWA
technical assistance.
    Application Deadline. May 26, 1999.
    Match. None.

Additional Information

    If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.

I. Application Due Date, Application Kits, Further Information, and
Technical Assistance

    Application Due Date. Submit your completed applications (an
original and one copy) on or before 12:00 midnight, Eastern time, on
May 26, 1999. The original application that you submit to Headquarters
is considered the official application. Send a copy of your application
on or before the application deadline date to the HUD CPD Field
Office(s) in which you are seeking to provide services. Only one
application per applicant is permitted; however, one application can
include as few as one or as many as all five CD-TA programs. The
application kit contains the addresses and hours of operation for the
HUD CPD Field Offices.
    See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
    Addresses for Submitting Applications. Submit your completed
original application to HUD Headquarters, U.S. Department of Housing
and Urban Development, CPD Processing and Control Branch, Room 7251,
451 Seventh Street, SW, Washington, DC 20410. Send a copy of the
application to the appropriate CPD Field Office(s) at the address shown
on the list of HUD CPD Field Offices included in the application kit.
When submitting your application, please refer to the Community
Development Technical Assistance Program. Be sure to include your name,
mailing address (including zip code), telephone number (including area
code), and fax number (including area code).
    For Application Kits. For an application kit and any supplemental
information, please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's
TTY number at 1-800-483-2209. When requesting an application kit,
please refer to ``Community Development Technical Assistance
Programs.'' Please be sure to provide your name, address (including zip
code), telephone number (including area code), and fax number
(including area code).
    For Further Information and Technical Assistance. For answers to
your questions, you have several options. You may call the HUD CPD
Office serving your area at the telephone number listed in the list of
HUD CPD Field Offices included in the application kit, or you may
contact Ms. Deirdre Neighbors at 202-708-3176 x4386 in HUD
Headquarters. Information on this SuperNOFA also may be obtained
through the HUD web site on the Internet at

II. Amount Allocated

    (A) The amounts allocated for each CD-TA program are as follows:

CDBG TA funds:
    Up to $2,500,000
CHDO TA funds:
    Up to $9,000,000 Total
    $3,600,000 Single State
    $5,400,000 Multi-State
HOME TA funds:
    Up to $8,000,000
SHP TA funds:
    Up to $2,500,000
HOPWA TA funds:
    Up to $2,250,000

    (B) Each HUD/CPD Field Office has been allocated a ``fair-share''
of CD-TA funds for purposes of this competition, except for the HOPWA
TA funds which will be awarded only through a national competition (See
CD-TA Appendix A for the fair share allocations). The amounts are based
on workload allocations of HOME, CDBG and SHP entitlement funds and
competitive programs for which Field Offices have management oversight.
These amounts are only for guidance purposes for you to develop your
program budgets by Field Office jurisdiction and are not the exact
amounts to be awarded to you in each area.

[[Page 9636]]

    HUD will determine the total amount to be awarded to any provider
based upon the size and needs of the provider's service area within
each Field Office jurisdiction in which the provider is selected to
operate, the funds available for that area, the number of other
awardees selected in that area, and the scope of the technical
assistance to be provided. Additionally, HUD may reduce the amount of
funds allocated for Field Office jurisdictions to fund national CD-TA
providers and other CD-TA providers for activities which cannot be
budgeted or estimated by Field Office jurisdiction. HUD may require
selected applicants, as a condition of funding, to provide coverage on
a geographically broader basis than applied for in order to supplement
or strengthen the intermediary network in terms of the location
(service area), types and scope of technical assistance proposed.
    (C) In order to reach new technical assistance providers in the
CDBG, HOME, CHDO and SH program areas, 40% of the funds in each of
these four program areas within a field office (or at the national
level) will be awarded to applicants who have not previously been
funded under a technical assistance competition. Therefore,
approximately $1 million will be awarded to new providers in CDBG; $3.2
million in HOME; $3.6 million in CHDO; and $1 million in SHP. With
respect to CHDO funds, 40% of the total funds (single state and multi-
state combined) are earmarked for new providers. If qualified new
applicants are not found in each program area in each Field Office and/
or at the national level, the remaining funds will be made available
for previously funded providers. The reverse also is true.
    (D) To the extent permitted by funding constraints, HUD intends to
provide coverage for as full a range as possible, of eligible CD-TA
activities of each CD-TA program in each Field Office jurisdiction. To
achieve this objective, HUD will fund the highest ranking providers
that bring the required expertise in one or more specialized activity
areas, and fund portions of providers' proposed programs in which they
have the greatest skill and capability for given geographic areas or on
a national basis. HUD also may require national, multi-jurisdictional,
or other providers to provide coverage to Field Office jurisdictions
which cannot otherwise receive cost-effective support from a CD-TA
provider. In selecting applicants for funding, in addition to the
rating factors, HUD will apply program policy criteria identified in
Section V of this CD-TA Program section of SuperNOFA to select a range
of providers and activities that would best serve program objectives
for each program serviced by the CD-TA funded under this SuperNOFA.

