[Federal Register Volume 64, Number 38 (Friday, February 26, 1999)]
[Notices]
[Pages 9618-9881]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-4476]
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_______________________________________________________________________
Part IV
Department of Housing and Urban Development
_______________________________________________________________________
Super Notice of Funding Availability (SuperNOFA) for HUD's Housing,
Community Development and Empowerment Programs; Notice
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9618]]
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4410-N-01]
Super Notice of Funding Availability (SuperNOFA) for HUD's
Housing, Community Development and Empowerment Programs
AGENCY: Office of the Secretary, HUD.
ACTION: Super Notice of Funding Availability (SuperNOFA) for HUD Grant
Programs.
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SUMMARY: This Fiscal Year 1999 Super Notice of Funding Availability
(SuperNOFA) announces the availability of approximately $2.4 billion in
HUD program funds covering 32 grant categories within programs operated
and administered by the following HUD offices: the Office of Community
Planning and Development (CPD); the Office of Housing-Federal Housing
Administration (FHA); the Office of Public and Indian Housing; Office
of Policy Development and Research; the Office of Fair Housing and
Equal Opportunity; and the Office of Lead Hazard Control.
The General Section of this SuperNOFA provides the application
procedures and requirements that are applicable to all the programs.
The Programs Section of this SuperNOFA provides a description of the
specific programs for which funding is made available under this
SuperNOFA and describes any additional procedures and requirements that
are applicable to a specific program. Please be sure you read both the
General Section and the Program Section of this SuperNOFA to ensure you
respond to all the requirements for funding.
APPLICATION DUE DATES: The information in this APPLICATION DUE DATES
section applies to all programs that are part of this SuperNOFA. You,
the applicant, must submit a completed application to HUD no later than
the application due date established for the program for which you are
seeking funding. HUD will not accept for review and evaluation any
applications sent by facsimile (fax).
ADDRESSES AND APPLICATION SUBMISSION PROCEDURES: Addresses. You, the
applicant, must submit a complete application to the location
identified in the Programs Section of this SuperNOFA. When submitting
your application, please refer to the name of the program for which you
are seeking funding.
For Applications to HUD Headquarters. If your application is due to
HUD Headquarters, you must send to the following address: Department of
Housing and Urban Development, 451 Seventh Street, SW, Washington DC
20410 (see the Program Chart or Programs Section for Room location and
additional information regarding the addresses for application
submission). Please make sure that you note the room number. The
correct room number is very important to ensure that your application
is not misdirected.
For Applications to HUD Field Offices. If your application is
required to be submitted to a HUD Field Office, please see the Programs
Section for the exact office location for submission of your
application.
Applications Procedures. Mailed Applications. Your application will
be considered timely filed if your application is postmarked on or
before 12:00 midnight on the application due date and received by the
designated HUD Office on or within ten (10) days of the application due
date.
Applications Sent by Overnight/Express Mail Delivery. If your
application is sent by overnight delivery or express mail, your
application will be timely filed if it is received before or on the
application due date, or when you submit documentary evidence that your
application was placed in transit with the overnight delivery service
by no later than the application due date.
Hand Carried Applications. Hand-carried to HUD Headquarters. If
your application is required to be submitted to HUD Headquarters, and
you arrange for the application to be hand carried, hand carried
applications delivered before and on the application due date must be
brought to the specified location at HUD Headquarters and room number
between the hours of 8:45 am to 5:15 pm, Eastern time. Applications
hand carried on the application due date will be accepted in the South
Lobby of the HUD Headquarters Building at the above address from 5:15
pm until 12:00 midnight, Eastern time. This deadline date is firm.
Please make appropriate arrangements to arrive at the HUD Headquarters
Building before 12:00 midnight on the application due date.
Hand-carried to HUD Field Office. If your application is required
to be submitted to a HUD Field Office, your application must be
delivered to the appropriate HUD Field Office in accordance with the
instructions specified in the Programs Section of the SuperNOFA. A hand
carried application will be accepted at the specified HUD Field Office
during normal business hours before the application due date. On the
application due date, business hours will be extended to 6:00 p.m.
local time. (Please see Appendix A to this SuperNOFA listing the hours
of operations for the HUD Field Offices.) Please be sure to arrive at
the HUD Field Office with adequate time to submit the application
before the 6:00 pm deadline by the application due date.
COPIES OF APPLICATIONS TO HUD OFFICES: The Programs Section of this
SuperNOFA may specify that to facilitate the processing and review of
your application, a copy of the application also must be sent to an
additional HUD location (for example, a copy to the HUD Field Office if
the original application is to be submitted to HUD Headquarters, or a
copy to HUD Headquarters, if the original application is to be
submitted to a HUD Field Office). Please follow the directions of the
Programs Section to ensure that you submit your application to the
proper location. For some programs, HUD requests additional copies in
order to expeditiously review your application, and to ensure that all
reviewers receive complete applications to review. HUD appreciates your
assistance in providing the copies. Please note that for those
applications for which copies are to be submitted to the Field Offices
and HUD Headquarters, timeliness of submission will be based on the
time your application is received at HUD Headquarters.
FOR APPLICATION KITS, FURTHER INFORMATION AND TECHNICAL ASSISTANCE: The
information in this section is applicable to all programs that are part
of this SuperNOFA.
For Application Kits and SuperNOFA User Guide. HUD is pleased to
provide you with the 1999 application kits and/or a guidebook to all
HUD programs that are part of this SuperNOFA. These application kits
are designed to guide you through the application process and ensure
that your application addresses all requirements for the program
funding you are seeking. Please note that if there is a discrepancy
between information provided in the application kit and the information
provided in the published SuperNOFA, the information in the published
SuperNOFA prevails. Therefore, please be sure to review your
application submission against the requirements in the SuperNOFA. When
requesting an application kit, please refer to the name of the program
of the application kit you are interested in receiving. Please be sure
to provide your name, address (including zip code), and telephone
number (including area code). To ensure sufficient time to prepare your
application, requests for application kits should be made immediately.
[[Page 9619]]
The SuperNOFA Information Center (1-800-HUD-8929) can provide you
with assistance, application kits, and guidance in determining which
HUD Office(s) should receive a copy of your application. Persons with
hearing or speech impairments may call the Center's TTY number at 1-
800-483-2209. Additionally, you can obtain information on this
SuperNOFA and application kits for this SuperNOFA through the HUD web
site on the Internet at http://www.hud.gov.
Consolidated Application Submissions. If you, the applicant, would
like to apply for funding under more than one program in this
SuperNOFA, you need only submit one originally signed SF-424 and one
set of original signatures for the other standard assurances and
certifications, accompanied by the matrix that is provided in each
application kit. As long as you submit one originally signed set of
these documents with an application, you need only submit copies of
these documents with any additional application you submit. Your
application should identify the program for which you have submitted
the original signatures for the standard assurances and certifications.
Additionally, the Programs Section may specify additional forms,
certifications, assurances, or other information that may be required
for a particular program in this SuperNOFA.
For Further Information. For answers to your questions about this
SuperNOFA, you have several options. You may call, during business
hours, the SuperNOFA Information Center at 1-800-HUD-8929, or you may
contact the HUD Office or Processing Center serving your area at the
telephone number listed in the application kit for the program in which
you are interested. If you are a person with a hearing or speech
impairment you may call the Center's TTY number at 1-800-HUD-2209. You
may also obtain information on this SuperNOFA and application kits for
this SuperNOFA through the HUD web site on the Internet at http://
www.hud.gov.
For Technical Assistance. Before the application due date, HUD
staff will be available to provide you with general guidance and
technical assistance about this SuperNOFA. HUD staff, however, are not
permitted to assist in preparing the application. Following selection
of applicants, but before awards are made, HUD staff are available to
assist in clarifying or confirming information that is a prerequisite
to the offer of an award or Annual Contributions Contract (ACC) by HUD.
Hud's Fiscal Year 1999 SuperNOFA Process
Background: The Introduction of the SuperNOFA--the FY 98 SuperNOFA
In Fiscal Year 1998, HUD introduced its first SuperNOFA. HUD's FY
1998 SuperNOFA represented a marked departure from, and HUD believes a
significant improvement over, HUD's past approach to the funding
process. Before the FY 1998 SuperNOFA, HUD had issued as many as 40
separate NOFAs. These 40 NOFAs had widely varying rules and application
processing requirements, and were published at various times throughout
the fiscal year. This individual program approach to funding, with
different publication schedules, did not encourage and, at times,
unintentionally interfered with local efforts directed at comprehensive
planning as well as development of comprehensive local solutions.
Additionally, the old approach seemed to require communities to respond
to HUD's needs instead of HUD responding to local needs.
In his first year as Secretary of HUD, Secretary Andrew Cuomo
immediately sought to change this outdated approach to funding.
Secretary Cuomo brought to the leadership of HUD the experience of
successfully implementing a consolidated planning process in HUD's
community development programs. As Assistant Secretary for Community
Planning and Development, Secretary Cuomo consolidated the planning,
application, and reporting requirements of several community
development programs. The Consolidated Plan rule, published in 1995,
established a renewed partnership among HUD, State, and local
governments, public and private agencies, tribal governments, and the
general citizenry by empowering field staff to work with other entities
in fashioning creative solutions to community problems.
HUD's FY 1998 SuperNOFA promoted HUD's objective, under the
direction of Secretary Cuomo, of improving customer service and
providing the necessary tools for revitalizing communities and
improving the lives of people within those communities. The SuperNOFA
increased the ability of applicants to consider and apply for funding
under a wide variety of HUD programs in response to a single NOFA. In
addition to applicants, HUD believes that everyone interested in HUD's
grant programs can benefit from having this information made available
in one document, and that having the information on available funding
one time will facilitate local planning and coordination.
Changes Made in the SuperNOFA Process for FY 1999
One SuperNOFA. For Fiscal Year 1999, HUD is taking the next step of
improving its funding process by issuing one single SuperNOFA. In FY
1998, HUD issued three SuperNOFAs:
(1) The SuperNOFA for HUD's Housing and Community Development
Programs;
(2) The SuperNOFA for HUD's Economic Development and Empowerment
Programs; and
(3) The SuperNOFA for HUD's Targeted Housing and Homeless
Assistance Programs.
HUD's FY 1999 SuperNOFA consolidates the programs in these three
SuperNOFAs into one SuperNOFA--the SuperNOFA for HUD's Housing,
Community Development and Empowerment Programs. The housing component
of this SuperNOFA encompasses many of HUD's housing programs, including
targeted housing and homeless assistance. The community development
component of this SuperNOFA encompasses HUD's economic development
programs, and the empowerment component encompasses HUD's youthbuild
and self-help programs.
Plain Language. In addition to increased consolidation, HUD strived
to make the FY 1999 SuperNOFA simpler and easier to understand. On June
1, 1998, President Clinton issued a memorandum to all Federal agencies
that directs agencies to use plain language in all of their documents.
HUD prepared its FY 1999 SuperNOFA to comply with the plain language
principles. These principles include using common, everyday words
(except for necessary technical terms), the active voice and short
sentences.
Earlier Publication and More Time to Prepare Applications. Finally,
HUD is publishing its SuperNOFA earlier than in FY 1998. By publishing
earlier in the Federal Fiscal Year, HUD can provide you, the applicant,
more time to prepare and submit your SuperNOFA application(s).
Program Changes to Note: (1) HOPWA-TA. This year technical
assistance under the Housing Opportunities for Persons with AIDS
(HOPWA) has been consolidated into the Community Development Technical
Assistance (CD-TA) Program section of the SuperNOFA. If you are
interested in applying for this program, please see the CD-TA Program
section.
(2) Youth Sports Program. This year, youth sports activities are
eligible under
[[Page 9620]]
the PIH Drug Elimination Grant Program.
(3) Possible Formula Funding for Public Housing Drug Elimination
Program. On February 18, 1999, HUD published in the Federal Register an
Advance Notice of Proposed Rulemaking (ANPR) announcing HUD's intention
to develop, through proposed rulemaking, a formula allocation funding
for HUD's Public Housing Drug Elimination Program. The February 18,
1999 ANPR solicits comments in advance of this rulemaking on a method,
components of a method, or methods that would result in reliable and
equitable funding to public housing agencies with drug elimination
programs and ensure that this funding is allocated to agencies meeting
certain performance standards. If this rulemaking is completed before
the application due date for the Public Housing Drug Elimination
grants, HUD will publish a notice in the Federal Register advising the
public of the withdrawal of the Public Housing Drug Elimination Program
sections of this SuperNOFA, and advising that funds will be allocated
through a formula.
Similarities Between FY 1998 and FY 1999 SuperNOFAs
The FY 1999 SuperNOFA, like the FY 1998 SuperNOFA, places heavy
emphasis on the coordination of activities to provide:
(1) Greater flexibility and responsiveness in meeting local housing
and community development needs, and
(2) Greater flexibility to applicants to determine what HUD program
resources best fit the community's needs, as identified in local
Consolidated Plans and Analysis of Impediments to Fair Housing Choice
(``Analysis of Impediments'' (AI)).
The FY 1999 SuperNOFA is designed to:
Simplify the application process;
Promote effective and coordinated use of program funds in
communities;
Reduce duplication in the delivery of services and
economic development and empowerment programs;
Allow applicants to seek to deliver a wider, more
integrated array of services; and
Improve the system for potential grantees to be aware of,
and compete for program funds.
Once again, HUD strongly encourages applicants to work together to
coordinate and, to the maximum extent possible, join their activities
to form a seamless and comprehensive program of assistance to meet
identified needs in their communities. This coordination also should
help applicants jointly address barriers to fair housing and equal
opportunity that have been identified in the community's Consolidated
Plan and Analysis of Impediments in the geographic area(s) in which
they are seeking assistance.
As part of the simplification of this funding process, and to avoid
duplication of effort, the SuperNOFA provides for consolidated
applications for several of the programs that are part of this
SuperNOFA. HUD programs that provide assistance for, or complement,
similar activities (for example, the Continuum of Care programs and CPD
Technical Assistance programs) have a consolidated application that
reduces the administrative and paperwork burden applicants would
otherwise encounter in submitting a separate application for each
program. The Program Chart in this introductory section of the
SuperNOFA identifies the programs that have been consolidated and for
which a consolidated application is made available to eligible
applicants. Eligible applicants are able, as they have been in the
past, to apply for funding under as few as one or as many as all
programs for which they are eligible.
The specific statutory and regulatory requirements of the programs
that are part of this SuperNOFA continue to apply to each program. The
SuperNOFA will identify, where necessary, the statutory requirements
and differences applicable to the specific programs. Please pay careful
attention to the individual program requirements that are identified
for each program. Also, you will note that not all applicants are
eligible to receive assistance under all programs identified in this
SuperNOFA.
The SuperNOFA is divided into two major sections. The General
Section of the SuperNOFA describes the procedures and requirements that
are applicable to all applications. The Programs Section of the
SuperNOFA describes each program that is part of this SuperNOFA. For
each program, the Programs Section describes the eligible applicants,
eligible activities, factors for award, and any additional requirements
or limitations that apply to the program.
Please read carefully both the General Section and the Programs
Section of the SuperNOFA for the program(s) to which you are applying.
Your careful reading will ensure that you apply for program funding for
which your organization is eligible to receive funds and you fulfill
all the requirements for that program(s).
The Programs of This SuperNOFA and the Amount of Funds Allocated
The programs that are part of this SuperNOFA are identified in the
chart below. The approximate available funds for each program are
expected funding levels based on appropriated funds. In the event HUD
recaptures funds or other funds become available for any program, HUD
reserves the right to increase the available program funding amounts by
the amount available.
The chart also includes the application due date for each program,
the OMB approval number for the information collection requirements
contained in the specific program, and the Catalog of Federal Domestic
Assistance (CFDA) number.
BILLING CODE 4210-32-P
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BILLING CODE 4210-32-C
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Paperwork Reduction Act Statement. The information collection
requirements in this SuperNOFA have been approved by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995
(44 U.S.C. 3501-3520). The chart shown above provides the OMB approval
number for each program that is part of this SuperNOFA. Where the chart
notes that an OMB number is pending, this means that HUD has submitted
the information to OMB to obtain an approval number and HUD's request
for the number is pending. As soon as HUD receives the approval number,
the number will be published in the Federal Register and provided to
the SuperNOFA Information Center. 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.
General Section of the SuperNOFA
I. Authority; Purposes of the FY 1999 SuperNOFA; Funding Amount;
Eligible Applicants and Eligible Activities
(A) Authority
HUD's authority for making funding under this SuperNOFA is the
Fiscal Year 1999 Department of Veterans Affairs and Housing and Urban
Development and Independent Agencies Appropriations Act, 1999 (Pub.L.
105-276, 112 Stat. 2461, approved October 21, 1998) (FY 1999 HUD
Appropriations Act).
(B) Purposes
The purposes of this SuperNOFA are to:
(1) Make funding available to empower communities and residents.
The funding made available by this SuperNOFA will assist community
residents, particularly the poor and disadvantaged, to develop viable
communities and provide decent housing for all citizens, without
discrimination.
(2) Simplification of the application process for funding under HUD
programs. This year's SuperNOFA continues to provide a single, uniform
set of rating factors and submission requirements. This year's
SuperNOFA also allows, as did last year's, for you, the applicant, to
apply for more than one program with a single application.
(3) Promote comprehensive approaches to housing and community
development. Through the SuperNOFA process, HUD encourages you, the
applicant, to focus on the interrelationships that exist in a community
and in HUD's funding programs, and to build community-wide efforts that
coordinate the resources of multiple applicants and programs. The needs
and problems of a community rarely, if ever, stand in isolation from
each other. Due to this fact, it is very difficult to address these
problems and to provide opportunities to use existing community
resources in a piecemeal fashion. To successfully address community
needs and solve community problems, and to take advantage of existing
resources, HUD encourages members of a community to join together and
pool all available resources in a common, coordinated effort. In 1998,
HUD began structuring its funding process to help its community
partners take this coordinated, holistic approach. Further, by making
all of HUD's competitive funding available in one document, HUD allows
you, the applicant, to be able to relate the activities proposed for
funding under this SuperNOFA to the community's Consolidated Plan and
Analysis of Impediments to Fair Housing Choice.
(C) Funding Available
As noted in the Introduction Section to the SuperNOFA, the HUD
programs that are part of this SuperNOFA are allocated amounts based on
appropriated funds. If HUD recaptures funds in any program, HUD
reserves the right to increase the available funding amounts by the
amount of funds recaptured.
(D) Eligible Applicants and Eligible Activities
The Programs Section of the SuperNOFA describes the eligible
applicants and eligible activities for each program.
II. Requirements and Procedures Applicable to All Programs
Except as may be modified in the Programs Section of this
SuperNOFA, or as noted within the specific provisions of this Section
II, the principles listed below apply to all programs that are part of
this SuperNOFA. Please be sure to read the Programs Section of the
SuperNOFA for additional requirements or information.
(A) Statutory Requirements
To be eligible for funding under this SuperNOFA, you, the
applicant, must meet all statutory and regulatory requirements that are
applicable to the program or programs for which you are seeking
funding. If you need copies of the program regulations, they are
available from the SuperNOFA Information Center or through the Internet
at the HUD web site located at http://www.HUD.gov. Among the reasons
that HUD may reject an application from further funding consideration
is if the activities or projects proposed in the application are not
eligible activities and projects, or (with the exception of the Section
202 and 811 programs) HUD may eliminate the ineligible activities from
funding consideration and reduce the grant amount accordingly.
(B) Threshold Requirements--Compliance With Fair Housing and Civil
Rights Laws.
With the exception of Federally recognized Indian tribes, all
applicants and their subrecipients must comply with all Fair Housing
and civil rights laws, statutes, regulations and executive orders as
enumerated in 24 CFR 5.105(a). If you are a Federally recognized Indian
tribe, you must comply with the Age Discrimination Act of 1975, section
504 of the Rehabilitation Act of 1973, and the Indian Civil Rights Act.
If you, the applicant--
(1) Have been charged with a systemic violation of the Fair Housing
Act by the Secretary alleging ongoing discrimination;
(2) Are a defendant in a Fair Housing Act lawsuit filed by the
Department of Justice alleging an ongoing pattern or practice of
discrimination; or
(3) Have received a letter of noncompliance findings under Title
VI, Section 504, or Section 109,--
HUD will not rank and rate your application under this SuperNOFA if
the charge, lawsuit, or letter of findings has not been resolved to the
satisfaction of the Department before the application deadline stated
in the individual program 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 ongoing discrimination in the policies or
practices involved in the charge, lawsuit, or letter of findings.
(C) Additional Nondiscrimination Requirements
You, the applicant and your subrecipients, must comply with the
Americans with Disabilities Act, and Title IX of the Education
Amendments Act of 1972.
(D) Affirmatively Furthering Fair Housing
Unless otherwise specified in the Programs Section of this
SuperNOFA, if you are a successful applicant, you will
[[Page 9628]]
have a duty to affirmatively further fair housing. Again, except as may
be provided otherwise in the Programs Section of this SuperNOFA, you,
the applicant, should include in your application or work plan the
specific steps that you will take to:
(1) Address the elimination of impediments to fair housing that
were identified in the jurisdiction's Analysis of Impediments (AI) to
Fair Housing Choice;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further, you, the applicant, have a duty to carry out the specific
activities provided in your responses to the SuperNOFA rating factors
that address affirmatively furthering fair housing. Please see the
Programs Section of this SuperNOFA for further information.
(E) Economic Opportunities for Low and Very Low-Income Persons (Section
3).