III. Program Description; Program Award Period; Eligible
Applicants; Eligible and Ineligible Activities; and Sub-Grants/Pass
Through Funds

    (A) Program Description. Up to $24.3 million in technical
assistance (TA) funds is available from five separate technical
assistance programs: Community Development Block Grant (CDBG) TA,
Community Housing Development Organization (CHDO) TA, HOME TA, SHP TA,
and HOPWA TA (collectively ``CD-TA'').
    The funding of these five CD-TA programs through a single funding
availability announcement will not affect the ability of eligible
applicants to seek CD-TA funding. Eligible applicants are able to apply
for funding under as few as one, and as many as five, separate CD-TA
programs, individually or collectively, singularly or in combination.
The specific provisions of the five separate CD-TA programs have not
been changed. This Community Development Technical Assistance Programs
section of the SuperNOFA reflects the statutory requirements and
differences in the five different CD-TA programs.
    (B) Program Award Period.
    (1) Cooperative Agreements will be for a period of up to 36 months.
HUD, however, reserves the right to:
    (a) Terminate awards in accordance with provisions contained in OMB
Circular A-102, and 24 CFR parts 84 and 85 anytime after 12 months;
    (b) Withdraw funds from a specific provider, if HUD determines that
the urgency of need for the assistance is greater in other Field Office
jurisdictions or the need for assistance is not commensurate with the
award for assistance;
    (c) Extend the performance period of individual awardees up to a
total of 12 additional months.
    (2) In cases where an applicant selected for funding under this
program section of the SuperNOFA currently is providing CD technical
assistance under an existing CD-TA grant/cooperative agreement, HUD
reserves the right to adjust the start date of funding under this
program to coincide with the conclusion of the previous award, or to
incorporate the remaining activities from the previous award into the
new agreement, adjusting the funding levels as necessary.
    (C) Eligible Applicants.
    (1) General. The eligible applicants for each of the five CD-TA
programs are listed in paragraphs (2), (3), (4) and (5) of this Section
(C). This paragraph (1) lists requirements applicable to all
    (a) Many organizations are eligible to apply for more than one CD-
TA program and are encouraged to do so to the extent they have the
requisite experience, expertise and capability.
    (b) All applicant organizations must have demonstrated ability to
provide CD-TA in a geographic area larger than a single city or county
and must propose to serve an area larger than a single city or county.
    (c) An organization may not provide assistance to itself, and any
organization funded to assist CHDOs under this CD-TA Program section of
the SuperNOFA may not act as a CHDO itself within its service area
while under award with HUD.
    (d) A consortium of organizations may apply for one or more CD-TA
programs, but HUD will require that one organization be designated as
the legal applicant, where legally feasible. Where one organization
cannot be so designated for all proposed activities, HUD may execute
more than one cooperative agreement with the members of a consortium.
    (e) All applicants must meet minimum statutory eligibility
requirements for each CD-TA program for which they are chosen in order
to be awarded a cooperative agreement. Copies of the Technical
Assistance program regulations will be provided with the application
    (f) All eligible CD-TA providers may propose assistance using in-
house staff, consultants, sub-contractors and sub-recipients, networks
of private consultants and/or local organizations with requisite
experience and capabilities. Whenever possible, applicants should make
use of technical assistance providers located in the Field Office
jurisdiction receiving services. This draws upon local expertise and
persons familiar with the opportunities and resources available in the
area to be served while reducing travel and other costs associated with
delivering the proposed technical assistance services.
    (g) All applicants must meet the applicable threshold requirements
of Section II(B) of the General Section of the SuperNOFA.
    (2) CDBG and Supportive Housing Eligible Applicants.
    (a) States and units of general local government.
    (b) Public and private non-profit or for-profit groups, including
educational institutions and area-wide planning

[[Page 9637]]

organizations, qualified to provide technical assistance on CDBG
programs or Supportive Housing projects. With respect to the CDBG
program, an applicant group must be designated as a technical
assistance provider to a unit of government's CDBG program by the chief
executive officer of each unit to be assisted before assistance is
provided, unless the assistance is limited to conferences/workshops
attended by more than one unit of government. Do not include letters of
designation in your application since granting of an award does not
constitute approval of assistance to a given community and is provided
only through a Technical Assistance Delivery Plan (see Section IV(A)(3)
of this program section of the SuperNOFA).
    (3) CHDO Eligible Applicants. Public and private non-profit
intermediary organizations that customarily provide services (in more
than one community) related to affordable housing or neighborhood
revitalization to CHDOs, or similar organizations that engage in
community revitalization, including all eligible organizations under
section 233 of the Cranston-Gonzalez National Affordable Housing Act,
as amended.
    HUD will consider an intermediary as a primarily single State
technical assistance provider if it can document that more than 50% of
its past activities in working with CHDOs or similar nonprofit and
other organizations (on the production of affordable housing or
revitalization of deteriorating neighborhoods and/or the delivery of
technical assistance to these groups) was confined to the geographic
limits of a single State.
    (4) HOME Eligible Applicants.
    (a) A for-profit or non-profit professional and technical services
company or firm that has demonstrated capacity to provide technical
assistance services;
    (b) A HOME participating jurisdiction (PJ) or agency thereof;
    (c) A public purpose organization responsible to the chief elected
official of a PJ and established pursuant to State or local
    (d) An agency or authority established by two or more PJs to carry
out activities consistent with the purposes of the HOME program;
    (e) A national or regional non-profit organization that has
membership comprised predominantly of entities or officials of entities
of PJs or PJs' agencies or established organizations.
    (5) HOPWA Eligible Applicants.
    (a) Non-profit organizations; and
    (b) States and units of general local government.
    (D) Eligible and Ineligible Activities. Eligible and ineligible
activities as appropriate for each of the five CD-TA programs are
listed below:
    (1) Community Development Block Grant Technical Assistance.
    (a) Eligible Activities. Activities performed with CDBG funds must
meet the substantive nexus test contained in 24 CFR 570.402(a)(2) and
may include:
    (i) The provision of technical or advisory services;
    (ii) The design and operation of training projects such as
workshops, seminars, conferences, or computer-based training;
    (iii) The development and distribution of technical materials and
    (iv) Other methods of demonstrating and making available skills,
information and knowledge to assist States, units of general local
government, in planning, developing, administering or assessing
assistance under CDBG programs in which they are participating or
seeking to participate.
    (b) Ineligible Activities. Activities for which costs are
ineligible for funding under the Community Development Block Grant
Technical Assistance Program include:
    (i) In the case of technical assistance for States, the cost of
carrying-out the administration of the State CDBG program for non-
entitlement communities;
    (ii) The cost of carrying out the activities authorized under the
CDBG Program, such as the provision of public services, construction,
rehabilitation, planning and administration for which the technical
assistance is to be provided;
    (iii) The cost of acquiring or developing the specialized skills or
knowledge to be provided by a group funded under this section;
    (iv) Research activities;
    (v) The cost of identifying units of governments needing assistance
(except the cost of selecting recipients of technical assistance under
the provision of 24 CFR 570.402(j) is eligible); or
    (vi) Activities designed primarily to benefit HUD, or to assist
HUD, in carrying out the Department's responsibilities; such as
research, policy analysis of proposed legislation, training or travel
of HUD staff, or development and review of reports to Congress.
    (2) CHDO Technical Assistance. CHDO Technical Assistance funds may
be used only for the following eligible activities:
    (a) Organizational Support--Organizational support assistance may
be made available to community housing development organizations to
cover operational expenses and to cover expenses for training and
technical, legal, engineering and other assistance to the board of
directors, staff, and members of the community housing development
    (b) Housing Education--Housing education assistance may be made
available to community housing development organizations to cover
expenses for providing or administering programs for educating,
counseling, organizing homeowners and tenants who are eligible to
receive assistance under other provisions of the HOME Program;
    (c) Program-Wide Support of Nonprofit Development and Management--
Technical assistance, training, and continuing support may be made
available to eligible community housing development organizations for
managing and conserving properties developed under the HOME Program;
    (d) Benevolent Loan Funds--Technical assistance may be made
available to increase the investment of private capital in housing for
very low-income families, particularly by encouraging the establishment
of benevolent loan funds through which private financial institutions
will accept deposits at below-market interest rates and make those
funds available at favorable rates to developers of low-income housing
and to low-income homebuyers;
    (e) Community Development Banks and Credit Unions--Technical
assistance may be made available to establish privately owned, local
community development banks and credit unions to finance affordable
    (f) Community Land Trusts--Organizational support, technical
assistance, education, training and continuing support under this
subsection may be made available to community land trusts (as such term
is defined in section 233(f) of the Cranston-Gonzalez National
Affordable Housing Act) and to community groups for the establishment
of community land trusts; and
    (g) Facilitating Women in Homebuilding Professions--Technical
assistance may be made available to businesses, unions, and
organizations involved in construction and rehabilitation of housing in
low-and moderate-income areas to assist women residing in the area to
obtain jobs involving such activities, which may include facilitating
access by helping such women develop nontraditional skills, recruiting
women to participate in such programs, providing continuing support for
women at job sites,

[[Page 9638]]

counseling and educating businesses regarding suitable work
environments for women, providing information to such women regarding
opportunities for establishing small housing construction and
rehabilitation businesses, and providing materials and tools for
training such women (in an amount not exceeding 10% of any assistance
provided under this paragraph). HUD shall give priority under this
paragraph to providing technical assistance for organizations
rehabilitating single family or multifamily housing owned or controlled
by HUD pursuant to title II of the National Housing Act and which have
women members in occupations in which women constitute 25% or less of
the total number of workers in the occupation (in this section referred
to as ``nontraditional occupations'').
    (3) HOME Technical Assistance Program. HUD will provide assistance
    (a) Facilitate the exchange of information that would help
participating jurisdictions carry out the purposes of the HOME statute,
including information on program design and accessibility, housing
finance, land use controls, and building construction techniques;
    (b) Improve the ability of States and units of local government to
design and implement housing strategies, particularly those States and
units of local government that are relatively inexperienced in the
development of affordable housing;
    (c) Encourage private lenders and for-profit developers of low-
income housing to participate in public-private partnerships to achieve
the purposes of the HOME statute;
    (d) Improve the ability of States and units of local government,
community housing development organizations, private lenders, and for-
profit developers of low-income housing to incorporate energy
efficiency into the planning, design, financing, construction and
operation of affordable housing;
    (e) Facilitate the establishment and efficient operation of
employer-assisted housing programs, through research, technical
assistance, and demonstration projects; and
    (f) Facilitate the establishment and efficient operation of land
bank programs, under which title to vacant and abandoned parcels of
real estate located in or causing blighted neighborhoods is cleared for
use consistent with the purposes of the HOME statute.
    (4) Supportive Housing Program Technical Assistance. Funds are
available to provide technical assistance to HUD funded Supportive
Housing projects. Funds may be used to provide technical assistance to
prospective applicants, applicants, recipients or other providers
(project sponsors) of Supportive Housing or SHP-funded services for
homeless persons. The assistance may include, but is not limited to,
written information such as papers, manuals, guides and brochures;
person-to-person exchanges; on-site assessments and provision of
technical expertise; and training and related costs.
    (5) HOPWA Technical Assistance.
    For the purposes of this program section of the SuperNOFA, HOPWA
technical assistance shall mean the transfer to HOPWA grantees and
project sponsors and potential recipients of program funds, the skills
and knowledge needed to develop, operate and support HOPWA-eligible
projects and activities.
    An applicant for HOPWA TA funds must propose activities on a
national or regional basis (e.g. serving a multi-state area). The
application should emphasize how activities will advise and train
communities 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. The Department has
established the following four national goals for HOPWA TA projects:
    (a) Comprehensive Strategies for HIV/AIDS Housing. HOPWA TA funds
can be used to advise and train communities in: undertaking community-
based needs assessments of the housing needs of persons living with
HIV/AIDS and their families; drafting comprehensive multiple-year HIV/
AIDS housing plans; undertaking community-wide consultations, including
consulting with potential clients, providers of HIV/AIDS housing and/or
services, and local, State and Federal agencies that administer HIV/
AIDS-related programs, including programs funded under the Ryan White
CARE Act, and programs that address serious mental illness, chronic
alcohol and other drug abuse issues, and homelessness; integrating HIV/
AIDS housing efforts within the area's consolidated planning processes:
and collaborating with the area's Continuum of Care Homeless Assistance
processes in assisting persons with HIV/AIDS who are homeless.
Technical assistance also may be used to train communities in how to
best target assistance to traditionally underserved subpopulations in
developing community-based needs assessments and may build capacity for
State-wide, metropolitan, non-metropolitan and/or rural areas in
development of area multi-year HIV and AIDS housing plans. You also
could provide technical assistance to HOPWA formula grantees that are
new recipients of formula allocations or that are designated by HUD as
prospective recipients in future allocations to promote the planning
and startup for the use of funds.
    (b) Sound Management of HOPWA Programs. HOPWA TA funds can be used
to help ensure that grantees and project sponsors use funds in a manner
that upholds the public trust in the operation of programs, including:
advising on management practices to provide responsive, efficient and
cost effective facility and program operations; advising on fiscal
management to ensure accountability in the use of funds; advising on
the coordination of housing with health-care and other related
supportive services for eligible persons; assisting in developing
collaborations with local, State and Federal agencies that administer
HIV/AIDS-related programs, including programs funded under the Ryan
White CARE Act; advising on data collection and evaluation of programs;
providing program handbooks, guidance materials, audio/visual products,
training, and other activities to promote good management practices.
    (c) Use of HUD Information Management Tools. HOPWA TA funds may be
used to assist grantees, project sponsors and other organizations
involved in HIV/AIDS plans in using the Department's information
technology, financial systems and information management systems for
developing, operating and reporting on program activities. Applications
should address how TA activities will support the use of the
Department's Consolidated Planning Process, Integrated Disbursement and
Information System (IDIS), the use of HOPWA Annual Progress Reports,
the Grants Management System, the LOCCS/HUDCAPS and other HUD
information collection or financial management tools. The use of these
management tools will help to ensure that your performance is measured
under the HOPWA national performance goals, established in the
Department's Annual Performance Plan. You should address plans for
conducting grantee and sponsor workshops, developing training
materials, developing or adapting software for program activities and
goals, and sponsoring conferences of grantees and sponsors.
    (d) National HOPWA Information. HOPWA TA funds may be used to