Certain programs in this SuperNOFA require recipients of assistance
to comply with section 3 of the Housing and Urban Development Act of
1968, 12 U.S.C. 1701u (Economic Opportunities for Low and Very Low-
Income Persons in Connection with assisted Projects) and the HUD
regulations at 24 CFR part 135, including the reporting requirements
subpart E. Section 3 requires recipients to ensure that, to the
greatest extent feasible, training, employment and other economic
opportunities will be directed to (1) low and very low income persons,
particularly those who are recipients of government assistance for
housing and (2) business concerns which provide economic opportunities
to low and very low income persons. As noted in the Programs Section of
this SuperNOFA, Section 3 is applicable to the following programs:
1. Historically Black Colleges and Universities (HBCU);
2. Hispanic Serving Institutions Assisting Communities (HSIAC);
3. Lead-Based Paint Hazard Control;
4. Mold and Moisture Control in Inner City Housing Program;
5. HOPE VI Public Housing Revitalization;
6. Public Housing Drug Elimination Program (PHDEP);
7. Public Housing Drug Elimination Program--New Approaches
8. Multifamily Housing Drug Elimination;
9. Economic Development Initiative (EDI);
10. Brownfields Economic Development Initiative (BEDI);
11. Self-Help Homeownership Opportunity Program (SHOP);
12. Youthbuild;
13. Continuum of Care Homeless Assistance Programs;
14. Housing Opportunities for Persons with AIDS (HOPWA);
15. Section 202 Supportive Housing for the Elderly; and
16. Section 811 Supportive Housing for Persons with Disabilities.
(F) Relocation
Any person (including individuals, partnerships, corporations or
associations) who moves from real property or moves personal property
from real property directly (1) because of a written notice to acquire
real property in whole or in part, or (2) because of the acquisition of
the real property, in whole or in part, for a HUD-assisted activity is
covered by Federal relocation statute and regulations. Specifically,
this type of move is covered by the acquisition policies and procedures
and the relocation requirements of the Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970, as amended (URA),
and the implementing governmentwide regulation at 49 CFR part 24. The
relocation requirements of the URA and the governmentwide regulations
cover any person who moves permanently from real property or moves
personal property from real property directly because of rehabilitation
or demolition for an activity undertaken with HUD assistance.
(G) Forms, Certifications and Assurances
You, the applicant, are required to submit signed copies of the
standard forms, certifications, and assurances listed in this section,
unless the requirements in the Programs Section specifies otherwise.
Additionally, the Programs Section may specify additional forms,
certifications, assurances or other information that may be required
for a particular program in this SuperNOFA. As part of HUD's continuing
efforts to improve the SuperNOFA process, several of the required
standard forms have been simplified this year. The standard forms,
certifications, and assurances are as follows:
(1) Standard Form for Application for Federal Assistance (SF-424);
(2) Standard Form for Budget Information--Non-Construction Programs
(SF-424A) or Standard Form for Budget Information-Construction Programs
(SF-424C), as applicable;
(3) Standard Form for Assurances--Non-Construction Programs (SF-
424B) or Standard Form for Assurances--Construction Programs (SF-424D),
as applicable;
(4) Drug-Free Workplace Certification (HUD-50070);
(5) Certification and Disclosure Form Regarding Lobbying (SF-LLL);
(Tribes and tribally designated housing entities (TDHEs) established by
an Indian tribe as a result of the exercise of the tribe's sovereign
power are not required to submit this certification. Tribes and TDHEs
established under State law are required to submit this certification.)
(6) Applicant/Recipient Disclosure Update Report (HUD-2880);
(7) Certification that the applicant will comply with the
requirements of the Fair Housing Act, Title VI of the Civil Rights Act
of 1964, section 504 of the Rehabilitation Act of 1973, and the Age
Discrimination Act of 1975, and will affirmatively further fair
housing. CDBG recipients applying for funds under title I of the
Housing and Community Development Act of 1974 (42 U.S.C. 5301 et seq.)
also must certify to compliance with section 109 of the Housing and
Community Development Act. Federally recognized Indian tribes must
certify that they will comply with the requirements of the Age
Discrimination Act of 1975, section 504 of the Rehabilitation Act of
1973, and the Indian Civil Rights Act.
(8) Certification required by 24 CFR 24.510. (The provisions of 24
CFR part 24 apply to the employment, engagement of services, awarding
of contracts, subgrants, or funding of any recipients, or contractors
or subcontractors, during any period of debarment, suspension, or
placement in ineligibility status, and a certification is required.)
(H) OMB Circulars
Certain OMB circulars also apply to this SuperNOFA. The policies,
guidance, and requirements of OMB Circular No. A-87 (Cost Principles
Applicable to Grants, Contracts and Other Agreements with State and
Local Governments), OMB Circular No. A-122 (Cost Principles for
Nonprofit Organizations), 24 CFR part 84 (Grants and Agreements with
Institutions of Higher Education, Hospitals, and other Non-Profit
Organizations) and 24 CFR part 85 (Administrative Requirements for
Grants and Cooperative Agreements to State, Local, and Federally
recognized Indian tribal governments) may apply to the award,
acceptance and use of assistance under the programs of this SuperNOFA,
and to the remedies for noncompliance, except when inconsistent with
the provisions of the FY 1999 HUD Appropriations Act, other Federal
statutes or the provisions of this
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SuperNOFA. Compliance with additional OMB Circulars may be specified
for a particular program in the Programs Section of the SuperNOFA.
Copies of the OMB Circulars may be obtained from EOP Publications, Room
2200, New Executive Office Building, Washington, DC 10503, telephone
(202) 395-7332 (this is not a toll free number).
(I) Environmental Requirements
If you become a grantee under one of the programs in this SuperNOFA
that assist physical development activities or property acquisition,
you are generally prohibited from acquiring, rehabilitating,
converting, leasing, repairing or constructing property, or committing
or expending HUD or non-HUD funds for these types of program
activities, until one of the following has occurred:
(1) HUD has completed an environmental review in accordance with 24
CFR part 50; or
(2) For programs subject to 24 CFR part 58, HUD has approved a
grantee's Request for Release of Funds (HUD Form 7015.15) following a
Responsible Entity's completion of an environmental review.
You, the applicant, should consult the Programs Section of the
SuperNOFA for the applicable program to determine the procedures for,
timing of, and any exclusions from environmental review under a
particular program. For applicants applying for funding under the
Sections 202 or 811 Programs, please note the environmental review
requirements for these programs.
(J) Conflicts of Interest
If you are a consultant or expert who is assisting HUD in rating
and ranking applicants for funding under this SuperNOFA, you are
subject to 18 U.S.C. 208, the Federal criminal conflict of interest
statute, and the Standards of Ethical Conduct for Employees of the
Executive Branch regulation published at 5 CFR part 2635. As a result,
if you have assisted or plan to assist applicants with preparing
applications for this SuperNOFA, you may not serve on a selection panel
and you may not serve as a technical advisor to HUD for this SuperNOFA.
All individuals involved in rating and ranking this SuperNOFA,
including experts and consultants, must avoid conflicts of interest or
the appearance of conflicts. Individuals involved in the rating and
ranking of applications must disclose to HUD's General Counsel or HUD's
Ethic Law Division the following information if applicable: the
selection or non-selection of any applicant under this SuperNOFA will
affect the individual's financial interests, as provided in 18 U.S.C.
208; or the application process involves a party with whom the
individual has a covered relationship under 5 CFR 2635.502. The
individual must disclose this information prior to participating in any
matter regarding this SuperNOFA. If you have questions regarding these
provisions or if you have questions concerning a conflict of interest,
you may call the Office of General Counsel, Ethics Law Division, at
202-708-3815 and ask to speak to one of HUD's attorneys in this
division.
III. Application Selection Process
(A) Rating Panels
To review and rate your applications, HUD may establish panels.
These panels may include persons not currently employed by HUD. HUD may
include these non-HUD employees to obtain certain expertise and outside
points of view, including views from other Federal agencies.
(1) Rating. HUD will evaluate and rate all applications for funding
that meet the threshold requirements and rating factors for award
described in this SuperNOFA. The rating of you, as the ``applicant,''
or of your organization, ``the applicant's organization and staff,''
for technical merit or threshold compliance will include any sub-
contractors, consultants, sub-recipients, and members of consortia
which are firmly committed to the project.
(2) Ranking. HUD will rank applicants within each program (or, for
Continuum of Care applicants, across the three programs identified in
the Continuum of Care section of this SuperNOFA). HUD will rank
applicants only against other applicants that applied for the same
program funding. Where there are set-asides within a program
competition, you, the applicant, only will compete against applicants
in the same set-aside competition.
(B) Threshold Requirements
HUD will review your application to determine whether your
application meets all of the threshold requirements described in
Section II(B), above. Only if your application meets all of the
threshold requirements will it be eligible to be rated and ranked.
(C) Factors for Award Used To Evaluate and Rate Applications
For each program that is part of this SuperNOFA, the points awarded
for the rating factors total 100. Depending upon the program for which
you the applicant seek funding, the program may provide for up to four
bonus points as provided in paragraphs (1) and (2) of this Section
III(C).
(1) Bonus Points. The SuperNOFA provides for the award of up to two
bonus points for eligible activities/projects that the applicant
proposes to be located in high performing federally designated
Empowerment Zones (EZs) or Enterprise Communities (ECs). To be eligible
to receive the two bonus points, you must certify that the proposed
activities/projects: (a) will be located in a Federally designated
Empowerment Zone or Enterprise Community and will serve residents of
the EZ/EC; and (b) are consistent with the strategic plan of the EZ/EC.
If you provide this certification and HUD determines that the area is a
high performing EZ/EC, as announced in HUD's list to be published in
the Federal Register in March 1999, you will be awarded the two points.
A listing of the high performing federally designated EZs/ECs will be
available from the SuperNOFA Information Center, or through the HUD web
site on the Internet at http://www.HUD.gov, as well as in the Federal
Register.
(2) Court-Ordered Consideration. For any application submitted by
the City of Dallas, Texas, for funds under this SuperNOFA for which the
City of Dallas is eligible to apply, HUD will consider the extent to
which the strategies or plans in the city's application or applications
will be used to eradicate the vestiges of racial segregation in the
Dallas Housing Authority's low income housing programs. The City of
Dallas should address the effect, if any, that vestiges of racial
segregation in Dallas Housing Authority's low income housing programs
have on potential participants in the programs covered by this NOFA,
and identify proposed actions for remedying those vestiges. HUD may add
up to 2 points to the score based on this consideration. This special
consideration results from an order of the U.S. District Court for the
Northern District of Texas, Dallas, Division. (This Section III(C)(2)
is limited to applications submitted by the City of Dallas.)
(3) The Five Standard Rating Factors. Additional details about the
five rating factors listed below, and the maximum points for each
factor, are provided in the Programs Section of the SuperNOFA. You, the
applicant, should carefully read the factors for award as described in
the Programs Section of the SuperNOFA. HUD has established these five
factors as the basic factors for award in every program that is part of
this SuperNOFA. For a specific HUD program, however, HUD may have
modified these factors to take into account specific program needs, or
statutory or regulatory limitations imposed on a program. The standard
[[Page 9630]]
factors for award, except as modified in the program area section are:
Factor 1: Capacity of the Applicant and Relevant Organizational Staff
Factor 2: Need/Extent of the Problem
Factor 3: Soundness of Approach
Factor 4: Leveraging Resources
Factor 5: Comprehensiveness and Coordination
The Continuum of Care Homeless Assistance Programs have only two
factors that receive points: Need and Continuum of Care.
(D) Negotiation
After HUD has rated and ranked all applications and has made
selections, HUD may require, depending upon the program, that all
winners participate in negotiations to determine the specific terms of
the grant agreement and budget. In cases where HUD cannot successfully
conclude negotiations with a selected applicant or a selected applicant
fails to provide HUD with requested information, an award will not be
made to that applicant. In this instance, HUD may offer an award to the
next highest ranking applicant, and proceed with negotiations with the
next highest ranking applicant.
(E) Adjustments to Funding
(1) HUD reserves the right to fund less than the full amount
requested in your application to ensure the fair distribution of the
funds and to ensure that the purposes of a specific program are met.
(2) HUD may choose not to fund any portion of your application that
is not eligible for funding under specific program statutory or
regulatory requirements, or which do not meet the requirements of this
SuperNOFA or which may be duplicative of other funded programs or
activities from previous years' awards. HUD may choose to fund only the
eligible portions of your application.
(3) If funds remain after funding the highest ranking applications,
HUD may fund part of the next highest ranking application in a given
program. If you, the applicant, turn down the award offer, HUD will
make the same determination for the next highest ranking application.
If funds remain after all selections have been made, remaining funds
may be available for other competitions for each program where there is
a balance of funds.
(4) In the event HUD commits an error that, when corrected, would
result in selection of an otherwise eligible applicant during the
funding round of this SuperNOFA, HUD may select that applicant when
sufficient funds become available.
(F) Performance and Compliance Actions of Grantees
HUD will measure and address the performance and compliance actions
of grantees in accordance with the applicable standards and sanctions
of their respective programs.
IV. Application Submission Requirements
As HUD discussed earlier in the introductory section of this
SuperNOFA, part of the simplification of this funding process is to
reduce the duplication of effort that has been required of applicants
in the past. Before the SuperNOFA process, many of HUD's applicants
were required to complete and submit similar applications for HUD
funded programs. As the Program Chart above shows, the FY 1999
SuperNOFA provides, as did the FY 1998 SuperNOFA, for consolidated
applications for several of the programs for which funding is available
under this SuperNOFA.
V. Corrections to Deficient Applications
After the application due date, HUD may not, consistent with its
regulations in 24 CFR part 4, subpart B, consider any unsolicited
information you, the applicant, may want to provide. HUD may contact
you, however, to clarify an item in your application or to correct
technical deficiencies. You should note, however, that HUD may not seek
clarification of items or responses that improve the substantive
quality of your response to any eligibility or selection factors.
Examples of curable (correctable) technical deficiencies include your
failure to submit the proper certifications or your failure to submit
an application that contains an original signature by an authorized
official. In each case, HUD will notify you in writing by describing
the clarification or technical deficiency. HUD will notify applicants
by facsimile or by return receipt requested. You must submit
clarifications or corrections of technical deficiencies in accordance
with the information provided by HUD within 14 calendar days of the
date of receipt of the HUD notification. If your deficiency is not
corrected within this time period, HUD will reject your application as
incomplete, and it will not be considered for funding. (Note that the
Sections 202 and 811 Programs, by regulation, provide for appeal of
rejection of an application on technical deficiency. Please see the
Programs Sections for these programs for additional information and
instructions.)
VI. Promoting Comprehensive Approaches to Housing and Community
Development
(A) General
HUD believes the best approach for addressing community problems is
through a community-based process that provides a comprehensive
response to identified needs. By making these grant programs available
in one document, applicants may be able to relate the activities
proposed for funding under this SuperNOFA to the recent and upcoming
NOFAs and the community's Consolidated Plan and Analysis of Impediments
to Fair Housing Choice. There are certain HUD grant programs that are
not part of this SuperNOFA (primarily those for which funding is
allocated by lottery).
(B) Linking Program Activities With AmeriCorps
You are encouraged to link your proposed activities with
AmeriCorps, a national service program engaging thousands of Americans
on a full or part-time basis to help communities address their toughest
challenges, while earning support for college, graduate school, or job
training. For information about AmeriCorps, call the Corporation for
National Service at (202) 606-5000.
(C) Encouraging Visitability in New Construction and Substantial
Rehabilitation Activities
In addition to applicable accessible design and construction
requirements, you are encouraged to incorporate visitability standards
where feasible in new construction and substantial rehabilitation
projects. Visitability standards allow a person with mobility
impairments access into the home, but do not require that all features
be made accessible. Visitability means at least one entrance at grade
(no steps), approached by an accessible route such as a sidewalk; the
entrance door and all interior passage doors are at least 2 feet 10
inches wide, allowing 32 inches of clear passage space. Allowing use of
2'10'' doors is consistent with the Fair Housing Act (at least for the
interior doors), and may be more acceptable than requiring the 3 foot
doors that are required in fully accessible areas under the Uniform
Federal Accessibility Standards (UFAS) for a small percentage of units.
A visitable home also serves persons without disabilities, such as a
mother pushing a stroller, or a person delivering a large appliance.
Copies of the UFAS are available from the SuperNOFA Information Center
(1-800-HUD-2209) and also from the Office of Fair Housing and Equal
Opportunity,
[[Page 9631]]
U.S. Department of Housing and Urban Development, Room 5230, 451
Seventh Street, SW, Washington, DC 20410, telephone (202) 755-5404 or
the TTY telephone number, 1-800-877-8399 (Federal Information Relay
Service).
(D) Developing Healthy Homes
HUD's Healthy Homes Initiative is one of the initiatives developed
by the White House Task Force on Environmental Health Risks and Safety
Risks to Children that was established under Executive Order 13045
(``Protection of Children from Environmental Health Risks and Safety
Risks''). HUD encourages the funding of activities (to the extent
eligible under specific programs) that promote healthy homes, or that
promote education on what is a healthy home. These activities may
include, but are not limited to the following: educating homeowners or
renters about the need to protect children in their home from dangers
that can arise from items such as curtain cords, electrical outlets,
hot water, poisons, fire, and sharp table edges, among others;
incorporating child safety measures in the construction, rehabilitation
or maintenance of housing, which include but are not limited to: child
safety latches on cabinets, hot water protection devices, properly
ventilated windows to protect from mold, window guards to protect
children from falling, proper pest management to prevent cockroaches
which can cause asthma, and activities directed to control of lead-
based paint hazards. The National Lead Information Hotline is 1-800-
424-5323.
VII. Findings and Certifications
(A) Environmental Impact
A Finding of No Significant Impact with respect to the environment
has been made in accordance with HUD regulations at 24 CFR part 50 that
implement section 102(2)(C) of the National Environmental Policy Act of
1969 (42 U.S.C. 4332). The Finding of No Significant Impact is
available for public inspection during regular business hours in the
Office of the General Counsel, Regulations Division, Room 10276, U.S.
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410-0500.
(B) Federalism, Executive Order 12612
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that the policies
contained in this SuperNOFA will not have substantial direct effects on
States or their political subdivisions, or on the relationship between
the Federal Government and the States, or on the distribution of power
and responsibilities among the various levels of government.
Specifically, the SuperNOFA solicits applicants to expand their role in
addressing community development needs in their localities, and does
not impinge upon the relationships between the Federal Government and
State and local governments. As a result, the SuperNOFA is not subject
to review under the Order.
(C) Prohibition Against Lobbying Activities
You, the applicant, are subject to the provisions of section 319 of
the Department of Interior and Related Agencies Appropriation Act for
Fiscal Year 1991, 31 U.S.C. 1352 (the Byrd Amendment), which prohibits
recipients of Federal contracts, grants, or loans from using
appropriated funds for lobbying the executive or legislative branches
of the Federal Government in connection with a specific contract,
grant, or loan. You are required to certify, using the certification
found at Appendix A to 24 CFR part 87, that you will not, and have not,
used appropriated funds for any prohibited lobbying activities. In
addition, you must disclose, using Standard Form LLL, ``Disclosure of
Lobbying Activities,'' any funds, other than Federally appropriated
funds, that will be or have been used to influence Federal employees,
members of Congress, and congressional staff regarding specific grants
or contracts. Tribes and tribally designated housing entities (TDHEs)
established by an Indian tribe as a result of the exercise of the
tribe's sovereign power are excluded from coverage of the Byrd
Amendment, but tribes and TDHEs established under State law are not
excluded from the statute's coverage.)
(D) Section 102 of the HUD Reform Act; Documentation and Public Access
Requirements
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and the
regulations codified in 24 CFR part 4, subpart A, contain a number of
provisions that are designed to ensure greater accountability and
integrity in the provision of certain types of assistance administered
by HUD. On January 14, 1992 (57 FR 1942), HUD published a notice that
also provides information on the implementation of section 102. The
documentation, public access, and disclosure requirements of section
102 apply to assistance awarded under this SuperNOFA as follows:
(1) Documentation and public access requirements. HUD will ensure
that documentation and other information regarding each application
submitted pursuant to this SuperNOFA are sufficient to indicate the
basis upon which assistance was provided or denied. This material,
including any letters of support, will be made available for public
inspection for a 5-year period beginning not less than 30 days after
the award of the assistance. Material will be made available in
accordance with the Freedom of Information Act (5 U.S.C. 552) and HUD's
implementing regulations in 24 CFR part 15.
(2) Disclosures. HUD will make available to the public for 5 years
all applicant disclosure reports (HUD Form 2880) submitted in
connection with this SuperNOFA. Update reports (also Form 2880) will be
made available along with the applicant disclosure reports, but in no
case for a period less than 3 years. All reports--both applicant
disclosures and updates--will be made available in accordance with the
Freedom of Information Act (5 U.S.C. 552) and HUD's implementing
regulations at 24 CFR part 5.
(3) Publication of Recipients of HUD Funding. HUD's regulations at
24 CFR 4.7 provide that HUD will publish a notice in the Federal
Register on at least a quarterly basis to notify the public of all
decisions made by the Department to provide:
(i) Assistance subject to section 102(a) of the HUD Reform Act; or
(ii) Assistance that is provided through grants or cooperative
agreements on a discretionary (non-formula, non-demand) basis, but that
is not provided on the basis of a competition.
(E) Section 103 HUD Reform Act
HUD's regulations implementing section 103 of the Department of
Housing and Urban Development Reform Act of 1989 (42 U.S.C. 3537a),
codified in 24 CFR part 4, apply to this funding competition. The
regulations continue to apply until the announcement of the selection
of successful applicants. HUD employees involved in the review of
applications and in the making of funding decisions are limited by the
regulations from providing advance information to any person (other
than an authorized employee of HUD) concerning funding decisions, or
from otherwise giving any applicant an unfair competitive advantage.
Persons who apply for
[[Page 9632]]
assistance in this competition should confine their inquiries to the
subject areas permitted under 24 CFR part 4.
Applicants or employees who have ethics related questions should
contact the HUD Ethics Law Division at (202) 708-3815. (This is not a
toll-free number.) For HUD employees who have specific program
questions, the employee should contact the appropriate field office
counsel, or Headquarters counsel for the program to which the question
pertains.
VIII. The FY 1999 SuperNOFA Process and Future HUD Funding Processes
In FY 1998, Secretary Cuomo took the first significant step in
changing HUD's funding process to better promote comprehensive,
coordinated approaches to housing and community development by
developing the SuperNOFA process. The three SuperNOFAs published in FY
1998 reflected a marked improvement over HUD's previous funding process
and assisted communities to make better use of available resources
through a coordinated approach.
This FY 1999 SuperNOFA takes HUD's funding process to the next
step--a single SuperNOFA. The FY 1999 SuperNOFA was developed based on
comments received from HUD clients and the Department believes it
represents a significant improvement over HUD's approach to the funding
process in prior years. For FY 2000, HUD may take even further steps to
enhance this process. HUD welcomes comments from applicants and other
members of the public on this process, and how it may be improved in
future years.
The description of programs for which funding is available under
this SuperNOFA follows.
Dated: February 18, 1999.
Saul N. Ramirez, Jr.,
Deputy Secretary.
BILLING CODE 4210-32-P
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9633]]
[GRAPHIC] [TIFF OMITTED] TN26FE99.014
BILLING CODE 4210-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9635]]
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 http://www:HUD.gov.
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
applicants.
(a) Many organizations are eligible to apply for more than one CD-
TA program and are encouraged to do so to the extent they have the
requisite experience, expertise and capability.
(b) All applicant organizations must have demonstrated ability to
provide CD-TA in a geographic area larger than a single city or county
and must propose to serve an area larger than a single city or county.
(c) An organization may not provide assistance to itself, and any
organization funded to assist CHDOs under this CD-TA Program section of
the SuperNOFA may not act as a CHDO itself within its service area
while under award with HUD.
(d) A consortium of organizations may apply for one or more CD-TA
programs, but HUD will require that one organization be designated as
the legal applicant, where legally feasible. Where one organization
cannot be so designated for all proposed activities, HUD may execute
more than one cooperative agreement with the members of a consortium.
(e) All applicants must meet minimum statutory eligibility
requirements for each CD-TA program for which they are chosen in order
to be awarded a cooperative agreement. Copies of the Technical
Assistance program regulations will be provided with the application
kit.
(f) All eligible CD-TA providers may propose assistance using in-
house staff, consultants, sub-contractors and sub-recipients, networks
of private consultants and/or local organizations with requisite
experience and capabilities. Whenever possible, applicants should make
use of technical assistance providers located in the Field Office
jurisdiction receiving services. This draws upon local expertise and
persons familiar with the opportunities and resources available in the
area to be served while reducing travel and other costs associated with
delivering the proposed technical assistance services.
(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
legislation;
(d) An agency or authority established by two or more PJs to carry
out activities consistent with the purposes of the HOME program;
(e) A national or regional non-profit organization that has
membership comprised predominantly of entities or officials of entities
of PJs or PJs' agencies or established organizations.
(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
information;
(iv) Other methods of demonstrating and making available skills,
information and knowledge to assist States, units of general local
government, in planning, developing, administering or assessing
assistance under CDBG programs in which they are participating or
seeking to participate.
(b) Ineligible Activities. Activities for which costs are
ineligible for funding under the Community Development Block Grant
Technical Assistance Program include:
(i) In the case of technical assistance for States, the cost of
carrying-out the administration of the State CDBG program for non-
entitlement communities;
(ii) The cost of carrying out the activities authorized under the
CDBG Program, such as the provision of public services, construction,
rehabilitation, planning and administration for which the technical
assistance is to be provided;
(iii) The cost of acquiring or developing the specialized skills or
knowledge to be provided by a group funded under this section;
(iv) Research activities;
(v) The cost of identifying units of governments needing assistance
(except the cost of selecting recipients of technical assistance under
the provision of 24 CFR 570.402(j) is eligible); or
(vi) Activities designed primarily to benefit HUD, or to assist
HUD, in carrying out the Department's responsibilities; such as
research, policy analysis of proposed legislation, training or travel
of HUD staff, or development and review of reports to Congress.
(2) CHDO Technical Assistance. CHDO Technical Assistance funds may
be used only for the following eligible activities:
(a) Organizational Support--Organizational support assistance may
be made available to community housing development organizations to
cover operational expenses and to cover expenses for training and
technical, legal, engineering and other assistance to the board of
directors, staff, and members of the community housing development
organization;
(b) Housing Education--Housing education assistance may be made
available to community housing development organizations to cover
expenses for providing or administering programs for educating,
counseling, organizing homeowners and tenants who are eligible to
receive assistance under other provisions of the HOME Program;
(c) Program-Wide Support of Nonprofit Development and Management--
Technical assistance, training, and continuing support may be made
available to eligible community housing development organizations for
managing and conserving properties developed under the HOME Program;
(d) Benevolent Loan Funds--Technical assistance may be made
available to increase the investment of private capital in housing for
very low-income families, particularly by encouraging the establishment
of benevolent loan funds through which private financial institutions
will accept deposits at below-market interest rates and make those
funds available at favorable rates to developers of low-income housing
and to low-income homebuyers;
(e) Community Development Banks and Credit Unions--Technical
assistance may be made available to establish privately owned, local
community development banks and credit unions to finance affordable
housing;
(f) Community Land Trusts--Organizational support, technical
assistance, education, training and continuing support under this
subsection may be made available to community land trusts (as such term
is defined in section 233(f) of the Cranston-Gonzalez National
Affordable Housing Act) and to community groups for the establishment
of community land trusts; and
(g) Facilitating Women in Homebuilding Professions--Technical
assistance may be made available to businesses, unions, and
organizations involved in construction and rehabilitation of housing in
low-and moderate-income areas to assist women residing in the area to
obtain jobs involving such activities, which may include facilitating
access by helping such women develop nontraditional skills, recruiting
women to participate in such programs, providing continuing support for
women at job sites,
[[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
to:
(a) Facilitate the exchange of information that would help
participating jurisdictions carry out the purposes of the HOME statute,
including information on program design 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
apply:
(1) The sub-grant amount, when combined with other capacity
building and operating support available through the HOME program,
cannot exceed the greater of 50% of the CHDO's operating budget for the
year in which it receives the funds, or $50,000 annually;
(2) An amount not exceeding 10% of the total funds awarded for the
``Women in the Homebuilding Professions'' eligible activity may be used
to provide materials and tools for training such women.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following
requirements:
(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
Office.
(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
locality.
(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
activities.
(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
[[Page 9640]]
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
[[Page 9641]]
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
provided;
(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
requested:
(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
fashion.
[[Page 9642]]
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
application:
(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
and:
(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
approaches;
(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
costs;
(4) Transportation Costs, as applicable.
(5) Equipment charges, if any. Equipment charges should identify
the type of equipment, quantity, unit costs and total estimated
equipment costs;
(6) Consultant Costs, if applicable. Indicate the type, estimated
number of consultant days, rate per day, total estimated consultant
costs per consultant and total estimated costs for all consultants;
(7) Subcontract Costs, if applicable. Indicate each individual
subcontract and amount;
(8) Other Direct Costs listed by item, quantity, unit cost, total
for each item listed, and total other direct costs for the award;
(9) Indirect Costs should identify the type, approved indirect cost
rate, base to which the rate applies and total indirect costs.
These line items should total the amount requested for each CD-TA
program area. The grand total of all CD-TA program funds requested
should reflect the grand total of all funds for which application is
made.
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
570.402).
CHDO Technical Assistance. The CHDO Technical Assistance Program is
authorized by the HOME Investment Partnerships Act (42 U.S.C. 12773);
24 CFR part 92.
HOME Technical Assistance. The HOME Technical Assistance Program is
authorized by the HOME Investment Partnerships Act (42 U.S.C. 12781-
12783); 24 CFR part 92.
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
574.
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Notices
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Notices
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Funding Availability for the Community Outreach Partnership Centers
Program Program Overview
Purpose of the Program. To provide funds to community colleges,
four-year colleges, and universities to establish and operate Community
Outreach Partnership Centers (COPCs) to address the problems of urban
areas.
Available Funds. Approximately $7.5 million.
Eligible Applicants. Public and private profit and nonprofit
institutions of higher education granting two- or four-year degrees and
accredited by a national or regional accrediting agency recognized by
the U.S. Department of Education.
Application Deadline. June 9, 1999.
Match. 50% of the total costs of establishing and operating
research activities and 25% of the total costs of establishing and
operating outreach activities.
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. Your completed application is due on or
before 12:00 midnight, Eastern time on June 9, 1999, at HUD
Headquarters. See the General Section of this SuperNOFA for specific
procedures governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Submit your completed
application (one original and two copies) to: Processing and Control
Branch, Office of Community Planning and Development, U.S. Department
of Housing and Urban Development, 451 Seventh Street, SW, Room 7251,
Washington, DC 20410. When submitting your application, please refer to
COPC and include your name, mailing address (including zip code) and
telephone number (including area code).
For Application Kits. For an application kit and supplemental
information you should 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, you should refer to COPC and provide your name, address (including
zip code), and telephone number (including area code). You may also
download the application kit on the Internet through the HUD web site
at http://www.hud.gov.
For Further Information. For answers to your questions, you have
several options. You may contact Jane Karadbil of HUD's Office of
University Partnerships at (202) 708-1537, ext. 5918. If you have a
speech or hearing impairment, you may call HUD's TTY number (202) 708-
0770, or 1-800-877-8399 (the Federal Information Relay Service TTY).
Other than the ``800'' number, these numbers are not toll-free. You may
also reach Ms. Karadbil via the Internet at Jane__R.__Karadbil@hud.gov.
For Technical Assistance. HUD will hold an information broadcast
via satellite for potential applicants to learn more about the program
and preparation of an application. For more information about the date
and time of this broadcast, you should consult the HUD web site at the
web address listed above.
II. Amount Allocated
Up to $7.5 million to fund grants under the program. This year, HUD
will award two kinds of grants--(A) New Grants to applicants who have
never received a COPC grant before to undertake eligible work and (B)
New Directions Grants to fund previous COPC recipients (as identified
in III.(B) below) to undertake new directions in their activities.
Institutionalization Grants will not be funded under this funding
announcement for COPC. HUD will use up to $6.6 million to fund New
Grants and up to $900,000 to fund New Directions Grants.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. The purpose of this COPC Program is to
assist in establishing or carrying out outreach and applied research
activities addressing the problems of urban areas. Funding under this
program is used to establish and operate local Community Outreach
Partnership Centers (COPC).
The five key concepts that your COPC Program should include are:
(1) You should provide outreach, technical assistance, applied
research, and empowerment to neighborhoods and neighborhood-based
organizations based on what the residents decide is needed, not based
on what the institution thinks is appropriate for that neighborhood;
(2) Community-based organizations should be your partners
throughout the life of the project, from planning to implementation;
(3) Your applied research should be related to the outreach
activities and be used to influence your activities within the grant
period or shortly after it ends. HUD will not fund research without
practical application;
(4) The assistance you provide should be primarily by faculty,
students, or to a limited extent, by neighborhood residents or
community-based organizations funded by the university; and
(5) Your program should be part of your institution's broader
effort to meet its urban mission, and be supported by senior officials,
rather than just the work of a few faculty members. Your proposed
activities should not duplicate those of other entities in the
community and should be appropriate for an institution of higher
education to undertake in light of its teaching and research missions.
(B) Eligible Applicants. Eligible applicants for both New Grants
and New Directions Grants are public or private nonprofit institutions
of higher education granting two- or four-year degrees and accredited
by a national or regional accrediting agency recognized by the U.S.
Department of Education. For New Grants, only applicants that have
never previously received a New Grant or an Institutionalization Grant
are eligible. For New Directions Grants, only COPC grantees who
received grants in Fiscal Years 1994, 1995, or 1996 are eligible. Joint
Community Development Program grantees are not eligible for either kind
of funding, nor are FY 1997 and 1998 COPC Grantees.
Consortia of eligible institutions may apply, as long as one
institution is designated the lead applicant. Since the Statement of
Work and other facets of the technical review are assessed in the
context of the proposed staffing, and in order to fund as many eligible
applicants as possible, HUD has determined that you may be part of only
one consortium or submit only one application or you will be
disqualified. HUD will hold you responsible for ensuring that neither
you nor any part of your institution, including specific faculty,
participate in more than one application. For New Directions Grants, if
you originally received funding as a consortium, you are not required
to submit again with all the consortium members. Members of a
previously approved consortium may submit on their own or as part of
their old consortium. However, as with New Grants, only one application
from an institution will be permitted.
Different campuses of the same university system are eligible to
apply, even if one campus has already received COPC funding. Such
campuses are eligible as separate applicants only if
[[Page 9654]]
they have administrative and budgeting structures independent of other
campuses in the system.
(C) Eligible Activities. Your COPC Program must combine research
with outreach, work with communities and local governments and address
the multidimensional problems that beset urban areas. To meet the
threshold requirements, your application should be multifaceted and
address three or more urban problems. You should address urban problems
associated with housing, economic development, neighborhood
revitalization, infrastructure, health care, job training, education,
crime prevention, planning, community organizing, and other areas
deemed appropriate by the Secretary. Single purpose applications are
not eligible.
Funded research must have a clear near-term potential for solving
specific, significant urban problems. You must have the capacity to
apply your research results and to work with communities and local
institutions, including neighborhood groups and other appropriate
community stakeholders, in applying these results to specific real-life
urban problems.
While the list of eligible and ineligible activities is the same
for both New Grant applicants and New Directions Grant applicants, New
Directions Grant applicants must demonstrate that the proposed
activities either implement new eligible projects in the current target
neighborhood(s) or implement eligible projects in a new target
neighborhood(s).
Eligible activities include:
(1) Research activities that have practical application for solving
specific problems in designated communities and neighborhoods,
including evaluation of the effectiveness of the outreach activities.
In order to ensure that the primary focus of your project is on
outreach, research may not total more than one-quarter of the total
project costs contained in any grant made under this COPC funding
announcement (including the required 50% match).
(2) Outreach, technical assistance and information exchange
activities which are designed to address specific urban problems in
designated communities and neighborhoods. Such activities must total no
less than three-quarters of your total project costs (including the
required 25% match). Examples of outreach activities include, but are
not limited to:
(a) Job training and other training projects, such as workshops,
seminars and one-on-one and on-the-job training;
(b) Design of community or metropolitan strategies to resolve urban
problems of communities and neighborhoods;
(c) Innovative use of funds to provide direct technical expertise
and assistance to local community groups, residents, and other
appropriate community stakeholders to assist them in resolving local
problems such as homelessness, housing discrimination, and impediments
to fair housing choice;
(d) Technical assistance in business start-up activities for low-
and moderate-income individuals and organizations, including business
start-up training and technical expertise and assistance, mentor
programs, assistance in developing small loan funds, business
incubators, etc;
(e) Technical assistance to local public housing authorities on
welfare-to-work initiatives and physical transformations of public or
assisted housing, including development of accessible and visitable
housing;
(f) Assistance to communities to improve consolidated housing and
community development plans and remove impediments to design and
implementation of such plans;
(g) Assistance to communities to improve their fair housing
planning process;
(h) Services to assist low-income students to attend college, as
part of the U.S. Department of Education's Gaining Awareness and
Readiness for Undergraduate Program (GEAR UP). (For more information
call 1-800-USA-LEARN or visit the Department of Education's website at
www.ed.gov.); and
(i) Regional projects that maximize the interaction of targeted
inner city distressed neighborhoods with suburban job opportunities
similar to HUD's Bridges-to-Work or Moving to Opportunity programs.
(3) Funds for faculty development including paying for course time
or summer support to enable faculty members to work on the COPC.
(4) Funds for stipends for students (which cannot cover tuition and
fees) when they are working on the COPC.
(5) Activities to carry out the ``Responsibilities'' listed under
Section IV(B) below. These activities may include leases for office
space in which to house the Community Outreach Partnership Center,
under the following conditions:
(a) The lease must be for existing facilities not requiring
rehabilitation or consultation;
(b) No repairs or renovations of the property may be undertaken
with Federal funds; and
(c) Properties in the Coastal Barrier Resource System designated
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be
leased with Federal funds.
(6) Components of your program may address metropolitan or regional
strategies. You must clearly demonstrate how:
(a) Your strategies are directly related to what the targeted
neighborhoods and neighborhood-based organizations have decided is
needed; and
(b) Neighborhoods and neighborhood organizations are involved in
the development and implementation of the metropolitan or regional
strategies.
(D) Ineligible Activities. (1) Research activities that have no
clear and immediate practical application for solving urban problems or
do not address specific problems in designated communities and
neighborhoods.
(2) Any type of construction, rehabilitation, or other physical
development costs.
(3) Costs used for routine operations and day-to-day administration
of institutions of higher education, local governments or neighborhood
groups.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, grantees must meet the following program
requirements:
(A) Grant Sizes and Terms. Each New Grant will be for a three-year
period. In order to ensure that as many eligible applicants are funded
as possible, HUD has set the maximum size of any New Grant at $400,000.
Because these projects are quite complex, HUD has also set the minimum
grant size at $250,000. Since the Statement of Work and other facets of
the technical review are assessed in the context of the proposed budget
and grant request, and in the interest of fairness to all applicants,
HUD will not accept a New Grant application that is under $250,000 or
over $400,000.
Each New Directions Grant will be for a two-year period. HUD has
set the maximum size of any New Directions Grant at $150,000. Since the
Statement of Work and other facets of the technical review are assessed
in the context of the proposed budget and grant request, and in the
interest of fairness to all applicants, HUD will not accept a New
Directions application that is over $150,000.
(B) Responsibilities. You are required to:
(1) Employ the research and outreach resources of your institution
of higher education to solve specific urban
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problems identified by communities served by your Center;
(2) Establish outreach activities in areas identified in your
application as the communities to be served;
(3) Establish a community advisory committee comprised of
representatives of local institutions and residents of the communities
to be served to assist in identifying local needs and advise on the
development and implementation of strategies to address those issues;
(4) Coordinate outreach activities in communities to be served by
your Center;
(5) Facilitate public service projects in the communities served by
your Center;
(6) Act as a clearinghouse for dissemination of information;
(7) Develop instructional programs, convene conferences, and
provide training for local community leaders, when appropriate; and
(8) Exchange information with other Centers.
The clearinghouse function in (6) above refers to a local or
regional clearinghouse for dissemination of information and is separate
and distinct from the functions in (8) above, which relate to the
provision of information to the University Partnerships Clearinghouse,
which is the national clearinghouse for the program.
(C) Cap on Research Costs. No more than 25% of your total project
costs (Federal share plus match) can be spent on research activities.
(D) Match. The non-Federal share may include cash or the value of
non-cash contributions, equipment and other allowable in-kind
contributions as detailed in 24 CFR part 84, and in particular
Sec. 84.23 entitled ``cost sharing or matching.'' You may not count as
match any costs that would be ineligible for funding under the program
(e.g., housing rehabilitation).
(1) If you are a New Grant applicant, you must meet the following
match requirements:
(a) Research Activities. 50% of the total project costs of
establishing and operating research activities.
(b) Outreach Activities. 25% of the total project costs of
establishing and operating outreach activities.
(2) If you are a New Directions Grant applicant, you must meet the
following match requirements:
(a) Research Activities. 60% of the total project costs of
establishing and operating research activities.
(b) Outreach Activities. 35% of the total project costs of
establishing and operating outreach activities.
An example of how you should calculate the match is included in the
application kit.
(E) Administrative. Your grant will be governed by the provisions
of 24 CFR part 84 (Grants and Agreements with Institutions of Higher
Education, Hospitals, and Other Non-Profit Organizations), A-21 (Cost
Principles for Education Institutions), and A-133 (Audits of States,
Local Governments, and Non-Profit Organizations. You may not spend more
than 20% of your grant on planning or administrative costs. The
application kit contains a detailed explanation of what these costs
are. You can access the OMB circulars at the White House website at
http://whitehouse.gov/WH/EOP/OMB/html/circulars.
V. Application Selection Process
There will be two separate competitions--one for New Grants and one
for New Directions Grants. For each type of grant, applications will be
rated, ranked, and selected separately. Two types of reviews will be
conducted: a threshold review to determine your applicant eligibility;
and a technical review to rate your application based on the rating
factors in this Section, paragraph C below.
(A) Additional Threshold Requirements For Funding Consideration.
Under the threshold review, you will be rejected from the competition
if you are not in compliance with the requirements of the General
Section of the SuperNOFA or if you do not meet the following additional
standards:
(1) You have met the statutory match requirements, if applying for
a New Grant or the higher match levels described above, if applying for
a New Directions Grant.
(2) You have proposed a program in which at least 75% of the total
project costs will be for outreach activities.
(3) For New Grants, you have requested a Federal grant between
$250,000 and $400,000 over the three-year grant period. For New
Directions Grants, you have requested a Federal grant that is no more
than $150,000 over the two-year grant period.
(4) You have addressed at least three urban issues, such as
affordable housing, fair housing, economic development, neighborhood
revitalization, infrastructure, health care; job training, education,
crime prevention, planning, and community organizing.
(5) You and any part of your organization are participating in only
one application.
(B) Factors For Award Used To Evaluate and Rate Applications. The
factors for rating and ranking applicants, and maximum points for each
factor, are provided below. The maximum number of points for this
program is 102. This includes two EZ/EC bonus points, as described in
the General Section of the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (15 Points)
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. In rating this factor HUD will
consider the extent to which the proposal demonstrates:
(1) For New Grants (15 points): For New Direction Grants (10
points).
(a) The knowledge and experience of your overall proposed project
director and staff, including the day-to-day program manager,
consultants and contractors in planning and managing programs for which
funding is being requested. Experience will be judged in terms of
recent, relevant and successful experience of your staff to undertake
eligible program activities. In rating this factor, HUD will consider
experience within the last 5 years to be recent; experience pertaining
to the specific activities being proposed to be relevant; and
experience producing specific accomplishments to be successful. The
following categories will be evaluated:
(i) Undertaking research activities in specific communities that
have a clear near-term potential for practical application to
significant urban issues, such as affordable housing, fair housing
including accessible and visitable housing, economic development,
neighborhood revitalization, infrastructure, health care, job training,
education, crime prevention, planning, and community organizing;
(ii) Undertaking outreach activities in specific communities to
solve or ameliorate significant urban issues;
(iii) Undertaking projects with community-based organizations or
local governments; and
(iv) Providing leadership in solving community problems and making
national contributions to solving long-term and immediate urban
problems.
(2) For New Directions Grants only (5 points). The extent to which
you performed successfully under your previous COPC grant(s), as
measured by:
(a) Your achievement of specific measurable outcome objectives; and
(b) Your leveraging of funding beyond the funds originally proposed
to be leveraged for that project.
[[Page 9656]]
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for
funding your proposed program activities and your indication of the
urgency of meeting the need in the target area. In responding to this
factor, you will be evaluated on the extent to which you document the
level of need for the proposed activity and the urgency in meeting the
need.
You should use statistics and analyses contained in a data
source(s) that:
(1) Is sound and reliable. To the extent that the targeted
community's Consolidated Plan and Analysis of Impediments to Fair
Housing Choice (AI) identify the level of the problem and the urgency
in meeting the need, you should include references to these documents
in your response. The Department will review your application more
favorably if you used these documents to identify need, when
applicable.
If the proposed activity is not covered under the scope of the
Consolidated Plan and Analysis of Impediments to Fair Housing Choice
(AI), you should indicate such, and use other sound data sources to
identify the level of need and the urgency in meeting the need. Types
of other sources include Census reports, Continuum of Care gaps
analysis, law enforcement agency crime reports, Public Housing
Authorities' Comprehensive Plan, and other sound and reliable sources
appropriate for your program. You may also address needs in terms of
fulfilling court orders or consent decrees, settlements, conciliation
agreements, and voluntary compliance agreements.
(2) To the extent possible, the data you use should be specific to
the area where the proposed activity will be carried out. You should
document needs as they apply to the area where activities will be
targeted, rather than the entire locality or state, unless the target
area is an entire locality or state.