[[Page 9639]]

establish a component to support HIV/AIDS housing discussions, panels,
presentations, information, exhibit booths, and other training
materials at national, regional, state-wide and local meetings of
organizations that are involved in housing, community development,
health-care and supportive services, veterans affairs and other human
service efforts. The component should help promote understanding on
HIV/AIDS housing issues and needs of persons living with HIV/AIDS, and
offer training on developing and accessing HIV/AIDS housing and related
services. A research and information services component of this effort
should include the development of information on HIV/AIDS housing and
activities supported under HOPWA grants which will be published for
national distribution, including disseminating information on the
success and lessons learned by the HOPWA Special Projects of National
Significance and Long-term grants in non-formula areas that have been
awarded in the HOPWA national competitions. 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 or address
emerging and unresolved issues in assisting persons living with HIV/
AIDS and their families.
    (E) Sub-Grants/Pass-Through Funds. Applicants may propose to make
sub-grants to achieve the purposes of their proposed CA-TA programs in
accordance with program requirements in Section IV of this CD-TA
Program section of the SuperNOFA. In the case of CHDO TA, these sub-
grants (also called ``pass-through'' funds) may be made for eligible
activities and to eligible entities as identified in Section 233(b)(1),
(2), and (7) of the Cranston-Gonzalez National Affordable Housing Act.
When CHDO TA sub-grants are made to CHDOs, two statutory provisions
    (1) The sub-grant amount, when combined with other capacity
building and operating support available through the HOME program,
cannot exceed the greater of 50% of the CHDO's operating budget for the
year in which it receives the funds, or $50,000 annually;
    (2) An amount not exceeding 10% of the total funds awarded for the
``Women in the Homebuilding Professions'' eligible activity may be used
to provide materials and tools for training such women.