Rating Factor 3: Soundness of Approach (50 Points)
This factor addresses the quality and cost-effectiveness of your
proposed work plan. There must be a clear relationship between your
proposed activities, community needs and the purpose of the program
funding for you to receive points for this factor. The factor will be
evaluated based on the extent to which the proposed work plan will:
(1) (10 points) Identify the specific services or activities to be
performed. In reviewing this subfactor HUD will consider the extent to
which:
(a) Your proposal outlines a clear research agenda, based on your
familiarity with existing research on the subject.
(b) You demonstrate how the research will fit into and strengthen
the outreach strategy and activities. For example, if you propose to
study the extent of housing abandonment in a neighborhood and then
design a plan for reusing this housing, you would be able to
demonstrate the link between your proposed research and outreach
strategies.
(c) Your plan outlines a clear outreach agenda and there is a plan
for involving your institution as a whole in the execution of your
outreach strategy. Your outreach program should provide for on-site or
a frequent presence in the targeted communities and neighborhoods.
(d) Your outreach agenda includes training projects for local
community leaders, for example, to increase their capacity to direct
their organizations or undertake various kinds of community development
projects.
(e) You demonstrate that your proposed research and outreach
activities do not duplicate research and outreach previously completed
or currently underway by others.
(f) You propose activities that are appropriate for an institution
of higher education because they are tied to the institution's teaching
or research mission.
(2) (9 points) Involve the communities to be served in
implementation of your activities. In reviewing this subfactor, HUD
will look at the extent to which:
(a) You have formed or will form one or more Community Advisory
Committees, comprised of representatives of local institutions and a
balance of the race, ethnic, disability status, gender, and income of
the residents of the communities to be served to develop and implement
strategies to address the needs identified in Factor 2. You will be
expected to demonstrate that you have already formed such a
committee(s) or secured the commitment of the appropriate persons to
serve on the committee(s), rather than just describing generally the
types of people whose involvement you will seek.
(b) You have involved a wide range of neighborhood organizations
and local government entities in the identification of your research
and outreach activities.
(3) (5 points) Help solve or address an urgent problem as
identified in Rating Factor 2 and will achieve the purposes of the
program within the grant period. In reviewing this subfactor, HUD will
look at the extent to which:
(a) You identify specific time phased and measurable objectives to
be accomplished; your proposed short and long term program objectives
to be achieved as a result of the proposed activities; the tangible and
measurable impacts your work program will have on the community in
general and the target area or population in particular including
affirmatively furthering fair housing for classes protected under the
Fair Housing Act; and the relationship of your proposed activities to
other on-going or proposed efforts to improve the economic, social or
living environment in the impact area; and
(b) Grant funds will pay for activities you conduct directly,
rather than passing funds through to other entities.
(4) (4 points) Potentially yield innovative strategies or ``best
practices'' that can be replicated and disseminated to other
organizations, including nonprofit organizations, State and local
governments. In reviewing this subfactor, HUD will assess your
demonstrated ability to disseminate results of research and outreach
activities to other COPCs and communities. HUD will evaluate your past
experience and the scope and quality of your plan to disseminate
information on COPC results, strategies, and lessons learned through
such means as conferences, cross-site technical assistance,
publications, etc.
(5) (8 points)
(a) (3 points) Further and support the policy priorities of HUD
including:
(i) Promoting healthy homes;
(ii) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare to work programs;
(iii) Enhancing on-going efforts to eliminate drugs and crime from
neighborhoods through program policy efforts such as ``One Strike and
You're Out'' or the ``Officer Next Door'' initiative;
(iv) Providing educational and job training opportunities through
such initiatives as Neighborhood Networks, Campus of Learners and
linking to AmeriCorps activities.
(b) (5 points) Include activities that affirmatively further fair
housing, for example:
(i) Working with other entities in the community to overcome
impediments to fair housing, such as discrimination in the sale or
rental of housing or in advertising, provision of brokerage services,
or lending;
(ii) Promoting fair housing choice through the expansion of
homeownership opportunities and improved quality of services for
minorities, families with children, and persons with disabilities; or
[[Page 9657]]
(iii) Providing housing mobility counseling services.
(6) For New Grants (14 points): For New Directions Grants (9
points). Result in the COPC function and activities becoming part of
the urban mission of your institution and being funded in the future by
sources other than HUD. In reviewing this subfactor, HUD will consider
the extent to which:
(a) COPC activities relate to your institution's urban mission; are
part of a climate that rewards faculty work on these activities through
promotion and tenure policies; benefit students because they are part
of a service learning program at your institution (rather than just
volunteer activities); and are reflected in your curriculum. HUD will
look at your institution's commitment to faculty and staff continuing
work in COPC neighborhoods or replicating successes in other
neighborhoods and to your longer term commitment (e.g., five years
after the start of the COPC) of hard dollars to COPC work.
(b) You have received commitments for funding from sources outside
the university for related COPC-like projects and activities in the
targeted neighborhood or other distressed neighborhoods. Funding
sources to be considered include, but are not limited to, local
governments, neighborhood organizations, private businesses, and
foundations.
(7) For New Direction Grants only (5 points). Previous grantees
have a wealth of knowledge that they can and should share with other
institutions. If you send a faculty member of your team who has been
listed in your application to participate in the peer review process
for New Grants, you will receive 5 points .
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure
community resources which can be combined with HUD's program resources
to achieve program purposes. This factor measures the extent to which
you have established partnerships with other entities to secure
additional resources to increase the effectiveness of your 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 establish
partnerships with you. You may also establish partnerships with funding
recipients in other grant programs to coordinate the use of resources
in the target area. In evaluating this factor, HUD will allocate points
as follows:
(1) Up to a total of 5 points will be awarded for a match that is
50% over the required match, as described in Section IV D above.
The Department is concerned that applicants should be providing
hard dollars as part of their matching contributions to enhance the
tangible resources going into targeted neighborhoods. Thus, while
indirect costs can count towards meeting the required match, they will
not be used in calculating match overage. Only direct costs can count
in this factor.
(2) Up to an additional 5 points will be awarded for the extent to
which you document that matching funds are provided from eligible
sources other than your institution (e.g., funds from the city,
including CDBG, other State or local government agencies, public or
private organizations, or foundations).
You must provide evidence of leveraging/partnerships by including
in the application letters of firm commitment, memoranda of
understanding, or agreements to participate from those entities
identified as partners in the application. Each letter of commitment,
memorandum of understanding, or agreement to participate should include
the organization's name, proposed level of commitment and
responsibilities as they relate to the proposed program. The commitment
must also be signed by an official of the organization legally able to
make commitments on behalf of the organization. Unless matching funds
are accompanied by a commitment letter, they will not be counted
towards the match.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you coordinated your
activities with other known organizations, participate or promote
participation in your community's Consolidated Planning process, and
are 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 have:
(1) (4 points) 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 you will take to share information on solutions and
outcomes with others. Any written agreements, memoranda of
understanding in place, or that will be in place after award should be
described.
(2) (3 points) Taken or will take specific steps to become active
in the community's Consolidated Planning process (including the
Analysis of Impediments to Fair Housing Choice) established to identify
and address a need/problem that is related to the activities the
applicant proposes.
(3) (3 points) Taken or will take specific steps to develop
linkages to coordinate comprehensive solutions through meetings,
information networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other Federal, State or locally funded activities, including
those proposed or on-going in the community.
(C) Selections. In order to be funded under COPC, you must receive
a minimum score of 70. HUD intends to fund at least one eligible
applicant that serves colonias, as defined by section 916(d) of the
Cranston-Gonzalez National Affordable Housing Act, as long as the
applicant receives a minimum score of 70.
If two or more applications have the same number of points, the
application with the most points for Factor 3, Soundness of Approach,
shall be selected. If there is still a tie, the application with the
most points for Factor 4, Leveraging Resources shall be selected.
HUD reserves the right to make selections out of rank order to
provide for geographic distribution of funded COPCs. If HUD decides to
use this option, it will do so only if two adjacent HUD regions do not
yield at least one fundable COPC on the basis of rank order. If this
occurs, HUD will fund the highest ranking applicant within the two
regions as long as the minimum score of 70 points is achieved.
After all applications have been rated and ranked and selections
have been made, HUD may require you, if you are selected, to
participate in negotiations to determine the specific terms of your
Statement of Work and grant budget. In cases where HUD cannot
successfully conclude negotiations, or you fail to provide HUD with
requested information, an award will not be made. In such instances,
HUD may elect to offer an award to the next highest ranking applicant,
and proceed with negotiations with that applicant.
After award but before grant execution, if you are selected, you
will be required to provide a certification
[[Page 9658]]
from an Independent Public Accountant or the cognizant government
auditor, stating that the financial management system employed by your
institution meets proscribed standards for fund control and
accountability required by OMB Circular A-133, Audits of States, Local
Governments, and Non-Profit Organizations, or 24 CFR part 84, Grants
and Agreements with Institutions of Higher Education, Hospitals, and
Other Non-Profit Organizations, or the Federal Acquisition Regulations
(for all other applicants). This information should contain the name
and telephone number of the Independent Auditor, cognizant Federal
auditor, or other audit agency, as applicable.
VI. Application Submission Requirements
You should include an original and two copies of the items listed
below. In order to be able to recycle paper, please do not submit
applications in bound form; binder clips or loose leaf binders are
acceptable. Also, please, do not use colored paper. Please note the
page limits for some of the items listed below and do not exceed them.
In addition to the forms, certifications and assurances listed in
Section II(G) of the General Section, your application must, at a
minimum, contain the following items:
(A) Transmittal Letter signed by the Chief Executive Officer of
your institution or his or her designee. If a designee signs, your
application must include the official delegation of signatory
authority;
(B) A Statement of Work (25 page limit) incorporating all
activities to be funded in your application and details how your
proposed work will be accomplished. Following a task-by-task format,
the Statement of Work must:
(1) Arrange the presentation of related major activities by project
functional category (e.g., economic development, affordable housing,
capacity building), summarize each activity, identify the primary
persons involved in carrying out the activity, and delineate the major
tasks involved in carrying it out.
(2) Indicate the sequence in which the tasks are to be performed,
noting areas of work which must be performed simultaneously.
(3) Identify specific numbers of quantifiable intermediate and end
products and objectives you will deliver by the end of the award
agreement period as a result of the work performed.
(C) Narrative statement addressing the Factors for Award in Section
V (B). (25 page limit, including tables and maps, but not including
letters of matching commitments). Your narrative response should be
numbered in accordance with each factor and subfactor. Please do not
repeat material in your Statements of Work or Need; instead focus on
how you meet each factor.
(D) Budget. Your budget presentation should be consistent with your
Statement of Work and include:
(1) Budget Form--The sample budget form included in the application
kit should be used to prepare the budget.
(2) A narrative explanation of how you arrived at your cost
estimates, for any line item over $5,000.
(3) A statement of your compliance with the 20% limitation on
``Planning and Administration'' Costs.
(4) An explanation of your compliance with the requirement that not
more than 25% of the total budget be allocated to research activities.
(5) An explanation of your compliance with the matching
requirements. More guidance on all of these items is included in the
application kit.
(E) Abstract. (1 page limit) An abstract describing the goals and
activities of your program.
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) of the HUD regulations,
activities assisted under this program are categorically excluded from
the requirements of the National Environmental Policy Act and are not
subject to environmental review under the related laws and authorities.
IX. Authority
This program is authorized under the Community Outreach Partnership
Act of 1992 (42 U.S.C. 5307 note; hereafter referred to as the ``COPC
Act''). The COPC Act is contained in section 851 of the Housing and
Community Development Act of 1992 (Pub.L. 102-550, approved October 28,
1992) (HCD Act of 1992). Section 801(c) of the HCD Act of 1992
authorizes $7.5 million for each year of the 5-year demonstration to
create Community Outreach Partnership Centers as authorized in the COPC
Act. The HUD, VA and Independent Agencies Appropriations Act of 1999
(Pub.L. 105-276, approved October 21, 1998) continued the program
beyond the initial five-year demonstration by providing funding for it
for FY 1999.
BILLING CODE 4210-32-P
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
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[GRAPHIC] [TIFF OMITTED] TN26FE99.022
BILLING CODE 4210-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9661]]
Funding Availability for the Historically Black Colleges and
Universities Program
Program Overview
Purpose of the Program. To assist HBCUs expand their role and
effectiveness in addressing community development needs in their
localities, including neighborhood revitalization, housing, and
economic development, consistent with the purposes of Title I of the
Housing and Community Development Act of 1974, as amended.
Available Funds. Approximately $9 million.
Eligible Applicants. Only HBCUs as determined by the Department of
Education in 34 CFR 608.2 in accordance with that Department's
responsibilities under Executive Order 12876, dated November 1, 1993,
are eligible for funding under the HBCU Program.
Application Deadline. June 9, 1999.
Match: None
Additional Information
If you are interested in applying for funding under the HBCU
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. Your completed application is due on or
before 12:00 midnight, Eastern time on June 9, 1999, at HUD
Headquarters with a copy to the appropriate HUD CPD Field Office. See
the General Section of this SuperNOFA for specific procedures covering
the form of application submission (e.g., mailed applications, express
mail, overnight delivery, or hand carried).
Address for Submitting Applications. Submit your original signed
application and one copy to the following address: Processing and
Control Branch, Office of Community Planning and Development,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Room 7251, Washington, DC, 20410. When submitting your application,
please refer to the HBCU Program, and include your name, mailing
address (including zip code) and telephone number (including area
code).
Copies of Applications to HUD Offices. To facilitate processing and
review of your application, submit one copy to the Community Planning
and Development (CPD) Director in the appropriate HUD Field Office for
the HBCU. The list of HUD Field Offices is included in the application
kit.
HUD will accept only one application per HBCU. If HUD receives more
than one application from a single HBCU, the application that was
received earliest will be considered for funding. All others are
ineligible. If HUD receives more than one application simultaneously
from an HBCU then all applications will be considered ineligible for
funding. You should take this policy into account to ensure that
multiple applications are not submitted.
For Application Kits. For an application kit and any supplemental
information, you should call the SuperNOFA Information Center at 1-800-
HUD-8929. If you have a hearing or speech impairment please call the
Center's TTY number at 1-800-843-2209. When requesting an application
kit, you should refer to the HBCU Program and provide your name,
address (including zip code), and telephone number (including area
code). You may also download the application on the Internet through
the HUD web site at http://www.hud.gov.
For Further Information. For answers to your questions, you have
several options. You may call Ms. Delores Pruden, Historically Black
Colleges and Universities Program, Office of Community Planning and
Development, Department of Housing and Urban Development, 451 Seventh
St, SW, Washington, DC 20410; telephone (202) 708-1590. (This is not a
toll-free number.) If you have a hearing or speech impairment, you may
access this number via TTY by calling the Federal Information Relay
Service toll-free at 1-800-877-8339. You may also obtain information
from the HUD Field Office located in your geographic area. The
application kit contains the names, addresses and telephone numbers of
the HUD Field Offices. For general information and information
regarding training on this HBCU Program section of the SuperNOFA, you
can call the SuperNOFA Information Center at 1-800-HUD-8929.
II. Amount Allocated
(A) In order to ensure that some previously unfunded HBCUs will
receive awards in this competition, approximately one-fourth of the
available funds will be awarded to HBCUs that have not previously been
funded under the HUD HBCU program. (The FY 1991 competition was the
first funded under the current HBCU Program authorization, section
107(b)(3) of the Housing and Community Development Act of 1974.)
Therefore, of the $9 million in FY 1999 funds made available under this
SuperNOFA for the HBCU Program:
(1) Approximately $2,250,000 million will be awarded to HBCUs that
have not received funding in past HUD HBCU competitions under section
107(b)(3) of the Housing and Community Development Act of 1974, as
amended. This includes competitions for Fiscal Years 1991 through 1998
(``previously unfunded HBCUs''). Previously unfunded HBCUs are listed
in Appendix A of this HBCU Program section of the SuperNOFA.
(2) The remaining approximately $6,750,000 million of FY 1999 funds
will be awarded to HBCUs that have received funding under such
competitions (``previously funded HBCUs''). Previously funded HBCUs are
listed in Appendix B of this HBCU Program section of the SuperNOFA.
If recaptured funds are made available, those funds will also be
divided proportionately between the two types of applicant funding
pools; i.e. one fourth to previously unfunded HBCUs and three fourths
to previously funded HBCUs.
HUD reserves the right to make awards for less than the maximum
amount or less than the amount requested in a particular application.
Awards will be made in the form of grants. The maximum amount awarded
to previously unfunded applicants will be $400,000 and the maximum
amount awarded to previously funded applicants will be $500,000.
(B) The maximum period for performance of your proposed program
under this SuperNOFA for the HBCU Program is 24 months. The performance
period will commence on the effective date of your grant agreement.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. Approximately $9,000,000 is available in
funding for the Historically Black Colleges and Universities (HBCU)
Program. The HBCU Program assists HBCUs expand their role and
effectiveness in addressing community development needs in their
localities, including neighborhood revitalization, housing, and
economic development, consistent with the purposes of Title I of the
Housing and Community Development Act of 1974, as amended.
(1) For the purposes of this program, the term ``locality''
includes any city, county, town, township, parish, village, or other
general political subdivision of a State or the U.S. Virgin Islands
within which an HBCU is located.
(2) If your HBCU is located in a metropolitan statistical area
(MSA), as established by the Office of Management and Budget, you may
consider your
[[Page 9662]]
locality to be one or more of these entities within the entire MSA. The
nature of the locality for each HBCU may differ, therefore, depending
on its location.
(3) A ``target area'' is the locality or the area within the
locality in which your HBCU will implement its proposed HUD grant
activities.
(B) Eligible Applicants. Only HBCUs as determined by the Department
of Education in 34 CFR 608.2 in accordance with that Department's
responsibilities under Executive Order 12876, dated November 1, 1993,
are eligible for funding under the HBCU Program. As indicated above,
funds available under this program will be split between two classes of
HBCU applicant, which will be rated, ranked, and selected separately.
(1) The first category of eligible applicant, previously unfunded
HBCUs, includes HBCUs that have not received funding under section
107(b)(3)13 of the Housing and Community Development Act of 1974, which
includes competitions for Fiscal Years 1991 through 1998.
(2) The second category, previously-funded HBCUs, includes HBCUs
that have received funding in past HUD HBCU competitions. Lists of
previously unfunded HBCUs and previously funded HBCUs appear as
Appendices A and B to the HBCU Program section of the SuperNOFA. HUD
will use these lists to determine in which category your application
should be considered.
(C) Eligible Activities. (1) General. Each activity you propose for
funding must meet both a Community Development Block Grant (CDBG)
Program national objective AND the CDBG eligibility requirements.
Eligible activities that may be funded under the HBCU Program are those
activities eligible for CDBG funding. The activities are listed in 24
CFR part 570, subpart C, particularly Secs. 570.201 through 570.206.
Ineligible activities are listed at Sec. 570.207. If you propose an
activity which otherwise is eligible it may not be funded if State or
local law requires that it be carried out by a governmental entity.
HUD will not fund specific proposed activities that do not meet
eligibility requirements (see, particularly, 24 CFR part 570, subpart
C), or that do not meet a national objective in accordance with 24 CFR
570.208. The CDBG Publication entitled ``Everything You Wanted to Know
About CDBG'' discusses the regulations, and a copy can be ordered from
HUD's SuperNOFA Information Center at 1-800-HUD-8929. Each activity
that may be funded under this SuperNOFA for the HBCU Program must meet
one of the three national objectives of the Community Development Block
Grant program which are:
(a) Benefit to low- or moderate-income persons;
(b) Aid in the prevention or elimination of slums or blight; or
(c) Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs.
Criteria for determining whether an activity addresses one or more
of these objectives are provided at 24 CFR 570.208. (It is not
necessary for you to comply with the requirement that not less than 70%
of the grant expenditures be for activities benefiting low and moderate
income persons).
(2) Examples of Eligible Activities. Examples of activities that
generally can be carried out with these funds include, but are not
limited to:
(a) Acquisition of real property;
(b) Clearance and demolition;
(c) Rehabilitation of residential structures to increase housing
opportunities for low- and moderate-income persons and rehabilitation
of commercial or industrial buildings to correct code violations or for
certain other purposes; e.g., making accessibility and visitability
modifications to housing. If you are proposing to undertake this
activity, you will be required to provide reasonable estimates, from a
qualified entity other than your university, of the cost to complete
projects. Such an entity must be involved in the business of housing
rehabilitation, construction and/or management;
(d) Direct homeownership assistance to low- and moderate-income
persons, as provided in section 105(a)(25) of the Housing and Community
Development Act of 1974;
(e) Acquisition, construction, reconstruction, rehabilitation, or
installation of public facilities and improvements, such as water and
sewer facilities and streets. If you are proposing to undertake this
activity, you will be required to provide reasonable estimates, from a
qualified entity other than you, of the cost to complete projects. Such
an entity must be involved in the business of housing rehabilitation,
construction and/or management;
(f) Special economic development activities described at 24 CFR
570.203;
(g) Eligible public service activities, including activities that
provide a continuum of care for the homeless; adult basic education
classes; GED preparation and testing; HBCU curriculum development of
courses which will lead to a certificate or degree in community
planning and development; job and career counseling and assessment;
citizen participation academies, and public access telecommunications
centers including ``Campus of Learners'' (COL) and ``Neighborhood
Networks'' (NN); social and medical services; fair housing services
designed to further the fair housing objectives of the Fair Housing Act
(42 U.S.C. 3601-20) by making all persons, without regard to race,
color, religion, sex, national origin, family status and/or disability
aware of the range of housing opportunities available to them; and/ or
other support activities for low- and moderate-income residents, senior
citizens and youth, including the U.S. Department of Education's
Gaining Early Awareness and Readiness for Undergraduate Programs (GEAR
UP). (For more information regarding GEAR UP, call 1-800-USA-LEARN or
visit the Department of Education's website at www.ed.gov);
(h) Assistance to facilitate economic development by providing
technical or financial assistance for the establishment, stabilization,
and expansion of microenterprises, including minority enterprises;
(i) Establishment of a Community Development Corporation (CDC) to
undertake eligible activities;
(j) Assistance to a community based development organization (CBDO)
to carry out a CDBG neighborhood revitalization, community economic
development, or energy conservation project, in accordance with 24 CFR
570.204. This could include activities in support of a HUD approved
local CDBG Neighborhood Revitalization Strategy (NRS) or HUD approved
State CDBG Community Revitalization Strategy (CRS). If you are
proposing a Community Development Corporation (CDC) component, it may
qualify for CBDO activities; and
(k) Program administration costs related to the planning and
execution of community development activities assisted in whole or in
part with grant funds. In order to enhance the capacity of HBCUs
eligible under this SuperNOFA, you may propose to use up to 10% of the
award funds to acquire technical assistance (TA) from a qualified TA
provider to assist you in implementing your proposed activities. While
you are responsible for ensuring that potential TA providers are
qualified, we would expect that the most qualified providers would be
[[Page 9663]]
entities/organizations that have demonstrated the expertise and
capacity to successfully conceptualize, develop and implement community
and economic development projects and initiatives similar to those you
propose. Previously unfunded HBCUs are particularly encouraged to
consider acquiring technical assistance from a qualified HBCU TA
provider, as described in the paragraph below entitled ``Partnering
With A Qualified HBCU Technical Assistance (TA) Provider.''
(3) Activities Designed to Promote Training and Employment
Opportunities. In selecting proposed eligible activities, we urge you
to consider undertaking activities designed to promote opportunities
for training and employment of low-income residents in connection with
HUD initiatives such as ``Campus of Learners'' (COL) in public housing
and ``Neighborhood Networks'' (NN) in other Federally-assisted or
insured housing. We also encourage you, whenever feasible, to propose
implementing activities in a Federally-designated Urban or Rural (HUD
or Department of Agriculture) Empowerment Zone, Urban or Rural
Enterprise Community (EZ or EC), or a HUD-approved local CDBG
Neighborhood Revitalization Strategy Area or HUD-approved State CDBG
Community Revitalization Strategy Area.
(4) Use of Grant Funds for Acquisition of Computer Hardware and
Software. We encourage you to propose the use of grant funds, at
reasonable levels, for the acquisition of computer hardware and
software compatible with Internet access and HUD's Community Planning
2020 Software, if you do not currently have such capability. You may
obtain more information on the Community 2020 Software from your local
HUD Community Planning and Development Office.
(5) Use of Grant Funds for the Provision of Public Services. If you
plan to use grant funds to provide public services, you are bound by
the statutory requirement that not more than 15% of the total grant
amount be used for public service activities. Therefore, you must
propose to use at least 85% of the grant amount for activities
qualifying under an eligibility category other than public services (as
described at 24 CFR 570.201(e)). While HUD encourages HBCUs to use a
portion of their grant funds for curriculum development of courses that
would lead to a certificate or degree in community planning and
development, this activity is considered a public service and subject
to the public service cap of 15%.
(6) Partnering With A Qualified HBCU Technical Assistance (TA)
Provider. In order to foster further partnerships between HBCUs, you
are encouraged to propose using a portion of the award funds to acquire
technical assistance from a qualified HBCU to assist you to develop and
implement the proposed activities. The cost for the technical
assistance must be for post award assistance and must be deemed by HUD
as necessary and reasonable for the purposes of the grant. Under no
circumstances may an applicant use more than 10 percent of the total
HUD grant (not including matching funds, if any) to purchase technical
assistance. While you are responsible for ensuring that potential TA
providers are qualified, we would expect that the most qualified HBCU
TA providers would be previously funded HBCUs that have demonstrated
the expertise and capacity to successfully conceptualize, develop and
implement community and economic development projects and initiatives,
particularly by successfully carrying out activities funded under the
HUD HBCU Program.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, you are subject to the following
requirements:
(A) Leveraging
Although a match is not required to qualify for funding, if you
claim a match, you must provide letters or other documentation
evidencing the extent and firmness of commitments of a match from other
Federal (e.g., Americorps Programs), State, local, and/or private
sources (including the applicant's own resources). These letters or
documents must be dated no earlier than the date of this published
SuperNOFA. If you have evidence in support of the proposed match
commitment, then you are eligible for more rating points than those
applicants not having a firm commitment for a match.
Potential Sources of Assistance
State and local governments.
Housing Authorities.
Local or national nonprofit organizations.
Banks and private businesses.
Foundations.
Faith Communities.
Documentation Requirements
For each match, cash or in kind, you must submit a letter from the
provider on the provider's letterhead. Number each letter as a page in
your application. For each match, include a letter from the provider
that addresses the following:
The dollar amount or dollar value of the in-kind goods
and/or services committed. For each cash match, the dollar amount in
the commitment letter must be consistent with the dollar amount you
indicated on the Standard Form (SF) 424 and in the Budget-By-Task;
How the match is to be used;
The date the match will be made available and a statement
that it will be for the duration of the grant period;
Any terms and conditions affecting the commitment, other
than receipt of a HUD HBCU Grant; and
The signature of the appropriate executive officer
authorized to commit the funds and/or goods and/or services. (See the
application kit for a sample commitment letter.)
(B) Forms, Certifications and Assurances
The following forms, certifications and assurances are required to
be submitted with your application:
(1) Standard Form (SF) 424 Application for Federal Assistance;
(2) Standard Form (SF) 424 B for Non-Construction Programs;
(3) Applicant Certification;
(4) Certification of Consistency with the Local Consolidated Plan;
and
(5) Letter Certifying Local Approval.
(6) Certification Form for EZ/EC bonus points. These bonus points
will only be awarded when the HBCU is located within the geographic
boundaries of a high performing EZ/EC.
(C) Employment of Local Area Residents (Section 3)
Please see Section II(E) of the General Section of this SuperNOFA.
The requirements are applicable to certain activities that may be
funded under this program section of the SuperNOFA.
V. Application Selection Process
(A) Rating and Ranking
(1) Threshold Review. HUD will conduct a review to insure that
applications are complete and consistent with the General Section of
the SuperNOFA, this HBCU Program section of the SuperNOFA and the HBCU
Program regulations (24 CFR 570.404) before reviewing the application
for rating and ranking. The General Section of the SuperNOFA provides
the procedures for corrections to deficient applications.
(2) Funding of Applications. To be considered for funding, your
application
[[Page 9664]]
must receive a minimum score of 70 out of the possible total of 100
points possible for Factors 1 through 5. In addition, two bonus points
may be awarded for EZ/EC, as described in the General Section of the
SuperNOFA. Within each category of eligible applicant, HUD will fund
applications in rank order, until it has awarded all available funds
for that category of applicant, or until there are no fundable
applications remaining in that category. If there is a tie in the point
scores of two applications, the rank order will be determined by the
score on Factor 3, 4, 2, 1, 5 in that order. HUD will give the higher
rank to the application with the most points for a factor in the above
order. At whichever factor one of the applicants has the higher score,
the tie will be broken, and no other scores will be considered for the
purpose of breaking the tie.
If funds remain after approving all fundable applications within a
category of applicants, HUD may choose to add those funds to the funds
available for the other category of applicants.
(3) After Selection. After selection, but prior to grant award, you
will be required to:
(a) Negotiate. After HUD has rated and ranked all applications and
HUD has selected the competition winners, HUD requires that all winners
participate in negotiations to determine the specific terms of the
Statement of Work and the grant budget. HUD will follow the negotiation
procedures described in Section III(D) of the General Section of the
SuperNOFA.
(b) Provide Financial Management and Audit Information. If you are
selected for funding, you will be required to submit a certification
from an Independent Public Accountant, or the cognizant government
auditor, stating that the financial management system employed by you
meets prescribed standards for fund control and accountability required
by OMB Circular A-133, as codified at 24 CFR part 84.
(B) Factors for Award Used To Evaluate and Rate Applications
HUD will use the Factors For Award set forth below to evaluate
applications. Your application must contain sufficient information for
HUD to review it for its merits. The score for each factor will be
based on the qualitative and quantitative aspects of your response to
that factor. You may use up to a total of twenty-five (25) pages to
respond to Factor 1 through 5. This limitation applies to your
narrative response, tables, and maps, and NOT to firm commitment
letters, the performance narrative and progress reports for previously-
funded HBCUs. Please note that this page limitation is different from
last year's in that (1) the page limitation has been decreased and (2)
tables and maps are included in the limitation.
The maximum number of points that may be awarded is 102. This
includes two EZ/EC bonus points, as described in the General Section of
the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (15 Points)
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement your
proposed activities in a timely manner. In rating this factor, HUD will
consider the extent to which:
(1) (10 points) Your application demonstrates the knowledge and
experience of the overall project director and staff, including the
day-to-day program manager, consultants (including TA providers) and
contractors in planning and managing the kinds of programs for which
funding is being requested. Experience will be judged in terms of
recent, relevant and successful experience of your staff to undertake
eligible program activities. In rating this factor, HUD will consider
the extent to which your organization and staff have recent, relevant,
and successful experience in:
(a) Undertaking specific successful community development projects
with community-based organizations or local governments; and
(b) Providing proven leadership in solving community problems which
have a direct bearing on the proposed activity.
(c) Also, for previously funded HBCUs, the extent to which you have
been successful with past HUD/HBCU projects. For each HUD HBCU grant,
you must submit a performance narrative, as outlined in the application
package, and copies of the last two progress reports. HUD will consider
your performance, including meeting established target dates and
schedules, in applying the rating for this subfactor.
(2) (5 points) You propose to partner with a qualified HBCU
technical assistance (TA) provider to receive technical assistance.
Qualified HBCUs that will provide the technical assistance to other
HBCUs responding to this SuperNOFA can also be awarded five (5) points
for this subfactor. Whether you are a TA recipient or a TA provider,
you must (a) name the other party to the TA assistance; (b) describe
the technical assistance to be provided; (c) state the costs of the
technical assistance; (d) state the duration of the technical
assistance; and (e) state the expected results of the technical
assistance.
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for
funding your proposed program activities and an indication of the
importance of meeting the need in the target area. In responding to
this factor, you will be evaluated on the extent to which you document
the level of need for the proposed activities and the importance of
meeting the need.
You should use statistics and analyses contained in a data
source(s) that:
(a) Are sound and reliable. To the extent that your community's
Consolidated Plan and Analysis of Impediments to Fair Housing Choice
(AI) identify the level of the problem and the urgency in meeting the
need, you should include references to these documents in your response
to this factor. The Department will view your application more
favorably if you have used these documents to identify need.
If your proposed activities are not covered under the scope of the
Consolidated Plan and AI, you should indicate such, and use other sound
data sources to identify the level of need and the urgency in meeting
the need. Types of other sources include, but are not limited to,
Census reports, HUD's Continuum of Care gaps analysis, law enforcement
agency crime reports, Public Housing Authorities' Comprehensive Plan,
community needs analysis such as provided by the United Way, local
Urban League, the HBCU and other sound and reliable sources appropriate
for the HBCU program. You also may address needs in terms of fulfilling
court orders or consent decrees, settlements, conciliation agreements,
and voluntary compliance agreements.
(b) To the extent possible, the data you use should be specific to
the area where the proposed activities will be carried out. You should
document needs as they apply to the area where the activities will be
targeted, rather than the entire locality or State, unless the target
area is the entire locality or State.
Rating Factor 3: Soundness of Approach (50 Points)
This factor addresses the quality and cost-effectiveness of your
proposed work plan. There must be a clear relationship between the
proposed activities, the community's needs and
[[Page 9665]]
the purpose of the HUD HBCU Program for you to receive points for this
factor.
HUD will consider the effectiveness/impact and feasibility of your
work plan in addressing the needs described in your response to Factor
2 (Needs) including the extent to which you will provide geographic
coverage for the target area.
(1) Quality of the Work Plan (35 Points). Your work plan must
incorporate all proposed activities, describing in detail how your
activities will alleviate and/or fulfill the needs identified in Factor
2, including how your activities will benefit low-income and elderly
residents, welfare recipients, and the working poor in the target area
to be served, and how your activities will be implemented. If
relocation is to be a part of your work activities, you should discuss
your plan for temporary or permanent relocation of occupants of units
affected, including storage or moving of household goods, stipends and/
or incentives. Your work plan must delineate tasks and subtasks for
each activity, and indicate the sequence in which the tasks are to be
performed, noting areas of work which must be performed simultaneously.
In evaluating this factor, HUD will consider:
(a) Specific Services or Activities. (20 points) The extent to
which your proposed work program identifies the specific services or
activities to be performed. In reviewing this subfactor, HUD will
consider the extent to which:
(i) Your proposal outlines a clear agenda based on a thorough
familiarity with existing work/activities in the target area. You
should demonstrate that your proposed activities do not duplicate work/
activities previously completed or work/activities currently underway
by others and that they meet a CDBG national objective and are eligible
activities under the CDBG program;
(ii) You demonstrate how the activities will fit into and
strengthen your role in addressing community development needs in the
targeted locality, and how the proposed project will potentially yield
innovative strategies or ``best practices'' that can be duplicated and
disseminated to other organizations; and
(iii) Your plan outlines a clear agenda for citizen involvement in
the planning and implementation. HUD will look at the extent to which:
Local community representatives are involved and reflect a
balance of race, ethnic, disability, gender and income of the residents
of the community to be served, or will be involved to address the needs
identified in Factor 2;
Evidence is provided that neighborhood organizations and
local government entities were invited to, or participated in, the
identification of activities to be undertaken; and
The methods you used for outreach to the community during
the development of your application and propose to use for the
implementation of the proposed project will be effective.
(b) Feasibility of Success and Timely Delivery of Products and
Implementation. (10 points) In evaluating this subfactor, HUD will
consider the extent to which your proposed activities will achieve the
purposes of the program within the grant period, and the extent to
which your schedule represents an efficient and feasible plan for
implementation of your proposed activities. You should identify
measurable objectives to be accomplished during the period of
performance e.g., the number of persons to be trained, number of
persons to be employed, number of houses to be built (pursuant to 24
CFR 570.207) or rehabilitated, number of minority owned businesses to
be started, etc.; the proposed short and long term program objectives
to be achieved as a result of your proposed activities; the tangible
and measurable impacts your work program will have on the community in
general and the target area or population in particular; and the
relationship of your proposed activities to other on-going or proposed
efforts to improve the economic, social, or living environment in the
target area.
Your work plan must describe the timing of all activities you will
undertake and complete under your grant. You should describe the
products you will deliver in 6 month intervals, up to 24 months and
indicate which staff described in your response to Factor 1 will be
responsible and accountable for the deliverables.
(c) HUD Priorities. (5 points) The extent to which your proposed
application will further and support the policy priorities of HUD
including:
(i) Promoting healthy homes;
(ii) Enhancing on-going efforts to eliminate drugs and crime from
neighborhoods through program policy efforts such as ``one Strike and
You Are Out'' or the ``Officer Next Door'' initiative; and
(iii) Providing educational, job training, and homeownership
opportunities through such initiatives as Neighborhood Networks and
Campus of Learners, and linking programs to Americorps activities.
The Healthy Homes initiative implements a series of initiatives to
protect children from home hazards such as lead-based paint, radon,
fires and accidents around the home.
The Neighborhood Networks (NN) initiative enhances the self-
sufficiency, employability, and economic self-reliance of low-income
families and the elderly living in HUD-insured and HUD-assisted
properties by providing such residents with on-site access to computer
and training resources.
The Campus of Learners (COL) initiative is designed to transform
public housing into safe and livable communities where families
undertake training in new telecommunications and computer technology
and partake in educational opportunities and job training initiatives.
(2) Institutionalization of Project Activities (10 Points). The
extent to which your project will result in the kinds of activities
being proposed sustained by becoming part of the mission of your
institution. HUD will look at your commitment to continuing to work in
the target area or other similar areas and to your longer term
commitment of hard dollars to similar work.
(3) Affirmatively Furthering Fair Housing (5 Points). Activities to
affirmatively further fair housing, for example:
(a) Overcoming impediments to fair housing, such as discrimination
in the sale or rental of housing or in advertising, provision of
brokerage services, or lending;
(b) Promoting fair housing through the expansion of homeownership
opportunities and improved quality of services for minorities, families
with children, and persons with disabilities; or
(c) providing mobility counseling.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure community resources
which can be combined with HUD program funds to assist HBCUs expand
their role and effectiveness in addressing community development needs
in their localities, including neighborhood revitalization, housing,
and economic development.
In evaluating this factor, HUD will consider the extent to which
you have established partnerships with other entities to secure
additional resources to increase the effectiveness of your proposed
activities. Resources may include funding or in-kind contributions,
such as services or equipment, allocated solely to the purpose(s) of
the award you are seeking.
[[Page 9666]]
Resources may be provided by governmental entities, public or private
nonprofit organizations, for-profit private organizations, or other
entities. You may also establish partnerships with other program
funding recipients to coordinate the use of resources in the target
area.
You must provide letters or other documentation evidencing the
extent and firmness of commitments of a match from other Federal (e.g.,
Americorps Programs), State, local, and/or private sources (including
your own resources). These commitment letters or documents must be
dated no earlier than the date of this published SuperNOFA. If you have
evidence in support of your proposed match commitment, you are eligible
for more rating points than applicants who do not have a firm
commitment for a match.
The maximum number of rating points you can receive for leveraging
is 10 points. HUD will award a higher number of points for a CASH match
than in-kind goods or services of the same value. To be recognized as
leveraging, contributions must be made available for performance of
pertinent grant activity(ies). If you do not have evidence of
leveraging, you will receive zero (0) points for this Factor.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you have coordinated your
activities with other known organizations, participate or promote
participation in your community's Consolidated Planning process, and
are working towards addressing a need in a holistic and comprehensive
manner through linkages with other activities in the community. For
specific information about your locality's planning process, contact
the local or State Community Development Agency or the local HUD Field
Office.
In evaluating this factor, HUD will consider the extent to which
you demonstrate you have:
(1) (4 points) Coordinated your proposed activities with those of
other groups or organizations before submission in order to best
complement, support and coordinate all known activities, and if funded,
the specific steps you will take to share information on solutions and
outcomes with others. You should describe any written agreements,
memoranda of understanding in place, or that will be in place after
award.
(2) (3 points) Taken or will take specific steps to become active
in the community's Consolidated Planning process (including the
Analysis of Impediments to Fair Housing Choice) established to identify
and address a need/problem that is related to your proposed activities.
(3) (3 points) Taken or will take specific steps to develop
linkages to coordinate comprehensive solutions through meetings,
information networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other Federal, State or locally funded activities, including
those proposed or on-going in the community.
VI. Application Submission Requirements
You must complete and submit your application for an HBCU grant in
accordance with instructions contained in the University and College
Programs Application Kit for 1999. The application kit will request
information in sufficient detail for HUD to determine whether your
proposed activities are feasible and meet all the requirements of
applicable statutes, regulations, and this SuperNOFA for the HBCU
Program. Following is a list of items required for your HBCU
application:
(A) Transmittal Letter. A transmittal letter must accompany your
application. Your cover letter must be signed by the Chief Executive
Officer (usually the President or Provost) of your institution. If the
Chief Executive Officer has delegated this responsibility to another
official, that person may sign, but a copy of the delegation must also
be included.
(B) Application Checklist.
(C) Abstract/Executive Summary (one page limit) describing the
goals and activities of your project.
(D) Budget Document The budget presentation must be consistent with
the Work Plan and the Standard Form (SF) 424. Your budget submission
must include: (1) a budget summary covering the Federal and non-Federal
share of the costs proposed by cost category. You should pay particular
attention to accurately estimating costs, determining the necessity for
and reasonableness of costs; and correctly computing all budget items
and totals. Indirect costs must be substantiated and approved by the
cognizant Federal agency or you must provide an indirect cost rate
plan. The indirect cost rate should be indicated in your budget; (2) a
budget justification, which should be a narrative statement indicating
how you arrived at your costs. When possible, you should use quotes
from vendors or historical data. You must support all direct labor and
salaries with mandated city/state pay scales or other documentation;
and (3) a budget-by-task which includes a listing of tasks to be
completed for each activity needed to implement the program, the
overall costs for each task, and the cost for each funding source.
You must submit reasonable cost estimates supplied by a qualified
entity other than yourself if you are proposing to do any of the
following: rehabilitation of residential, commercial and/or industrial
structures; and/or acquisition, construction, or installation of public
facilities and improvements. The supplier of cost estimates must be
involved in the business of housing rehabilitation, construction and/or
management. You may obtain guidance for securing these estimates from
the CPD Director in the HUD field office or the local government. A
format for the budget summary and the budget-by-task is included in the
application kit.
(E) Narrative Statement Responding To The Factors For Award (25
page limit, including tables and maps, but not including firm
commitment letters, the performance narrative and progress reports).
The narrative should be numbered in accordance with each factor and
subfactor.
(F) Certifications. All certification forms must be signed by the
Chief Executive Officer of your organization.
HUD will not consider appendices to an application. You must submit
your documentation, including firm commitment letters, the performance
narrative and progress reports, with your responses to the pertinent
factors in order to receive points for it.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Review
If you propose activities (such as physical development activities)
that are not excluded from environmental review under 24 CFR 50.19(b),
an environmental review by HUD staff is required in accordance with 24
CFR part 50, as indicated by 24 CFR 570.404(i), before HUD approves the
proposal (i.e., releases CDBG funds). Before any HUD grant funds are
released, environmental approval must be secured. If the requirements
of part 50 are not met, HUD reserves the right to terminate all or
portions of the award. You are not authorized to proceed with any
activity requiring approval until written approval is received from the
appropriate HUD Field Environmental Clearance Officer in your area
certifying
[[Page 9667]]
that the project has been approved and released from all environmental
conditions.
IX. Authority
This program is authorized under section 107(b)(3) of the Housing
and Community Development Act of 1974 (the 1974 Act) (42 U.S.C.
5307(b)(3)), which was added by section 105 of the Department of
Housing and Urban Development Reform Act of 1989 (Pub.L. 101-235). The
HBCU Program is governed by regulations contained in 24 CFR 570.400 and
570.404, and in 24 CFR part 570, subparts A, C, J, K, and O.