IV. Program Requirements

    In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following

(A) Program Requirements for CDBG, CHDO, HOME and SHP

    (1) Profit/Fee. No increment above cost, no fee or profit, may be
paid to any recipient or subrecipient of an award under this CD-TA
Program section of the SuperNOFA.
    (2) Demand/Response Delivery System.
    (a) As an awardee, you must operate within the structure of the
demand/response system described in this section. You must coordinate
your plans with, and operate under the direction of, each HUD Field
Office within whose jurisdiction you are operating. When so directed by
a Field Office, you will coordinate your activities instead through a
lead CD-TA provider or other organization designated by the Field
    (b) If selected as the lead CD-TA provider in any Field Office
jurisdiction, as an awardee you must coordinate the activities of other
CD-TA providers selected under this CD-TA Program section of the
SuperNOFA under the direction of the HUD Field Office. Joint activities
by CD-TA providers may be required.
    (c) Under the demand/response system, CD-TA providers will be
required to:
    (i) When requested by a Field Office or Government Technical
Representative (GTR), market the availability of their services to
existing and potential clients to include local jurisdictions in which
the assistance will be delivered.
    (ii) Respond to requests for assistance from the HUD Field
Office(s) with oversight of the geographic service area for which the
technical assistance will be delivered, including responding to
priorities established by the Field Office in its Grants Management
System. CHDOs, HOME PJs, CDBG and SHP grantees may request assistance
from the CD-TA provider directly, but such requests must be approved by
the local HUD Field Office.
    (iii) When requested by a Field Office or GTR, conduct a Needs
Assessment to identify the type and nature of the assistance needed by
the recipients of the assistance. These needs assessments should
typically identify the nature of the problem to be addressed by the
technical assistance services; the plan of action to address the need
including the type of technical assistance services to be provided, the
duration of the service, the staff assigned to provide the assistance,
anticipated products and/or outcomes, and the estimated cost for the
provision of services; and the relationship of the proposed services to
the planned or expected Consolidated Plan submission to HUD and to
other technical assistance providers providing service within the
    (iv) Obtain approval for the Technical Assistance Delivery Plan
(TADP) from the HUD Field Office(s) with oversight for the area in
which service will be provided. (See Section 3 below).
    (v) Work cooperatively with other CD-TA providers in their
geographic areas to ensure that clients are provided with the full
range of CD-TA services needed and available. CD-TA providers are
expected to be knowledgeable about the range of services available from
other providers, make referrals and arrange visits by other CD-TA
providers when appropriate, and carry out CD-TA activities concurrently
when it is cost-effective and in the interests of the client to do so.
HUD Field Offices may direct CD-TA providers to conduct joint
    (3) Technical Assistance Delivery Plan (TADP).
    (a) After selection for funding but prior to award, you must
develop a TADP for each Field Office jurisdiction or National Program
for which you have been selected, in consultation with the Field office
and/or GTR.
    (b) In developing the TADP, you must follow the Field Office's
Business Operating Plan (BOP) and management strategies/workplans for
each community/State in the Field Office's jurisdiction. You must use
these BOP/management strategies/workplans in determining your priority
work activities, location of activities, and organizations to be
assisted during the cooperative agreement performance period.
    (c) The BOP/grantee management strategies/workplans are part of the
Field Office's Grants Management Process (GMP) and should indicate the
issues to be addressed by CD-TA, the improved performance expected as a
result of CD-TA, and methods for measuring the success of the CD-TA.
    (d) The TADP must delineate all the tasks and sub-tasks for each CD
program the applicant will undertake in each Field Office jurisdiction.
It must show the location of the community/State in which the CD-TA
activities will occur, the level of CD-TA funding and proposed
activities by location, the improved program performance or other
results expected from the CD-TA and

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the methodology to be used for measuring the success of the CD-TA. A
time schedule for delivery of the activities, budget-by-task and
staffing plan must be included in the TADP.
    (4) Negotiation. After all applications have been rated and ranked
and a selection has been made, HUD requires that all winners
participate in negotiations to determine the specific terms of the TADP
and the budget. HUD will follow the negotiation procedures described in
Section III(D) of the General Section of the SuperNOFA.
    (5) Forms, Certifications and Assurances. You must submit with your
application the forms, certifications and assurances listed in the
General Section of this SuperNOFA. After selection for funding but
prior to your providing services to a specific community you must
submit the CDBG Nexus Statement (where applicable) and/or the CHDO TA
designation letter (where applicable).
    (6) Financial Management and Audit Information. After selection for
funding but prior to award, you must submit a certification from an
Independent Public Accountant or the cognizant government auditor,
stating that your financial management system meets prescribed
standards for fund control and accountability required by 24 CFR part
84 for Institutions of Higher Education and other Non-Profit
Institutions, 24 CFR part 85 for States and local governments, or the
Federal Acquisition Regulations (for all other applicants). The
information should include the name and telephone number of the
independent auditor, cognizant Federal auditor, or other audit agency
as applicable.
    (7) Designation for CDBG/CHDO Technical Assistance Providers. CDBG
TA providers will be expected to obtain designation as technical
assistance providers by the chief executive officers of each community
within which they are working as required by 24 CFR 570.402(c)(2). CHDO
TA providers will be responsible for securing a technical assistance
designation letter from a PJ stating that a CHDO or prospective CHDO to
be assisted by the provider is a recipient or intended recipient of
HOME funds and indicating, at its option, subject areas of assistance
that are most important to the PJ.
    (8) Training Sessions. When conducting training sessions as part of
its CD-TA activities, CD-TA providers are required to:
    (a) Design the course materials as ``step-in'' packages (also
called ``train-the trainer'' packages) so that a Field Office or other
CD-TA provider may separately give the course on its own;
    (b) Arrange for joint delivery of the training with Field Office
participation when so requested by the Field Office or by the GTR for
national grants; and
    (c) When requested by a Field Office and/or 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 CD 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 CD-TA clients, and send
trainers to HUD-approved Train-the Trainer sessions.
    (9) Reports to Field Offices and/or GTRs. CD-TA providers will be
required to report to the HUD Field Office(s) with oversight of the
geographic area(s) in which CD-TA services are provided or to
Headquarters GTRs in the case of national providers. At a minimum, this
reporting will be on a quarterly basis unless otherwise specified in
the approved TADP.
    (10) Active Participation. HUD Field Offices will be active
participants in the delivery of all technical assistance by funded
providers throughout the term of the cooperative agreement.
    (11) CHDO Pass-Through Funds. CD-TA providers proposing pass-
through grants are required to:
    (a) Establish written criteria for selection of CHDOs receiving
pass-through funds which includes the following:
    (i) Participating jurisdictions (PJs) must designate the
organizations as CHDOs.
    (ii) Generally, the organizations should not have been in existence
more than 3 years.
    (b) Enter into an agreement with the CHDO that the agreement and
pass-through funding may be terminated at the discretion of the
Department if no written legally binding agreement to provide
assistance for a specific housing project (for acquisition,
rehabilitation, new construction or tenant-based rental assistance) has
been made by the PJ with the CHDO within 24 months of receiving the
pass-through funding.
    (12) CHDO TA Program Limitations. Pursuant to section 233(d)(1) and
(2) of the Cranston-Gonzalez National Affordable Housing Act, funding
to any single eligible nonprofit intermediary organization seeking to
provide CHDO TA, whether as an independent or joint applicant, is
limited to the lesser of 20% of all funds, or an amount not to exceed
20% of the organization's operating budget for any one year (not
including funds sub-awarded or passed through the intermediary to
CHDOs). Pursuant to section 233(e), HUD is making available through
this program section of the SuperNOFA 40% of the total CHDO TA funds to
single state providers within the Field Offices. If there are no single
state applicants or the qualified single state applicants utilize less
than the 40% set-aside in a given Field Office, that Field Office's
single state CHDO set-aside will be redistributed among the qualified
multi-state providers in that Field Office. Field Offices also may
utilize their multi-state set-aside for single state applicants if the
reverse is true.
    (13) HOME TA Program Limitations. Pursuant to section 243(b) of the
Cranston-Gonzalez National Affordable Housing Act, funding to any
single eligible HOME TA organization, whether as an independent or
joint applicant, is limited to not more than 20% of the operating
budget of the recipient organization in any one year and is limited to
20% of the funds available under this program section of the SuperNOFA.
    (14) Affirmatively Furthering Fair Housing. Section II(D) of the
General Section of the SuperNOFA does not apply to these technical
assistance programs.