HBCU Program Appendix A
Historically Black Colleges and Universities (Previously Unfunded
By HUD During Fiscal Years 1991-1998)
Alabama
Bishop State Community College
Concordia College
Fredd State Technical College
Lawson State Community College
Miles College
Selma University
J.F. Drake Technical College
Trenholm State Technical College
Arkansas
Shorter College
Delaware
Delaware State University
Florida
Bethune-Cookman College
Edward Waters College
Florida Memorial College
Georgia
Morehouse College
Morehouse School of Medicine
Paine College
Louisiana
Dillard University
Southern University at Shreveport/Bossier City
Maryland
University Of Maryland Eastern Shore
Michigan
Lewis College of Business
Mississippi
Hinds Community College
Mary Holmes College
North Carolina
Barber-Scotia College
Livingstone College
Ohio
Wilberforce University
Pennsylvania
Cheyney University of Pennsylvania
South Carolina
Allen University
Clinton Junior College
Denmark Technical College
Morris College
Tennessee
Knoxville College
Lane College
Meharry Medical College
Tennessee State University
Texas
Jarvis Christian College
Southwestern Christian College
Texas College
Virginia
Virginia Union University
West Virginia
Bluefield State College
West Virginia State University
U.S. Virgin Islands
University of the Virgin Islands
HBCU Program Appendix B
Historically Black Colleges and Universities (Previously Funded By
HUD During Fiscal Years 1991-1998)
Alabama
Alabama A&M University
Alabama State University
Gadsden State Community College
Oakwood College
Stillman College
Talladega College
Tuskegee University
Arkansas
Arkansas Baptist College
Philander Smith College
University of Arkansas at Pine Bluff
District of Columbia
Howard University
University of the District of Columbia
Florida
Florida A&M University
Georgia
Albany State University
Clark Atlanta University
Fort Valley State University
Interdenominational Theological Center
Morris Brown College
Savannah State University
Spelman College
Kentucky
Kentucky State University
Louisiana
Grambling State University
Southern University A & M College System at Baton Rouge
Southern University at New Orleans
Xavier University of New Orleans
Maryland
Bowie State University
Coppin State College
Morgan State University
Mississippi
Alcorn State University
Coahoma Community College
Jackson State University
Mississippi Valley State University
Rust College
Tougaloo College
Missouri
Harris-Stowe State College
Lincoln University
North Carolina
Bennett College
Elizabeth City State University
Fayetteville State University
Johnson C. Smith University
North Carolina A&T State University
North Carolina Central University
St. Augustine's College
Shaw University
Winston-Salem State University
Ohio
Central State University
Oklahoma
Langston University
Pennsylvania
Lincoln University
South Carolina
Benedict College
Claflin College
South Carolina State University
Voorhees College
Tennessee
Fisk University
Lemoyne-Owen College
Texas
Huston-Tillotson College
Paul Quinn College
Prairie View A&M University
Saint Philip's College
Texas Southern University
Wiley College
Virginia
Hampton University
Norfolk State University
Saint Paul's College
Virginia State University
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Notices
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BILLING CODE 4210-32-C
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Notices
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Funding Availability for the Hispanic-Serving Institutions
Assisting Communities Program
Program Overview
Purpose of the Program. To assist Hispanic-serving institutions of
higher education (HSIs) expand their role and effectiveness in
addressing community development needs in their localities, consistent
with the purposes of Title I of the Housing and Community Development
Act of 1974, as amended.
Available Funds. Approximately $5.65 million.
Eligible Applicants: Only nonprofit Hispanic-serving institutions
of higher education that meet the definition of an HSI established in
Title V of the 1998 Amendments to the Higher Education Act of 1965
(Pub. L. 105-244; enacted October 7, 1998).
Application Deadline. June 9, 1999.
Match. None.
Additional Information:
If you are interested in applying for funds under the HSIAC
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. Your completed application is due on or
before 12:00 midnight, Eastern Time on June 9, 1999 at HUD
Headquarters.
See the General Section of this SuperNOFA for specific procedures
covering the form of the application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Submit your original signed
application and two copies to the following address: Processing and
Control Branch, Office of Community Planning and Development,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Room 7251, Washington, DC, 20410. When submitting your application,
please refer to HSIAC and include your name, mailing address (including
zip code) and telephone number (including area code).
HUD will accept only one application per HSI for this program. If
your institution submits more than one application, all of your
applications for HSIAC will be disqualified. You should take this
policy into account and take steps to ensure that multiple applications
are not submitted.
For Application Kits. For an application kit and any supplemental
information, you should call the SuperNOFA Information Center at 1-800-
HUD-8929. If you have a hearing or speech impairment, please call the
Center's TTY number at 1-800-843-2209. When requesting an application
kit, you should refer to HSIAC Program and provide your name and
address (including zip code) and telephone number (including area
code). You may also access the application on the Internet through the
HUD web site at www.hud.gov.
For Further Information and Technical Assistance. For answers to
your questions, you have several options. You may call Jane Karadbil of
HUD's Office of University Partnerships at 202-708-1537, extension
5918. If you have a hearing or speech impairment, you may access this
number via TTY by calling the Federal Information Relay Service toll-
free at 1-800-877-8339. You may also write to Ms. Karadbil via email at
[email protected]
There will be an information broadcast via satellite so that you
can learn more about this program and how to prepare an application.
For more information about the date and time of this broadcast, you
should consult the HUD web site.
II. Amount Allocated
Approximately $5.65 million in FY 1999 funds is being made
available under this SuperNOFA for HSIAC. The maximum grant period is
24 months. The performance period will commence on the effective date
of the grant agreement. The maximum amount request and amount to be
awarded is $400,000. Since the Statement of Work and other facets of
the technical review are assessed in the context of the proposed budget
and grant request, and in the interest of fairness to all applicants,
if you submit an application requesting more than $400,000 in HUD
funds, it will be ruled ineligible. HUD reserves the right to make
awards for less than the maximum amount or less than the amount
requested in your application.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. The purpose of HSIAC is to assist HSIs
expand their role and effectiveness in addressing community development
needs in their localities, including neighborhood revitalization,
housing, and economic development.
(1) For the purposes of this program, the term ``locality''
includes any city, county. Township, parish, village, or other general
political subdivision of a State, Puerto Rico, or the U.S. Virgin
Islands within which your HSI is located.
(2) If your HSI is located in a metropolitan statistical area
(MSA), as established by the Office of Management and Budget, you may
consider your locality to be one or more of these entities within the
entire MSA. The nature of the locality for each HSI may differ,
therefore, depending on its location.
(3) A ``target area'' is the locality or the area within the
locality in which your institution will implement its proposed HUD
grant.
(B) Eligible Applicants. Only if your institution is a nonprofit
institution of higher education and meets the statutory definition of
an HSI in Title V of the 1998 Amendments to the Higher Education Act of
1965 (P.L. 105-244) are you eligible to apply. In order for you to meet
this definition, at least 25 percent of the full-time undergraduate
students enrolled in your institution must be Hispanic and not less
than 50 percent of these Hispanic students must be low-income
individuals. You are not required to be on the list of eligible
institutions prepared by the U.S. Department of Education. However, if
you are not, you will be required to certify in the application that
you meet the statutory definition.
(C) Eligible Activities. (1) General. Each activity you propose for
funding must meet both a Community Development Block Grant Program
(CDBG) national objective and the CDBG eligibility requirements. A
discussion of the national objectives can be found at 24 CFR part
570.208. There are three national objectives:
(a) Benefit to low- and moderate-income persons;
(b) Aid in the prevention or elimination of slums or blight; or
(c) Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs.
(It is not necessary for you to comply with the requirement that not
less than 70% of the grant expenditures be for activities benefiting
low- and moderate-income persons.)
You can find the regulations governing activities eligible under
the CDBG program at 24 CFR part 570, subpart C, particularly
Secs. 570.201 through 570.206. Ineligible activities are listed at
Sec. 570.207. The CDBG publication entitled ``Everything You Wanted to
Know About CDBG''
[[Page 9672]]
discusses the regulations. You can obtain a copy from the SuperNOFA
Information Center. If you propose an activity which otherwise is
eligible, it may not be funded if State or local law requires that it
be carried out by a governmental entity.
In addition, you may not propose the construction or rehabilitation
of your own facilities unless you can demonstrate that such activities
would meet the purpose of this program to expand the role and
effectiveness of an HSI in its locality. HUD will scrutinize proposed
activities for eligibility. As examples of eligible and ineligible on-
campus activities, rehabilitating a library for use by your students
would not be an eligible activity, but rehabilitating it to convert it
to a micro-business enterprise center for the community would be.
(2) Examples of Eligible Activities. Examples of activities that
generally can be carried out with these funds, under one of the three
national objectives, include, but are not limited to:
(a) Acquisition of real property;
(b) Clearance and demolition;
(c) Rehabilitation of residential structures to increase housing
opportunities for low- and moderate-income persons and rehabilitation
of commercial or industrial buildings to correct code violations or for
certain other purposes, e.g., making accessibility and visitability
modifications to housing;
(d) Direct homeownership assistance to low- and moderate-income
persons, as provided in section 105(a)(25) of the Housing and Community
Development Act of 1974;
(e) Acquisition, construction, reconstruction, rehabilitation, or
installation of public facilities and improvements, such as water and
sewer facilities and streets;
(f) Special economic development activities described at 24 CFR
570.203;
(g) Up to 15 percent of the grant for eligible public services
activities including:
(i) Work study programs that meet the program requirements of the
Hispanic-serving Institutions Work Study program, which can be found at
24 CFR 570.416;
(ii) Outreach and other program activities as described in the
Community Outreach Partnership Centers Program section of the
SuperNOFA;
(iii) Educational activities including English as a Second Language
(ESL) classes, adult basic education classes, GED preparation and
testing, and curriculum development of courses that will lead to a
certificate or degree in community planning and development;
(iv) Job and career counseling and assessment and other activities
designed to promote employment opportunities;
(v) Capacity building for community organizations;
(vi) Social and medical services for youths, adults, senior
citizens, and the homeless;
(vii) Fair housing services designed to further the fair housing
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all
persons, without regard to race, color, religion, sex, national origin,
familial status and/or disability aware of the range of housing
opportunities available to them;
(viii) Day care services and costs for the children of students
attending your institution;
(ix) Continuum of care services for the homeless;
(x) Public access telecommunications centers including ``Campus of
Learners'' and ``Neighborhood Networks;''
(xi) Services to assist low-income students to attend college, as
part of the U.S. Department of Education's Gaining Awareness and
Readiness for Undergraduate Program (GEAR UP). (For more information,
call 1-800-USA-LEARN or visit the Department of Education's website at
www.ed.gov).
(h) Assistance to facilitate economic development by providing
technical assistance or financial assistance for the establishment,
stabilization, and expansion of microenterprises, including minority
enterprises.
(i) Establishment of a Community Development Corporation (CDC) at
the institution to undertake eligible activities;
(j) Assistance to community-based development organizations (CBDO)
to carry out a CDBG neighborhood revitalization, community economic
development, or energy conservation project, in accordance with 24 CFR
570.204. This could include activities in support of a HUD approved
local CDBG Neighborhood Revitalization Strategy (NRS) or HUD approved
State CDBG Community Revitalization Strategy (CRS). If you are
proposing a Community Development Corporation (CDC) component, it may
qualify for CBDO activities;
(k) Activities designed to promote training and employment
opportunities;
(l) Up to 20% of your grant for program administration costs
related to the planning and execution of community development
activities assisted in whole or in part with grant funds. Pre-award
planning costs may not be paid out of grant funds.
(3) Use of Grant Funds for Acquisition of Computer Hardware and
Software. HUD encourages you to propose the use of grant funds, at
reasonable levels, for the acquisition of computer hardware and
software compatible with Internet access and HUD's Community Planning
2020 Software, if you do not currently have such capability. You may
obtain more information on the Community 2020 Software from the local
HUD Community Planning and Development Office.
(D) Other Requirements. (1) Leveraging. Although a match is not
required to qualify for funding, if you claim a match, you must provide
letters or other documentation evidencing the extent and firmness of
commitments of a match from other Federal (e.g., Americorps Programs),
State, local, and/or private sources (including the applicant's own
resources). These letters or documents must be dated no earlier than
the date of this published SuperNOFA.
Potential Sources of Assistance
State and local governments.
Housing Authorities.
Local or national nonprofit organizations.
Banks and private businesses.
Foundations.
Faith Communities.
Documentation Requirements
For each match, cash or in kind, you must submit a letter from the
provider on the provider's letterhead. Number each letter as a page in
the application. For each match, include a letter from the provider
that addresses the following:
The dollar amount or dollar value of the in-kind goods
and/or services committed. For each cash match, the dollar amount in
the commitment letter must be consistent with the dollar amount you
indicated on the SF-424 and in the Budget;
How the match is to be used;
The date the match will be made available and a statement
that it will be for the duration of the grant period;
Any terms and conditions affecting the commitment, other
than receipt of a HUD HSIAC Grant; and
The signature of the appropriate executive officer
authorized to commit the funds and/or goods and/or services. (See the
application kit for a sample commitment letter.)
(2) Employment of local area residents (Section 3). Please see
Section II(E) of the General Section of this SuperNOFA. The
requirements are applicable to certain activities that may be funded
under this program section of the SuperNOFA.
[[Page 9673]]
(3) Labor Standards. If you are awarded a grant, you must comply
with the labor standards as found at 24 CFR 570.6603.
(4) OMB Circulars. Your grant will be governed by the provisions of
24 CFR part 84 (Grants and Agreements with Institutions of Higher
Education, Hospitals and other Nonprofit Organizations), A-21 (Cost
Principles for Education Institutions, and A-133 (Audits of States,
Local Governments, and Non-Profit Organizations. You may not spend more
than 20% of your grant on planning or administrative costs. The
application kit contains a detailed explanation of what these costs
are. You can access the OMB circulars at the White House website at
http://whitehouse.gov/WH/EOP/OMB/html/circulars.
IV. Application Selection Process
HUD will conduct two types of review: a threshold review to
determine applicant eligibility; and a technical review to rate the
application based on the rating factors in this section.
(A) Threshold Factors for Funding Consideration
Under this threshold review, your application will be rejected from
competition if it is not in compliance with the requirements of the
General Section of the SuperNOFA or the following additional standards
are not met:
(1) You must be an eligible HSI;
(2) Your application requests a Federal grant that is no more than
$400,000 over a two-year period;
(3) There is only one application from your institution or a part
of your institution;
(4) At least one of the activities in your application is eligible.
(B) Factors for Award Used to Evaluate and Rate Applications. The
factors for rating and ranking applicants, and maximum points for each
factor, are provided below. The maximum number of points for this
program is 102. This includes two EZ/EC bonus points, as described in
the General Section of the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (15 Points)
This factor addresses the extent to which you have the organization
resources necessary to successfully implement the proposed activities
in a timely manner. In rating this factor, HUD will consider the extent
to which your application demonstrates the knowledge and experience of
the overall project director and staff, including the day-to-day
program manager, consultants and contractors in planning and managing
the kinds of programs for which funding is being requested. If this
experience is found within the HSI, you will receive higher points on
this factor than if you have secured this experience from consultants,
contractors, and other staff outside your institution. In addition, if
you demonstrate that the previous experience is for the project team
from the institution proposed for this project, you will receive higher
points than if the experiences are for people not proposed to work on
this project. Experience will be judged in terms of recent, relevant,
and successful experience of your staff to undertake activities in:
(a) Outreach activities in specific communities to solve or
ameliorate significant housing and community development issues;
(b) Undertaking specific successful community development projects
with community-based organizations; and
(c) Providing proven leadership in solving community problems which
have a direct bearing on the proposed activity.
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities and an indication of the
importance of meeting the need in the target area. In responding to
this factor, you will be evaluated on the extent to which you document
the level of need for the proposed activities and the importance of
meeting the need.
You should use statistics and analyses contained in a data
source(s) that:
(1) Is sound and reliable. To the extent that your targeted
community's Five (5) Year Consolidated Plan and Analysis of Impediments
to Fair Housing Choice (AI) identify the level of the problem and the
urgency in meeting the need, you should include references to these
documents in your response to this factor. The Department will view
your application more favorably if you have used these documents to
identify need.
If your proposed activities are not covered under the scope of the
Consolidated Plan and AI, you should indicate such, and use other sound
data sources to identify the level of need and the urgency in meeting
the need. Types of other sources include Census reports, HUD Continuum
of Care gaps analysis, law enforcement agency crime reports, Public
Housing Authorities' Comprehensive Plans, community needs analyses such
as provided by the United Way, the HSI, etc., and other sound and
reliable sources appropriate for the HSIAC program. You may also
address needs in terms of fulfilling court orders or consent decrees,
settlements, conciliation agreements, and voluntary compliance
agreements.
(2) To the extent possible, the data you use should be specific to
the area where the proposed activities will be carried out. You should
document needs as they apply to the area where the activities will be
targeted, rather than the entire locality or State, unless the target
area is the entire locality or State.
Rating Factor 3: Soundness of Approach (50 Points)
This rating factor addresses the quality and cost-effectiveness of
your proposed work plan. There must be a clear relationship between the
proposed activities, the community's needs, and the purpose of HSIAC
for you to receive points on this factor.
(1) Quality of the Statement of Work. (20 points) Your statement of
work must incorporate all proposed activities, describing in detail how
the activities will alleviate and/or fulfill the needs identified in
Factor 2 and how the activities will be implemented. In evaluating this
factor, HUD will consider:
(a) (10 points) The extent to which your proposed statement of work
identifies the specific services or activities to be performed. In
reviewing this subfactor, HUD will consider the extent to which:
(i) Your proposal outlines a clear agenda based on your familiarity
with existing work/activities in the target area. You should
demonstrate that your proposed activities do not duplicate work/
activities previously completed or currently underway by others and
that they meet a CDBG national objective and are eligible activities
under the CDBG program;
(ii) You demonstrate how your activities will fit into and
strengthen your role in addressing community development needs in your
locality; and how the proposed project will potentially yield
innovative strategies or ``best practices'' that can be duplicated and
disseminated to other organizations.
(b) (10 points) The extent to which the proposed activities involve
the communities to be served in implementation of these activities. HUD
will look at the extent to which:
(i) Representatives of the local communities (that reflect a
balance of race, ethnic, disability, gender, and income of the
residents of the community to be served) are involved or
[[Page 9674]]
will be involved to address the needs identified in Rating Factor 2;
(ii) Evidence is provided that you invited neighborhood
organizations and local government entities to participate, or that
they did participate in the identification of the activities to be
undertaken; and
(iii) The methods you used for outreach to the community during the
development of the application and propose to use for implementation of
the proposed project will be effective.
(2) Feasibility of Successful and Timely Delivery of Products and
Implementation. (10 points) Your statement of work must describe the
timing of all activities to be undertaken and completed under the
grant. You should describe the products you will deliver in 6 month
intervals, up to 24 months and indicate which staff under Factor 1 will
be responsible and accountable for the deliverables. In evaluating this
factor, HUD will consider the extent to which the proposed activities
will achieve the purposes of the program within the grant period and
the extent to which the schedule represents an efficient and feasible
plan for implementation of your proposed activities. You should
identify specific time-phases and measurable objectives to be
accomplished during the period of performance; the proposed short- and
long-term program objectives to be achieved as a result of the proposed
activities; the tangible and measurable impacts the statement of work
will have on the community in general and on the target area in
particular; and the relationship of the proposed activities to other
on-going or proposed efforts to improve the economic, social, or living
environment in the target area.
(3) Affirmatively Furthering Fair Housing. (5 points) The extent to
which you propose to undertake activities designed to affirmatively
further fair housing, for example:
(a) Working with other entities in the community to overcome
impediments to fair housing, such as discrimination in the sale or
rental of housing or in advertising, provision of brokerage services or
lending;
(b) Promoting fair housing choice through the expansion of
homeownership opportunities and improved quality of services for
minorities, families with children, and persons with disabilities; or
(c) Providing housing mobility counseling services.
(4) HUD priorities. (5 points) The extent to which your application
will further and support the following priorities of HUD:
(1) Promoting healthy homes;
(2) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare-to-work programs;
(3) Enhancing on-going efforts to eliminate drugs and crime from
neighborhoods through program policy efforts such as ``One Strike and
You Are Out'' or the ``Officer Next Door'' initiative; or
(4) Providing educational, job training, and homeownership
opportunities through such initiatives as GEAR UP, Neighborhood
Networks, Campus of Learners, and linking programs to Americorps.
The Healthy Homes initiative implements a series of initiatives to
protect children from home hazards such as lead-based paint, radon,
fires, and accidents around the home.
The GEAR UP initiative promotes partnerships between colleges and
middle or junior high schools in low-income communities, to help teach
students how they can go to college by informing them about college
options, academic requirements, costs, and financial aid, and by
providing support services, including tutoring, counseling, and
mentoring.
The Neighborhood Networks initiative enhances the self-sufficiency,
employability, and economic self-reliance of low-income families and
the elderly living in HUD-insured and HUD-assisted properties by
providing them with on-site access to computer and training resources.
The Campus of Learners initiative is designed to transform public
housing into safe and livable communities where families undertake
training in new telecommunications and computer technology and partake
in educational opportunities and job training initiatives.
(4) Institutionalization of Project Activities. (10 points) The
extent to which your project will result in the kinds of proposed
activities being sustained by becoming part of the mission of your
institution. In reviewing this subfactor, HUD will consider the extent
to which program activities relate to your institution's mission; are
part of a climate that rewards faculty work on these kinds of
activities through promotion and tenure; benefits students because they
are part of a service learning program at your institution; and are
reflected in the curriculum. HUD will look at your commitment to
faculty and staff continuing work in the target area or other similar
areas and to your longer term commitment (five years after the start of
the grant) of hard dollars to similar work.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure community resources,
which can be combined with HUD program funds to achieve program
objectives.
In evaluating this factor, HUD will consider the extent to which
you have established partnerships with other entities to secure
additional resources to increase the effectiveness of the proposed
activities. Resources may include funding or in-kind contributions,
such as services or equipment. Resources may be provided by
governmental entities, public or private nonprofit organizations, for-
profit private organizations, or other entities. You may also establish
partnerships with other program funding recipients to coordinate the
use of resources in the target area.
You may count overhead and other institutional costs (e.g.,
salaries) that are waived as leveraging. However, higher points will be
awarded if you secure leveraging resources from sources outside the
institution.
You must provide letters or other documentation showing the extent
and firmness of commitments of leveraged funds (including your own
resources) in order for these resources to count in determining points
under this factor. These commitment letters or documents must be dated
no earlier than the date of this published SuperNOFA. This
documentation 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 the official of the organization
legally able to make commitments on behalf of the organization. Any
resource for which there is no commitment letter will not be counted,
nor will the resource be counted without the proposed level of
commitment being quantified. If your application does not include
evidence of leveraging, it will receive zero (0) points for this
Factor.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you have coordinated your
activities with other known organizations, participate or promote
participation in a community's Consolidated Planning process, and are
working towards addressing a need in a holistic and comprehensive
manner through linkages with other activities in the community. For
specific information about your locality's process, contact the local
or State Community
[[Page 9675]]
Development Agency or the local HUD field office.
In evaluating this factor, HUD will consider the extent to which
you demonstrate that you have:
(1) (4 points) 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 you will take to share information on
solutions with others. Any written agreements, memoranda of
understanding in place, or that will be in place after award, should be
described.