(B) Program Requirements for HOPWA Technical Assistance

    (1) General Requirements. The items listed below specify the
requirements that apply to the HOPWA TA applications as follows: in
Section (A), Paragraphs: (1) on Profit/Fee; (4) Negotiation, except
that the TADP reference will apply to a workplan negotiated between the
applicant and the GTR for the HOPWA TA grant in HUD Headquarters; (5)
Forms, Certifications and Assurances; (6) Financial Management and
Audit Information; (8) Training Sessions; (9) Reports to Field Offices
and/or GTRs, except that you must report to the HOPWA Headquarters GTR,
at a minimum, on a quarterly basis, unless otherwise specified in an
approved HOPWA TA workplan; and the HOPWA TA grantees must also report
to the GTR in the Headquarters program office by September 30, 1999 for
activities carried out in Fiscal Year 1999; and (14) Affirmatively
Furthering Fair Housing.
    (2) Coordination of HOPWA TA Requests. Except for national
meetings, research, information and other activities that are conducted
on a program-wide basis in cooperation with HUD Headquarters, as the
grantee of HOPWA TA funds, you must work

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cooperatively with HUD Field Offices. You must notify the applicable
HUD Field Office of the planned activities; must consider the views or
recommendations of that office, if any; must follow those
recommendations, to the degree practicable; and must report to the
applicable Field Office on the accomplishments of this assistance.

V. Application Selection Process

(A) Rating and Ranking.

    (1) HUD will evaluate applications competitively and rank them
against all other applicants that have applied for the same CD-TA
program (CDBG, HOME, SHP) within each Field Office or as a National
Provider under HOPWA. CHDO applications are similarly evaluated and
ranked but are separated into two sub-groups--single State providers
and multi-State providers. There will be separate rankings for each CD-
TA program, and you will be ranked only against others that have
applied for the same CD-TA program.
    (2) Once scores are assigned, all applications will be listed in
rank order for each CD-TA program for which they applied by Field
Office jurisdiction and/or the HOPWA National Program. In each Field
Office jurisdiction or National Program area, all applications for the
CDBG TA program will be listed in rank order on one list, all
applications for the HOME TA program will be listed in rank order on
another list, all applications for the SHP TA program will be listed in
rank order on another list, and all applications for the HOPWA TA
national projects will be ranked separately on another list. All
applications for the CHDO TA program will be ranked separately on
either the single state provider list or the multi-state provider list.
Under this system, a single application from one organization for all
CD-TA programs could be assigned different scores and different
rankings for each program in different Field Offices.
    (3) Applications will be funded in rank order for each CD-TA
program by Field Office jurisdiction, except for HOPWA TA national
providers and others which cannot be ranked by Field Office
jurisdiction. National providers and others will be ranked separately
and funded in rank order for each CD-TA program. Irrespective of final
scores, HUD may apply program policy criteria to select one applicant
in each of the four (CDBG, CHDO, HOME and SHP) CD-TA programs in each
Field Office, to ensure diversity of methods, approaches, or kinds of
projects. HUD will apply these program policy criteria to provide
coverage of CD-TA services for minorities; women, particularly women in
the homebuilding professions under section 233(b)(7) of the Cranston-
Gonzalez National Affordable Housing Act; persons with disabilities;
homeless; persons with special needs; and rural areas.
    (4) In addition to the authority in the General Section to adjust
funding, HUD reserves the right to adjust funding levels for each
applicant for each CD-TA program, as follows:
    (a) Award additional funds to organizations designated as lead CD-
TA providers as discussed in Section IV(A)(2)(b) of this CD-TA Program
section of the SuperNOFA;
    (b) Adjust funding levels for any provider based upon the size and
needs of the provider's service area within each Field Office
jurisdiction in which the provider is selected to operate, the funds
available for that area, the number of other awardees selected in that
area, funds available on a national basis for providers that will be
operating nationally, or the scope of the technical assistance to be
    (c) To negotiate increased grant awards with applicants approved
for funding if HUD requests them to offer coverage to geographic areas
for which they did not apply or budget, or if HUD receives an
insufficient amount of applications.
    (5) If funds remain after all selections have been made, remaining
funds may be:
    (a) Distributed among all HUD Field Offices (in proportion to their
fair-share awards) and/or the National Program, or
    (b) Made available for other CD-TA program competitions.
    (6) If you apply for HOPWA TA funds, you must propose activities
that will be carried out on a national or regional basis. With respect
to the HOPWA TA program, the amount of funds you request may be
adjusted by HUD to ensure that at least $300,000 of the TA funds will
be designated for each of the following four HOPWA TA goals:
    (a) Comprehensive Strategies for HIV/AIDS Housing;
    (b) Sound Management of HOPWA Programs;
    (c) Use of HUD Information Management Tools; and
    (d) National HOPWA Information.
    If the highest rated application fails to adequately address one or
more of the HOPWA TA goals, HUD reserves the right after selecting the
highest rated application, to also provide funds to address the goal(s)
that is not addressed by: selecting an application that does address
this goal(s) in the rank order of all applications that address this
goal(s); or, if no application is found to adequately address this
goal(s), by modifying the proposed program of the selected
application(s) to address this goal(s). To ensure that activities are
carried out on a national basis, HUD may also modify the service area
of a selected application, if practicable.
    (B) Factors for Award Used to Evaluate and Rate Applications. The
factors and maximum points for each factor are provided below. The
maximum number of points to be awarded for a CD-TA application is 100.
The minimum score for an applicant to be considered in funding range is
55, with a minimum of 11 points in Factor 1 and 9 points in Subfactor 2
of Factor 3. The CD-TA program is not an eligible program for the EZ/EC
bonus points, as described in Section III(C)(1) of the General Section
of the SuperNOFA.
    Rating of the ``applicant'' or the ``applicant's organization and
staff'', unless otherwise specified, will include any sub-contractors,
consultants, sub-recipients, and members of consortia which are firmly
committed to the project.
    When addressing the Factors for Award, the applicant should discuss
the specific TA projects, activities, tasks, etc. that it suggests be
carried out during the term of the cooperative agreement. See Sections
IV(A)(2) and (3) for a discussion of the extent to which such
activities may be revised at or after the time of award.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points) (Minimum for Funding Eligibility--11 Points)
    In rating this factor, HUD will consider the extent to which the
application demonstrates in relation to CD-TA program funding that is
    (1) (10 points) Recent, relevant and successful experience of your
organization and staff in providing technical assistance in all
eligible activities and to all eligible entities for the CD-TA
program(s) applied for, as described in the regulations;
    (2) (5 points) The relevant experience and competence of your key
personnel in managing complex, multi-faceted or multi-disciplinary
programs that require coordination with other CD-TA entities or
multiple, diverse units in an organization;
    (3) (5 points) You have sufficient personnel or access to qualified
experts or professionals to deliver the proposed level of technical
assistance in each proposed service area in a timely and effective