(2) (3 points) Taken or will take specific steps to become active
in the community's Consolidated Planing process (including the Analysis
of Impediments to Fair Housing Choice) established to identify and
address a need/problem that is related to the activities you propose.
(3) (3 points) Taken or will take specific steps to develop
linkages to coordinate comprehensive solutions through meetings,
information networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other Federal, State or locally-funded activities, including
those proposed or on-going in the community.
(C) Selections. In order to be funded, you must receive a minimum
score of 70 points. HUD will fund applications in rank order, until it
has awarded all available funds. If two or more applications have the
same number of points, the application with the most points for Factor
3, Soundness of Approach, shall be selected. If there is still a tie,
the application with the most points for Factor 4, Leveraging, shall be
selected.
HUD will not fund specific proposed activities that do not meet
eligibility requirements (see 24 CFR part 570, subpart C) or do not
meet a national objective in accordance with 24 CFR 570.208.
HUD reserves the right to make selections out of rank order to
provide for geographic distribution of funded HSIACs. If HUD decides to
use this option, it will do so only if two adjacent HUD regions do not
yield at least one fundable HSIAC on the basis of rank order. If this
occurs, HUD will fund the highest ranking applicant within the two
regions as long as the minimum score of 70 points is achieved.
After all application selections have been made, HUD may require
that you participate in negotiations to determine the specific terms of
the Statement of Work and the grant budget. In cases where HUD cannot
successfully complete negotiations, or you fail to provide HUD with
requested information, an award will not be made. In such instances,
HUD may elect to offer an award to the next highest ranking applicant,
and proceed with negotiations with that applicant.
After award but before grant execution, winners will be required to
provide a certification from an Independent Public Accountant or the
cognizant government auditor, stating that the financial management
system employed by your institution meets proscribed standards for
funds control and accountability required by OMB Circular A-133, Audits
of States, Local Governments, and Non-Profit Organizations, or 24 CFR
part 84, or the Federal Acquisitions Regulations (for all other
applicants). This information should contain the name and telephone
number of the Independent Auditor, cognizant Federal auditor, or other
audit agency, as applicable.
V. Application Submission Requirements
You should include an original and two copies of the items listed
below. In order to be able to recycle paper, please do not submit
applications in bound form; binder clips or loose leaf binders are
acceptable. Also, please do not use colored paper. Please note the page
limits for some of the items listed below and do not exceed them.
In addition to the forms, certifications and assurances listed in
Section II(G) of the General Section, your application must, at a
minimum, contain the following items:
(A) Transmittal Letter, signed by the Chief Executive Officer of
your institution or his or her designee. If a designee signs, your
application must include the official designation of signatory
authority.
(B) Application Checklist.
(C) Abstract/Executive Summary (one page limit) describing the
goals and activities of the project.
(D) Statement of Work (25 page limit) incorporating all activities
to be funded in your application and details how your proposed work
will be accomplished. Following a task-by-task format, the Statement of
Work must:
(1) Arrange the presentation of major related activities (e.g.,
rehabilitation of a child care center, provision of tutoring services),
summarize each activity, identify the primary persons involved in
carrying out the activity, and delineate the major tasks involved in
carrying it out.
(2) Indicate the sequence in which tasks are to be performed,
noting areas of work that must be performed simultaneously.
(3) Identify the specific numbers of quantifiable intermediate and
end products and objectives the applicant aims to deliver by the end of
the grant period as a result of the work performed.
(E) Narrative Statement Addressing the Factors for Award. (25 page
limit, including tables, and maps, but not including any letters of
commitment) You should number the narrative in accordance with each
factor and subfactor. Please do not repeat material in the Statement of
Work.
(F) Budget. The budget presentation should be consistent with the
Statement of Work and include:
(1) A budget by task, using the sample form included in the
application kit. This form separates the Federal and non-Federal costs
of each program activity. Particular attention should be paid to
accurately estimating costs; determining the necessity for and
reasonableness of costs; and correctly computing all budget items and
totals.
(2) A narrative statement of how you arrived at your costs, for any
line item over $5,000. When necessary, quotes from various vendors or
historical data should be used and included. All direct labor or
salaries must be supported with mandated city/state pay scales or other
documentation. Indirect costs must be substantiated and the rate must
have been approved by the cognizant Federal agency. If you are
proposing to undertake rehabilitation of residential, commercial, or
industrial structures or acquisition, construction, or installation of
public facilities and improvements, you must submit reasonable costs
supplied by a qualified entity other than your institution. Such an
entity must be in the business of housing rehabilitation, construction
or management. Guidance for securing these estimates can be obtained
from the CPD Director in your HUD field office or from your local
government.
You may not submit appendices or general support letters or
resumes. If you submit letters of leveraging commitment, they must be
included in your response to Factor 4. If you submit other
documentation, it must be included with the pertinent factor responses
(taking note of the page limit).
VI. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
[[Page 9676]]
VII. Environmental Requirements
If you propose activities (such as physical development activities)
that are not excluded from environmental review under 24 CFR 50.19(b),
HUD will conduct an environmental review in accordance with 24 CFR part
50, before HUD approves the proposal (i.e., releases HSIAC funds). If
the requirements of part 50 are not met, HUD reserves the right to
terminate all or portions of your award. You are not authorized to
proceed with any activity requiring such approval until written
approval is received from the appropriate HUD Field Office
Environmental Clearance Officer in its area certifying that the project
has been approved and released from all environmental conditions.
VIII. Authority
This program is authorized under the section 107 of the CDBG
appropriation for fiscal year 1999, as part of the ``Veterans
Administration, HUD and Independent Agencies Appropriations Act of
1999'' (Pub. L. 105-276, approved October 21, 1998). For this first
year of the program, HSIAC is being implemented through this program
section of the SuperNOFA and the policies governing its operation are
contained herein.
BILLING CODE 4210-32-P
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9677]]
[GRAPHIC] [TIFF OMITTED] TN26FE99.024
BILLING CODE 4210-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9679]]
Funding Availability for the Fair Housing Initiatives Program
Program Overview
Purpose of the Program. To increase compliance with the Fair
Housing Act (the Act) and with substantially equivalent State and local
fair housing laws.
Available Funds. Approximately $15,000,000 is allocated as follows:
A. Private Enforcement Initiative (PEI)................... $9,300,000
B. Education and Outreach Initiative (EOI)................ 4,500,000
C. Fair Housing Organizations Initiative (FHOI)........... 1,200,000
Eligible Applicants. Qualified Fair Housing Organizations (QFHOs);
Fair Housing Organizations (FHOs); public or private non-profit
organizations or institutions and other public or private entities that
are working to prevent or eliminate discriminatory housing practices;
State and local governments; and Fair Housing Assistance Program
Agencies (FHAP) (as defined in Section IV.(A)(13), Program Definitions,
and described in detail under the initiatives that follow).
Application Deadline. April 27, 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. You must submit completed applications for
all Initiatives/Components on or before 12:00 midnight, Eastern time on
April 27, 1999 at HUD Headquarters.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. You must submit completed
applications (one original and five copies) to: FHIP SuperNOFA '99,
[Specify Initiative/Component], FHIP/FHAP Support Division, Fair
Housing and Equal Opportunity, U.S. Department of Housing and Urban
Development, 451 Seventh Street, SW, Room 5234, Washington, DC 20410.
When you submit your application, please provide your name, mailing
address (including zip code) and telephone number (including area code)
on the front of the mailing envelope.
For Application Kits. For an application kit and supplemental
information, please call the HUD SuperNOFA Information Clearinghouse at
1-800-HUD-8929. If you have a hearing or speech impairment, you may use
the Center's TTY at 1-800-HUD-2209. When requesting an application kit,
please refer to FHIP SuperNOFA '99, and provide your name, address
(including zip code), and telephone number (including area code).
Application kits also will be available on the Internet at: http://
www.hud.gov.
For Further Information and Technical Assistance. For answers to
your technical questions, you may contact Ivy L. Davis, Director, FHIP/
FHAP Support Division at 202-708-0800 ext. 7028 (this is not a toll-
free number). If you prefer to use a TTY telephone, you may call 1-800-
290-1617.
II. Amount Allocated
The amount of $23,500,000 has been appropriated for the Fair
Housing Initiatives Program in FY 1999. Approximately $15,000,000 is
being made available for National and Regional/Local/Community-Based
activities on a competitive basis to eligible organizations responding
to this SuperNOFA. The remaining approximately $8,500,000 will be made
available through separate Requests for Proposals.
The amount available for each initiative is divided as follows:
(A) Private Enforcement Initiative (PEI). The objective of this
initiative is to support private fair housing enforcement organizations
in their investigations of alleged violations of the Fair Housing Act
and substantially equivalent State and local fair housing laws.
Approximately $9,300,000 is allocated as follows:
(1) General Multi-Year Component. $7,800,000; award cap: $300,000
for single projects, $600,000 for partnership projects; project
duration 24-36 months.
(2) Joint Enforcement Project Component. $1,500,000; award cap:
$300,000; project duration 24-36 months.
(B) Education and Outreach Initiative (EOI). The objective of this
initiative is to assist projects which inform the public about their
rights and obligations under the Fair Housing Act and substantially
equivalent State and local fair housing laws, to educate the public
about the procedures for filing claims with HUD, and to increase the
referrals of credible, legitimate fair housing cases (complaints) and
other information to HUD. Approximately $4,500,000 is allocated for 18
month projects; of this, $450,000 is allocated for the National Program
and $4,050,000 is allocated for the Regional/Local/Community-Based
Program as follows:
(1) Regional/Local/Community-Based Program.
(a) General Component. $2,550,000; award cap: $300,000.
(b) Homeownership Component. $750,000; award cap: $150,000.
(c) Disability Component. $750,000; award cap: $150,000.
(2) National Program. Best Practices Component. $450,000; award
cap: $225,000.
(C) Fair Housing Organizations Initiative (FHOI). The objective of
this initiative is to establish new fair housing enforcement
organizations and to build the capacity of fair housing enforcement
organizations to carry out enforcement activities. Approximately,
$1,200,000 is allocated for the following components:
(1) Establishing New Organizations Component (ENOC). $800,000;
award cap: $400,000; project duration 24-36 months.
(2) Continued Development Component (CDC). $400,000; award cap:
$200,000; project duration 24 months. Under this component, your award
may not exceed 50 percent of the operating budget of your organization
for one year. Operating budget means your organization's total planned
budget expenditures from all sources, including the value of in-kind
and monetary contributions, in the 24 months for which funding is
received.
III. Program Descriptions; Eligible Applicants; Eligible Activities
The Fair Housing Initiatives Program (FHIP) assists projects and
activities that increase compliance with the Fair Housing Act and
substantially equivalent State and local fair housing laws. In
September 1997, HUD announced a ``crackdown on housing discrimination''
pledging to substantially increase its enforcement actions. The
activities funded under this SuperNOFA are expected to contribute to
the accomplishment of this pledge.
Immigrant populations are increasingly responsible for new
household formations in the United States and they often face
formidable barriers because of discriminatory housing practices. As the
President has stated, these unlawful barriers hinder the goal of ``One
America.'' It is imperative that fair housing efforts be directed to
educating immigrant populations about their fair housing rights and
ensuring that enforcement mechanisms address the specific types of
discrimination they encounter on a
[[Page 9680]]
national, regional, local or community basis. Therefore, activities
under the following components should address the fair housing needs of
these and other ``underserved populations:'' (1) the General Component
of the Private Enforcement Initiative; (2) the General Component of the
Regional/Local/Community-Based Education and Outreach Initiative; and,
(3) the Best Practices Component of the Education and Outreach
Initiative National Program.
(A) Private Enforcement Initiative (PEI)
(1) PEI-General Multi-Year Component. (a) Component Description. If
you apply for this component, you must place special emphasis on the
fair housing enforcement needs of new immigrant groups and other
underserved populations, as defined in the introductory paragraph of
Section III. of this program section of the SuperNOFA. The objective of
this component is to carry out audits, tests, and other investigative
activities which:
(i) Determine compliance with accessibility requirements;
(ii) Discover and remedy discrimination in the public and private
real estate markets;
(iii) Propose and undertake activities to detect and remedy more
subtle and sophisticated forms of discriminatory practices; and
(iv) Reduce the incidence of steering and other practices
perpetuating segregation.
(b) Eligible Applicants. (i) Eligible organizations are FHOs with
at least one year of experience in complaint intake, complaint
investigation, testing for fair housing violations, and meritorious
claims; and QFHOs.
(ii) If you are currently receiving PEI Multi-Year funding awarded
to you under a previous NOFA, and, as of the date of this SuperNOFA,
your funding expires after June 30, 2000, you are not eligible to apply
for this General Multi-Year Component under this SuperNOFA. You are,
however, eligible to apply for funding under any other initiative/
component.
(iii) Your proposal will be considered either as a single or
partnership project (see Section IV.(C)(3), Program Requirements, for
more details). If you are submitting a partnership proposal, although
your award will be made to a single organization, all members of your
partnership must meet the eligibility requirements of this initiative.
(c) Eligible Activities. Eligible activities include:
(i) Complaint intake of allegations of housing discrimination,
testing, evaluating testing results, or providing other investigative
and complaint support for administrative and judicial enforcement of
fair housing laws;
(ii) Investigations of individual complaints and systemic housing
discrimination for further enforcement processing by HUD, through
testing and other investigative methods;
(iii) Mediation or otherwise voluntarily resolving allegations of
fair housing discrimination after a complaint has been filed; and
(iv) Costs and expenses of litigating fair housing cases, including
expert witness fees.
(2) Joint Enforcement Project Component (JEP). (a) Component
Description. This component promotes partnerships between private fair
housing enforcement organizations, FHAP agencies and/or traditional
civil rights organizations to focus on systemic investigations of
housing discrimination. As set forth in Rating Factor 3: Soundness of
Approach, these partnerships are expected to result in enforcement
proposals being filed with HUD or sufficient information being provided
to HUD for the filing of Secretary-initiated complaints or other use by
the Department.
(b) Eligible Applicants. If you are a QFHO or FHO, you are eligible
for funding under this component and may subcontract with other
organizations to carry out Joint Enforcement Project Components.
Subcontracts should be discussed in accordance with Rating Factor 3:
Soundness of Approach.
(c) Eligible Activities. Eligible activities include:
(i) Conducting joint investigations;
(ii) Conducting joint investigative activities through testing,
review of property records, development of strategies, interviews,
etc.;
(iii) Developing complaints for referral to HUD for action; and
(iv) Sharing information with HUD regarding potential violations
for investigation based upon complaints, data, or other sources.
(B) Education and Outreach Initiative (EOI)
(1) General. (a) Initiative Description. This initiative assists
projects which inform and educate the public about their rights and
obligations under the Fair Housing Act and substantially equivalent
State and local fair housing laws, and educate the public about the
procedures for filing claims with HUD. The activities funded under this
initiative are expected to result in an increased number of referrals
of credible, legitimate fair housing claims and other information
regarding discriminatory practices.
(b) Eligible Applicants. QFHOs; FHOs; public and private non-profit
organizations or institutions and other public or private entities that
are formulating or carrying out programs to prevent or eliminate
discriminatory housing practices; State or local governments; and FHAP
Agencies. If you are a traditional civil rights organization, you are
encouraged to apply under this initiative.
(c) Eligible Activities. The following activities are eligible for
all components under this initiative, unless otherwise noted under the
specific component: holding educational symposia; duplicating existing
fair housing materials for distribution throughout your project area;
conducting outreach and providing information on fair housing through
printed and electronic media; and providing outreach to persons with
disabilities and/or their support organizations and service providers,
housing providers, and the general public on the rights of persons with
disabilities under the Fair Housing Act. Regional/Local/Community-Based
activities must use existing locally available materials. You may not
develop new fair housing materials except as a supplement to existing
materials and/or in languages other than English or Braille.
(2) Regional/Local/Community-Based Program.
(a) General Component. (i) Component Description. This component
places special emphasis on the fair housing needs of new immigrant
groups and other underserved populations.
(ii) Eligible Applicants. Are the same as described in Section
III.(B)(1)(b), above.
(iii) Eligible Activities. Are the same as described in Section
III.(B)(1)(c), above.
(b) Homeownership Component. (i) Component Description. This
component focuses on education and outreach activities that improve
access to homeownership for racial/ethnic minorities by addressing
multiple barriers to fair housing choice (e.g., mortgage lending
discrimination) and education and outreach aimed at reducing racial and
other housing segregation.
(ii) Eligible Applicants. Are the same as described in Section
III.(B)(1)(b), above.
(iii) Eligible Activities. Are the same as described in Section
III.(B)(1)(c), above.
(c) Disability Component. (i) Component Description. This component
focuses on the education and outreach efforts of organizations
[[Page 9681]]
that assist persons with disabilities to understand their fair housing
rights and the forms of discrimination they confront.
(ii) Eligible Applicants. Are the same as described in Section
III.(B)(1)(b), above.
(iii) Eligible Activities. Are the same as described in Section
III.(B)(1)(c), above.
(3) National Program. (a) Best Practices Component. (i) Component
Description. This component will fund a Best Practices Campaign for
Fair Housing Enforcement and Education to collect prototypes of
successful fair housing education and enforcement business practices
and techniques which benefit underserved populations making them
available to State and local governments and others.
(ii) Eligible Applicants. Are the same as described in Section
III.(B)(1)(b), above.
(iii) Eligible Activities. Your program must include: (1)
collecting examples of good fair housing enforcement, business
practices and education techniques which benefit underserved
populations, particularly non-English speaking persons and new
immigrants, and (2) disseminating these best practices for use by State
and local governments, fair housing organizations, housing industry
groups and others. The Department encourages you to address at least
one of the following statutory objectives: cooperation with real estate
industry organizations; and/or dissemination of educational information
and technical assistance to support compliance with the housing
adaptability and accessibility guidelines contained in the Fair Housing
Amendments Act of 1988.
(C) Fair Housing Organizations Initiative (FHOI)
(1) Establishing New Organizations Component (ENOC).
(a) Component Description. The objective of this component is to
establish new fair housing enforcement organizations in underserved
areas.
(b) Eligible Applicants. Only QFHOs are eligible to apply under
this component.
(c) Eligible Activities. You must propose the establishment of a
new fair housing organization in an underserved area.
(2) Continued Development Component (CDC)
(a) Component Description. The objective of this component is to
provide support to build the enforcement capacity of newly established
fair housing enforcement organizations created under past FHOI-ENOC
awards (new organizations).
(b) Eligible Applicants. Only new organizations previously funded
as new organizations through FHOI-ENOC grants that will have expired as
of June 30, 2000, are eligible for funding under this component. A list
of these organizations is provided in the FHIP Appendix at the end of
this program section of the SuperNOFA.
(c) Eligible Activities. Your application must build your
enforcement capacity by proposing all or some of the following
activities:
(i) Complaint intake of allegations of housing discrimination;
testing, evaluating testing results or providing other investigative
and complaint support for administrative and judicial enforcement of
fair housing laws;
(ii) Investigations of individual complaints and systemic housing
discrimination for further enforcement processing by HUD, through
testing and other investigative methods;
(iii) Mediation or otherwise voluntarily resolving allegations of
fair housing discrimination after a complaint has been filed; and
(iv) Costs and expenses of litigating fair housing cases, including
expert witness fees.
IV. Program Requirements
(A) Requirements for All Initiatives/Components.
In addition to the requirements listed in Section II of the General
Section of this SuperNOFA, you must also meet the following application
requirements:
(1) Performance Measures and Deliverables. Your application must
demonstrate how your program activities will support HUD goals,
identify performance measures/outcomes in support of those goals, and
identify current (baseline) conditions and target level of the
performance measure that you plan to achieve. Your proposal also must
contain a strategy for achieving project deliverables, with related
timelines and milestones. If you are selected, your final performance
measures and deliverables will be negotiated between you and HUD as
part of your executed grant agreement, based upon your proposal.
(2) Reports and Meetings On Performance Measures and Deliverables.
In your final grant report, you must describe the status of performance
measures in a spreadsheet format or other manner specified by the
Department [also see the reporting requirements for PEI and FHOI grants
at Section IV.(B)(9), below, of this program section of the SuperNOFA].
You are required to report quarterly on the status of project
deliverables against your approved milestones and timelines and meet at
least semi-annually with HUD to ensure that project activities satisfy
grant requirements.
(3) Single Award Limitation/Preference Must be Stated. (a) Except
as provided in paragraph (b) of this section, you may apply for funding
under more than one component for which you are an eligible applicant,
but you may receive only one award under this program section of the
SuperNOFA. If you apply for funding under more than one component, you
must state your priority for selection and submit your preference in
your application. If you fail to submit your preference, your
application will be ineligible.
(b) The requirements of paragraph (a) of this section do not apply
to the components listed in this paragraph. In addition to the single
award for which you are eligible under paragraph (a) of this section,
if you are an eligible applicant for the following components, you may
also apply for, and are eligible to receive:
(i) An FHOI-Establishing New Organizations Component (ENOC) award,
and/or
(ii) One EOI-National Program award.
(4) Independence of Awards. Although there is no limitation on the
number of applications that you may submit, each project or activity
proposed in an application must be independent and capable of being
implemented without reliance on the selection of other applications
submitted by you or other applicants. This provision does not preclude
you from submitting a proposal which includes other organizations as
sub-recipient.
(5) Project Starting Period. For planning purposes, assume a start
date no later than September 30, 1999.
(6) Page Limitation. The narrative response for each of the five
rating factors for award is limited to ten pages (this does not include
forms or documents which are required under each factor). Pages
exceeding that limit will not be evaluated. Furthermore, unrequested
items, such as brochures and news articles, will not be considered. You
should respond to each factor. Failure to provide narrative responses
to all factors will result in your application not receiving points for
the information omitted, which may significantly affect your
application score.
(7) Training. Your proposed budget must include a training set-
aside of $3,000 for single-year projects and $6,000 for multi-year
projects. HUD will permit recipients to use these funds to
[[Page 9682]]
attend both HUD-sponsored and HUD-approved training.
(8) Payment Contingent on Completion. Payments including multi-year
award increments, are contingent on the satisfactory completion of your
project activities and deliverables as called for in your grant
agreement.
(9) Accessibility Requirements. All activities and materials funded
by this Program must be accessible to persons with disabilities [24 CFR
8.4, 8.6, and 8.54].
(10) Copyright Materials. You may copyright any work that is
subject to copyright; however, HUD reserves the right to reproduce,
publish, or otherwise use your work for Federal purposes, and to
authorize others to do so as outlined in 24 CFR 84.36.