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Rating Factor 2: Potential Effectiveness of the Application in Meeting
Needs of Target Groups/Localities and Accomplishing Project Objectives
for Each CD-TA Program for Which Funds Are Requested (20 Points)
    In rating this factor, HUD will consider the extent to which your
    (1) (10 points) Identifies high priority needs and issues for the
CD program in each community or Field Office jurisdiction for which CD-
TA funding is requested, or on a national or regional basis for
national HOPWA grants;
    (2) (5 points) Outlines a clear and cost-effective plan of
suggested TA activities for addressing those needs and aiding a broad
diversity of eligible grantees and/or beneficiaries, including those
which traditionally have been under-served; and
    (3) (5 points) Identifies creative activities to assist eligible
grantees in participating in the development of, and improving, local
Consolidated Plans and comprehensive strategies.
Rating Factor 3: Soundness of Approach (40 Points)
    In rating this factor, HUD will consider the extent to which your
application evidences a sound approach in addressing identified needs
    (1) (15 points) Provides a cost effective plan for designing,
organizing, and carrying out the suggested technical assistance
activities within the framework of the Demand/Response System or, for
HOPWA TA applicants, in addressing the four HOPWA TA goals on a
national or regional basis.
    (2) (15 points) (Minimum for Funding Eligibility--9 points)
Demonstrates an effective outreach and assistance program to previously
underserved disadvantaged communities and/or organizations with the
potential to participate in CPD programs.
    (3) (5 points) Provides for full geographic coverage, including
urban and rural areas, (directly or through a consortium of providers)
of a single State or Field Office jurisdiction or is targeted to
address the needs of rural areas, minority groups or other under-served
groups, or for HOPWA TA applicants, addresses national or regional
    (4) (5 points) Proposes a feasible, creative plan, which uses state
of the art or new promising technology, to transfer models and lessons
learned in each of its CD-TA program's activities to grantees and/or
program beneficiaries in other CD-TA programs.
Rating Factor 4: Leveraging Resources (10 Points)
    This factor addresses your ability to secure community resources
(note: financing is a community resource) which can be combined with
HUD's program resources to achieve program purposes. In evaluating this
factor HUD will consider:
    The extent to which you have partnered with other entities to
secure additional resources to increase the effectiveness of the
proposed program activities. Resources may include funding or in-kind
contributions, such as services or equipment, allocated to the
purpose(s) of the award you are seeking. Resources may be provided by
governmental entities, public or private nonprofit organizations, for-
profit private organizations, or other entities willing to partner with
the applicant. You also may partner with other program funding
recipients to coordinate the use of resources in the target area.
    You must provide evidence of leveraging/partnerships by including
in the application letters of firm commitments, memoranda of
understanding, or agreements to participate from those entities
identified as partners in the application. Each letter of commitment,
memorandum of understanding, or agreement to participate should include
the organization's name, proposed level of commitment and
responsibilities as they relate to the proposed program. The commitment
must also be signed by an official of the organization legally able to
make commitments on behalf of the organization.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
    This factor addresses the extent to which the applicant coordinated
its activities with other known organizations, participates or promotes
participation in a community's Consolidated Planning process and
Continuum of Care homeless assistance strategy, and is working towards
addressing a need in a holistic and comprehensive manner through
linkages with other activities in the community.
    In evaluating this factor, HUD will consider the extent to which
you demonstrates you have:
    (1) Coordinated your proposed activities with those of other groups
or organizations prior to submission in order to best complement,
support and coordinate all known activities and if funded, the specific
steps it will take to share information on solutions and outcomes with
others. Describe any written agreements, memoranda of understanding in
place, or that will be in place after award.
    (2) Taken or will take specific steps to work with recipients of
technical assistance services become active in the community's
Consolidated Planning process (including the Analysis of Impediments to
Fair Housing Choice) established to identify and address a need/problem
that is related to the activities the applicant proposes.
    (3) Taken or will take specific steps to develop linkages to
coordinate comprehensive solutions through meetings, information
networks, planning processes or other mechanisms with:
    (a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
    (b) Other Federal, State or locally funded activities, including
those proposed or on-going in the community.

VI. Application Submission Requirements

    In addition to the forms, certifications and assurances listed in
Section II(G) of the General Section of the SuperNOFA, your application
must, at a minimum, contain the following items, (except that the
following paragraphs (C), (D), (E), (F), (G) and (H) do not apply to
HOPWA TA applicants):
    (A) Transmittal Letter which identifies the SuperNOFA, the CD-TA
programs for which funds are requested and the dollar amount requested
for each program, and the applicant or applicants submitting the
application. If your organization has never received a HUD technical
assistance award, please include a statement to this effect in the
transmittal letter.
    (B) Narrative statement addressing the Factors for Award described
in Section V(B) of this CD-TA Program section of this SuperNOFA. You
should number the narrative response in accordance with each factor for
award. This narrative statement will be the basis for evaluating your
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(A)(3) of this CD-TA Program section of the SuperNOFA. However, they
are used primarily for purposes of rating and evaluation and may be
substantially altered and revised during negotiations with the Field
Offices on the content of the TADPs (see Section IV(A)(3) or
Headquarters program office for national projects.

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    (C) Statement that identifies the Field Office jurisdictions in
which you propose to offer services. If you will not offer services
throughout the full jurisdictional area of the Field Office, your
statement should identify the service areas involved (e.g., States,
counties, etc.), as well as the communities in which you propose to
offer services.
    (D) A matrix that summarizes the amount of funds you are requesting
for each CD-TA program in each Field Office jurisdiction. (See CD-TA
Appendix B for a copy of the matrix to be submitted.)
    (E) A statement as to whether you propose to use pass-through funds
for CHDOs under the CHDO TA program, and, if so, the amount and
proposed uses of such funds.
    (F) If applying for the CHDO TA program, a certification as to
whether you qualify as a primarily single-State provider under section
233(e) of the Cranston-Gonzalez Affordable Housing Act and as discussed
in Section III(C)(3) of the CD-TA Program section of this SuperNOFA.
    (G) A statement as to whether you propose to be considered for the
role of lead CD-TA provider in one or more specific program areas in a
Field Office jurisdiction, and if so, your organization's capabilities
and attributes that qualify you for the role.
    (H) Budget identifying costs for implementing the plan of suggested
TA activities by cost category for each CD-TA program for which funds
are requested by Field Office or as a National Provider (in accordance
with the following):
    (1) Direct Labor by position or individual, indicating the
estimated hours per position, the rate per hour, estimated cost per
staff position and the total estimated direct labor costs;
    (2) Fringe Benefits by staff position identifying the rate, the
salary base the rate was computed on, estimated cost per position, and
the total estimated fringe benefit cost;
    (3) Material Costs indicating the item, quantity, unit cost per
item, , estimated cost per item, and the total estimated material
    (4) Transportation Costs, as applicable.
    (5) Equipment charges, if any. Equipment charges should identify
the type of equipment, quantity, unit costs and total estimated
equipment costs;
    (6) Consultant Costs, if applicable. Indicate the type, estimated
number of consultant days, rate per day, total estimated consultant
costs per consultant and total estimated costs for all consultants;
    (7) Subcontract Costs, if applicable. Indicate each individual
subcontract and amount;
    (8) Other Direct Costs listed by item, quantity, unit cost, total
for each item listed, and total other direct costs for the award;
    (9) Indirect Costs should identify the type, approved indirect cost
rate, base to which the rate applies and total indirect costs.
    These line items should total the amount requested for each CD-TA
program area. The grand total of all CD-TA program funds requested
should reflect the grand total of all funds for which application is

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.

VIII. Environmental Requirements

    In accordance with 24 CFR 50.19(b)(9) and 58.34(a)(9), the
assistance provided by these programs relates only to the provision of
technical assistance and is categorically excluded from the
requirements of the National Environmental Policy Act and not subject
to environmental review under the related laws and authorities. This
determination is based on the ineligibility of real property
acquisition, construction, rehabilitation, conversion, leasing or
repair for HUD assistance under these technical assistance programs.

IX. Authority

    CDBG Technical Assistance. The Community Development Block Grant
Technical Assistance Program is authorized under Title I of the Housing
and Community Development Act of 1974, (42 U.S.C. 5301-5320; 24 CFR
    CHDO Technical Assistance. The CHDO Technical Assistance Program is
authorized by the HOME Investment Partnerships Act (42 U.S.C. 12773);
24 CFR part 92.
    HOME Technical Assistance. The HOME Technical Assistance Program is
authorized by the HOME Investment Partnerships Act (42 U.S.C. 12781-
12783); 24 CFR part 92.
    SHP Technical Assistance. The Supportive Housing Program is
authorized under 42 U.S.C. 11381 et seq.; 24 CFR 583.140.
    HOPWA Technical Assistance. The HOPWA Technical Assistance program
is authorized under the Department's FY 1999 appropriation act. The
HOPWA program is authorized under the AIDS Housing Opportunities Act
(42 U.S.C. 12901) and the HOPWA regulations are found at 24 CFR part


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