(11) Ineligible Applications.
(a) If you fail to meet the requirements set forth in Section II of
the General Section of this SuperNOFA, your application will be
ineligible for funding.
(b) Award Caps. If you exceed the award cap for the component for
which you are requesting funding, your application will be ineligible.
(c) Research Activities. Projects aimed solely or primarily at
research or dependent upon such data-gathering, including but not
limited to surveys and questionnaires, are not eligible for funding.
(d) Non-Profit Status. If you are applying under the PEI and FHOI
Initiatives, you must submit documentation with your application that,
as of the application due date of this program section of the
SuperNOFA, you are a 501(c)(3) tax-exempt organization as determined by
the Internal Revenue Service. Failure to submit this documentation with
your application will be treated as a technical deficiency as discussed
in Section V of the General Section of this SuperNOFA.
(e) JEP Component. You must include in your JEP application a
memorandum of understanding (MOU) from all project participants
describing the signatories's duties and responsibilities. The MOU must
be signed by an official of each project organization who is authorized
to make commitments on behalf of the participating organization. If you
fail to submit this documentation with your application, you will be
ineligible.
(f) Single Award Limitation/Preference Must be Stated. If your
application does not state a funding preference as required by Section
IV.(A)(3), above, of this program section of the SuperNOFA, your
application will be ineligible.
(12) Ineligible Activities.
(a) Fair Housing and Free Speech. None of the amounts made
available under this SuperNOFA may be used to investigate or prosecute
under the Fair Housing Act any otherwise lawful activity engaged in by
one or more persons, including the filing or maintaining of a non-
frivolous legal action, that is engaged in solely for the purpose of
achieving or preventing action by a government official or entity, or a
court of competent jurisdiction.
(b) Suits Against the United States. No recipient of assistance
under this program may use any funds provided by HUD for the payment of
expenses in connection with litigation against the United States (24
CFR 125.104(f)).
(13) Program Definitions. The definitions that apply to this FHIP
section of the SuperNOFA are as follows:
Enforcement actions includes charges issued under the Fair Housing
Act, settlements with relief equivalent to or greater than what HUD
would seek had a charge been issued; settlements with relief for a
broad class of victims; referrals to the Department of Justice (DOJ)
where it has legal authority to take further action: zoning and land
use cases (42 U.S.C. 3614(b)); pattern and practice cases [42 U.S.C.
3614(a)]; requests for prompt judicial action; [42 U.S.C. 3610(e)]; and
allegations of criminal violations of the Fair Housing Act (42 U.S.C.
3631).
Enforcement proposals are potential complaints under the Fair
Housing Act which are timely, jurisdictional, and well developed which
could reasonably be expected to become an enforcement action if an
impartial investigation finds evidence supporting the allegations and
the case proceeds to a resolution with HUD involvement.
Fair Housing Assistance Program (FHAP) Agencies means State and
local agencies which administer laws substantially equivalent to the
Fair Housing Act, as described in 24 CFR part 115.
Fair Housing Enforcement Organization (FHO) means an organization
engaged in fair housing activities as defined in 24 CFR 125.103.
Meritorious Claims means enforcement activities by an organization
as defined in 24 CFR 125.103.
Qualified Fair Housing Enforcement Organization (QFHO) means an
organization engaged in fair housing activities as defined in 24 CFR
125.103.
Regional/Local/Community-Based Activities are defined at 24 CFR
125.301(d).
Traditional Civil Rights Organizations means non-profit
organizations or institutions and/or private entities with a history
and primary mission of securing Federal civil rights protection for
groups and individuals protected under the Fair Housing Act and
substantially equivalent State or local laws and which are engaged in
programs to prevent or eliminate discriminatory housing practices.
Underserved areas means jurisdictions where no public or private
fair housing enforcement organizations exist or which are not
sufficiently served by one or more public or private enforcement fair
housing organizations, and which contain large concentrations of
protected classes.
Underserved populations means protected class members among new
immigrant populations (especially ethnic minorities who are not English
speaking) rural populations, persons with disabilities and the homeless
that can be documented as historically not having been the focus of
Federal, State or local fair housing enforcement efforts.
(B) Requirements For Private Enforcement Initiative and Fair
Housing Organizations Initiative
(1) Broad-Based and Full Service Projects. If you are applying
under the Private Enforcement Initiative (PEI) and Fair Housing
Organizations Initiative (FHOI), your activities must be broad-based
and full service enforcement projects that address discrimination
against persons protected by the Fair Housing Act. Furthermore, your
activities must contribute in measurable ways to HUD's commitment to
increase its number of enforcement actions. Full service projects must
include more than one type of the following enforcement related
activities in your project proposal: interviewing potential victims of
discrimination; analyzing housing-related issues; intaking complaints;
testing; evaluating testing results; conducting preliminary
investigations; conducting mediation; enforcing meritorious claims
through litigation or referral to administrative enforcement agencies;
and disseminating information about fair housing laws. ``Broad-based''
projects are not limited to a single fair housing issue, instead they
cover multiple issues related to housing discrimination covered under
the Fair Housing Act, such as: rental, sales and financing of housing.
(2) Non-Profit Status. If you are applying under the PEI and FHOI
Initiatives, you must submit documentation with your application that,
as of the application due date of this program section of the
SuperNOFA, you are a 501(c)(3) tax-exempt organization as determined by
the Internal Revenue Service. Failure to
[[Page 9683]]
submit this documentation with your application will be treated as a
technical deficiency as described in Section V. of the General Section
of this SuperNOFA.
(3) Mandatory Referrals. You are required to refer to HUD all cases
arising from FHIP-funded audit testing. In all FHIP-funded cases where
you find a basis for filing a complaint with a bona fide complainant
other than your organization, you must file the complaint with HUD
unless, consistent with the Act, the complainant refuses, in writing,
to do so. In addition to filing with HUD, a bona fide complainant may
file in Federal or State Court.
(4) Outreach Expenses. Your budget may designate up to 5% of
requested funds for education and outreach to promote awareness of
services available, if the education activities are necessary for the
successful implementation of your project.
(5) Tester Requirements. Testers in your FHIP-funded testing
activities must not have prior felony convictions or convictions of
crimes involving fraud or perjury. All testers must receive training or
be experienced in testing procedures and techniques. Testers and the
organizations conducting tests, and the employees and agents of these
organizations may not:
(a) Have an economic interest in the outcome of the test, without
prejudice to the right of any person or entity to recover damages for
any cognizable injury;
(b) Be a relative of any party in a case;
(c) Have had any employment or other affiliation, within one year,
with the person or organization to be tested; or
(d) Be a licensed competitor of the person or organization to be
tested in the listing, rental, sale, or financing of real estate.
(6) Testing Experience. When proposing testing other than rental or
accessibility testing, you must document, to HUD's satisfaction, that
at minimum you have conducted successful rental testing. Documentation
of your experience must include, a general description of: when and
where tests occurred, the entities tested, and the overall results of
the tests, including complaints filed and settlements or remedies
secured. You must include copies of testing methodologies and training
materials used. The testing methodology and procedures will remain
confidential for enforcement purposes.
(7) Review and Approval of Testing Methodology. If your Statement
of Work proposes testing, other than rental testing, HUD reserves the
right to require as a deliverable to be reviewed and approved by HUD
prior to your carrying out the testing activities: (a) The testing
methodology to be used, and (b) the training to be provided to testers.
Your testing methodology and procedures will remain confidential for
enforcement purposes.
(8) Conflict of Interest and Use of Settlement Funds
Certifications.
(a) You must certify you will not solicit funds from or seek to
provide fair housing educational or other services or products for
compensation, directly or indirectly, to any person or organization
which has been the subject of FHIP-funded testing by you during the 12
month period following the test. This does not preclude settlement
based on investigative findings. HUD reserves the right to negotiate
with awardees additional provisions addressing potential conflicts of
interest.
(b) You must certify that any compensation you receive directly or
indirectly from a settlement, conciliation, or award of damages as a
result of activities funded under this SuperNOFA, will be used only to
carry out activities specifically authorized under your cooperative
agreement/grant agreement or to carry out other activities approved by
HUD.
(9) Reports. You must provide reports in a format (which may be
computer generated), at a frequency and with contents specified by HUD.
Your report must include: the number and basis of claims/complaints
filed with HUD or in Federal/State court, the number and terms of
settlements or other outcomes achieved. The terms of settlements
ordered by a court or other tribunal to be kept confidential need not
be produced.
(10) Enforcement Log. You are required to record information about
the funded project in a case tracking log (or Fair Housing Enforcement
Log) to be supplied by HUD. Such information must include: the number
of complaints of possible discrimination you have received; the
protected basis of these complaints; the issue, test type, and number
of tests utilized in the investigation of each allegation; the
respondent type and testing results; the time for case processing,
including administrative or judicial proceedings; the cost of testing
activities and case processing; to whom the case was referred; and the
resolution and type of relief sought and received. You must agree to
make this log available to HUD. This log will be considered
confidential for enforcement purposes.
(C) Additional Requirements for Private Enforcement Initiative
(1) Your proposal must include a description of the enforcement
proposals to be referred to HUD to increase enforcement actions.
Therefore, you must state what information you intend to collect and
analyze, the kind and number of complaints you anticipate referring to
HUD for enforcement purposes, and a method for referring such
complaints. Your application should explain how you plan to structure
tests, train investigators, conduct investigations, etc. This
description should make clear the safeguards to be used to ensure that
complaints referred to HUD for enforcement action are fully
jurisdictional under the Act and supported by credible and legitimate
evidence that the Act has been violated.
(2) Neither you nor any sub-recipient are permitted to charge or
claim credit for any activities performed under the FHIP Program toward
any other Federal project/funds. For example: If you receive a PEI-JEP
award and you are a FHAP agency, you will not be able to count any
cases/referrals arising under an approved project toward your FHAP case
processing calculations.
(3) PEI-General Multi-Year Component. If you apply for this
component as a single or partnership project the amount awarded will
vary as noted in Section II.(A)(1), Amount Allocated, above in this
program section of the SuperNOFA. A higher award cap is allocated for
partnership projects. If you are submitting a partnership proposal you
must meet the following requirements:
(a) You must designate a single organization with responsibility
for administering the grant and overseeing project activities which
must be the organization submitting the application.
(b) All members of your partnership must be identified in your
application with the duties and responsibilities for each partner
described fully,
(c) All partnership members must meet the eligibility requirements
of this initiative (see Section III.(A)(1)(b), eligible applicants for
PEI), and
(d) Your application must make clear you are submitting a
partnership proposal.
(D) Additional Requirements for Education and Outreach Initiative
National Program and Regional/Local/Community-Based Program
(1) All projects must address housing discrimination based on race,
color, religion, sex, disability, familial status, or national origin.
(2) Your proposal must contain a description of how your activities
or your final products can be used by other agencies and organizations.
If modifications are necessary for use by others, describe the
modifications.
[[Page 9684]]
(3) Your proposal must describe the referral process and list in
the Statement of Work the projected referrals to be submitted to HUD.
(E) Additional Requirements for Fair Housing Organizations
Initiative: Establishing New Organizations Component ENOC. You must
propose the establishment of a new fair housing enforcement
organization in an underserved area. You must provide a justification
for why the target project area is underserved. Your justification must
include data and studies that indicate the presence of housing
discrimination, segregation and/or other indices of discrimination in
the locality based upon race, color, religion, sex, national origin,
familial status, or disability.
V. Application Selection Process
(A) Rating and Ranking
(1) Your application for funding will be evaluated competitively
under one of the following components:
(a) Private Enforcement Initiative (PEI):
(i) General Multi-Year Component;
(ii) Joint Enforcement Project Component;
(b) Education and Outreach Initiative (EOI):
(i) Regional/Local/Community-Based Program:
(1) General Component;
(2) Homeownership Component;
(3) Disability Component;
(ii) National Program:
(1) Best Practices Component;
(c) Fair Housing Organizations Initiative (FHOI):
(i) Establishing New Organizations Component;
(iii) Continuing Development Component.
(2) You will be awarded points and assigned a score based on the
Factors for Award. After eligible applications are evaluated against
the factors for award and assigned a score, they will be ranked in
order by score. A minimum score will be established below which
applications will not be considered to be of sufficient quality for
funding. This score (based upon review of the applications by applying
the factors for award) will identify applications that will not
effectively achieve the objectives of this SuperNOFA. This score will
vary based upon the overall quality of the proposals received in each
program or component, but will be set within 30 percentage points of
the average score of all proposals that are scored in that program or
component. The Rating Factor requirements listed in the General Section
of this SuperNOFA are applicable to applicants applying for funding
under this Program.
(3) Tie Breaking. When there is a tie in the overall score, the
applicant with the higher score under Rating Factor 3: Soundness of
Approach will be ranked higher. If the applications are equal in this
respect, the application that receives a total higher number of points
under Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience will be ranked higher. If these scores are
identical then the applicant with the lower request for FHIP funding
will be ranked higher.
(B) Selections
(1) In General. Except as noted in paragraph (2) ``Achieving
Diversity of Awards,'' proposals of sufficient quality to be funded
will be funded in rank order until all available funds have been
obligated or until no applications of sufficient quality remain. The
final decision rests with the selecting official--the Assistant
Secretary for Fair Housing and Equal Opportunity, or designee.
(2) Achieving Diversity of Awards. The selecting official shall
have discretion to pass over applicants in funding a component in
accordance with the funding diversity or geographic diversity procedure
or both procedures. If the selecting official decides to use any of
these procedures, the selecting official shall apply that procedure
equally to all applicants. If the selecting official opts to use both
procedures, he/she will use the funding diversity procedure first, and
then apply the geographic diversity procedure. These procedures are
applied component-by-component. No shifting of leftover funds from a
component will occur until all applications of sufficient quality in
that component are awarded funds.
(a) Funding Diversity. The selecting official may pass over
applicants to provide broader representation among funded entities. For
any component in which the Selecting Official decides to use this
procedure, the selecting official will pass over applicants who have
received two FHIP SuperNOFA grants in the past five years in favor of
lower ranked applications of sufficient quality to be funded who have
not received two FHIP SuperNOFA grants in the past five years. Prior
receipt of an ENOC award will not be included in determining whether an
applicant received two grants in the past five years. Passed over
applications of sufficient quality will be placed at the bottom of the
ranking list of applications of sufficient quality for the component,
but will be placed in rank order among passed over applications. Once
applications of sufficient quality to be funded are reordered to
reflect the funding diversity procedure, the selecting official shall
proceed in one of two ways:
(i) The selecting official may apply the geographic diversity
procedure to all applications of sufficient quality, or
(ii) The selecting official may not apply geographic diversity and
award funds to applicants based on their rank order except that passed
over applicants are funded in rank order after all other applicants of
sufficient quality are funded, until funds are exhausted or there are
no more applications of sufficient quality to be funded.
(b) Geographic Diversity. To provide for broader geographic
representation among funded projects, the selecting official will have
the discretion to pass over an applicant where there is more than one
applicant located in a Metropolitan Statistical Area (MSA), as defined
by the Bureau of the Census. If the selecting official decides to use
this procedure in a component, the selecting official will select from
the applications of sufficient quality to be funded the highest ranked
applicant in each MSA, once applications of sufficient quality have
been reordered to reflect the funding diversity procedure. If funding
diversity has been applied, this is the highest ranked applicant in
each MSA that was not passed over in that procedure. Passed over
applications of sufficient quality will go to the bottom of the ranking
list of applications of sufficient quality to be funded for the
component, but will be placed in rank order among passed over
applications, whether passed over for funding or geographic diversity.
If additional funds remain in the component after funding the highest
ranked applicant in each MSA, the selecting official shall proceed in
one of two ways:
(i) The selecting official may decide to apply geographic diversity
to the passed over applicants, to the extent that additional funds
remain. If, after applying geographic diversity a second time,
additional funds still remain, the remaining funds will be awarded
based on the rank order of any remaining applications of sufficient
quality to be funded, irrespective of MSA.
(ii) If the selecting official opts not to apply geographic
diversity a second time, then remaining funds shall be awarded to
passed over applicants based on their rank order until funds are
exhausted.
(C) Priority for Shifting Left Over Funds
If after all applications within funding range have been selected
in a initiative/component and leftover funds remain
[[Page 9685]]
available, the selecting official or designee will have the discretion
to shift leftover funds in rank order within and between initiatives/
components as follows:
(1) First, within initiatives:
(a) For PEI and EOI, leftover funds from any component will be
shifted to the General Component;
(b) For FHOI, leftover funds from ENOC will be shifted to CDC.
(2) Second, between initiatives: if after shifting funds, as noted
above, leftover funds remain, those funds will be shifted to the PEI-
Multi-Year General Component.
(D) Factors for Award Used To Evaluate and Rate All Applications Except
the National Program of the Education and Outreach Initiative
The factors for rating and ranking applicants and the maximum
points for each factor, are provided below. The maximum number of
points to be awarded any application is 102. This includes two EZ/EC
bonus points, as described in the General Section of the SuperNOFA.
Rating Factor 1: Capacity of Applicant and Relevant Organizational
Experience (20 Points)
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement your
proposed activities in a timely manner. In rating this factor HUD will
consider the extent to which your proposal demonstrates:
(1) (10 points) Specific Description of Staff for Proposed
Activities.
(a) The knowledge and experience of your proposed project director
and staff, including the day-to-day program manager, consultants and
contractors in planning and managing programs for which you're
requesting funding. Experience will be judged in terms of recent,
relevant and successful experience of you and your staff to undertake
eligible program activities.
(b) Whether there is sufficient personnel or you will be able to
quickly access qualified experts or professionals to deliver the
proposed activities in a timely and effective fashion, and your
readiness and ability to immediately begin your proposed work program.
To demonstrate there is sufficient personnel, you must submit the
proposed number of staff years for your proposed employees and experts,
the titles and relevant professional background and experience of each
employee and expert proposed, and the roles to be performed by each.
You should identify the key personnel in your Statement of Work, as
discussed in Rating Factor 3: Soundness of Approach.
(2) (10 points for either (a) or (b)) Specific Description of
Experience Relevant to the Proposed Activities.
(a) Your past grant experience in terms of your ability to attain
demonstrated measurable progress in the implementation of your most
recent activities where performance has been assessed as measured by
expenditures and progress in achieving the purpose of the activities.
HUD will also consider any evidence it has in its files of your failure
under past awards to comply with grant award provisions; or
(b) If you have not received funding in the past, your
demonstration of experience in managing programs, and carrying out
management responsibilities for programs similar in scope or nature to
the work activities proposed. Therefore, if you have managed large,
complex, interdisciplinary programs, or work similar in scope or
complexity to your proposed program, you should include that
information in your response.
Rating Factor 2: Need/Distress/Extent of the Problem (25 Points)
This factor addresses the extent to which there is a need to fund
your proposed activities and an indication for the urgency of meeting
the need in your target area. In addition, if you are applying under
the General Components of PEI and/or EOI, you should address the fair
housing needs of new immigrants and other underserved populations as
defined in Section IV.(A)(11) of this program section of the SuperNOFA.
In rating this factor, HUD will consider the extent to which you
demonstrate:
(1) (15 points) Documentation of Need. The level of need for your
project activities in your target area, including the needs of new
immigrants and other underserved populations (under the EOI-General and
PEI-General Components), and the urgency in meeting the need using
statistics and analyses contained in a data source(s) that is sound and
reliable. You should analyze the level of need for your proposed
activities and document the level of need in the specific area where
your activities will be carried out. Attention must be paid to
documenting need where activities will be targeted, rather than the
entire locality or State. If your target area is an entire locality or
State, then documenting need at this level is appropriate. Your
proposal may reference the extent to which your community's
Consolidated Plan (CP) and Analysis of Impediments to Fair Housing
Choice (AI) identify the level of the problem and urgency of need. In
addition, your proposal should reference the extent to which project
activities will affirmatively further fair housing (AFFH), by
describing how proposed activities will assist in overcoming
impediments to fair housing choice identified in the jurisdiction's AI
(Analysis of Impediments to Fair Housing Choice), which is a component
of the jurisdiction's Consolidated Plan (CP), or other planning
document that addresses fair housing issues. Additional examples of how
you may document need may be obtained from Chapter 5 of the ``Fair
Housing Planning Guide, Vol. 1,'' use of HUD reports and analyses,
relevant economic and/or demographic data including indices of
segregation in areas by race or national origin, government or
foundation reports and studies, news articles, and other information
which relate to your proposed activities.
In evaluating this sub-factor for applications submitted under the
General Components of PEI and EOI, five of the 15 points will be
awarded to proposals which address the needs of underserved
populations, as defined in Section IV.(A)(11) of this program section
of the SuperNOFA. When describing the need of underserved populations,
you should include: (a) the extent to which there is an urgent and/or
unmet need for undertaking eligible activities aimed at underserved
populations in the area to be served, and (b) a strategy for providing
fair housing services to these populations.
(2) (10 points) Rationale for Proposed Activities and Methods. The
extent to which your proposal provides a rationale for how the proposed
activities and methods most effectively deal with the need you
described in responding to the preceding sub-factor. You should discuss
how you took into account existing and planned efforts of government
agencies, community-based organizations, faith-based institutions, for-
profit firms, and other entities to address such needs in the
community(ies) to be served, how the proposed program complements or
supplements existing efforts and why additional funds are being
requested.
Rating Factor 3: Soundness of Approach (35 Points)
This factor addresses the quality and cost-effectiveness of your
proposed Statement of Work. You must show a clear relationship between
your proposed activities, community needs and the purpose of the
program funding in order to receive points for this factor. In
addition, HUD has pledged to substantially increase its enforcement
[[Page 9686]]
actions, and all projects funded under this SuperNOFA shall contribute
to the accomplishment of this goal. In evaluating your response to this
rating factor, HUD will consider the extent to which your proposal
demonstrates:
(1) (15 points) Description of Proposed Activities. How your
proposed activities will result in the referral of enforcement
proposals to HUD as demonstrated by the number projected in your
proposal and method used to obtain that projection. Specifically, your
projection should relate to cases being referred to HUD during the
period of performance of the grant from activities you will perform
under your award. In responding to this factor, describe the methods to
be developed or used to identify and refer enforcement proposals to
HUD, how you derived your projected number of referrals and the
relationship to your proposed activities. If your past activities have
resulted in successful enforcement proposals being referred to HUD,
describe these actions and the outcome of such referrals.
Examples of enforcement proposals include:
(i) Allegations that are supported by evidence that meet the
requirements for a filed complaint under the Fair Housing Act,
including prima facie evidence, with or without related testing
evidence;
(ii) Results of testing or audits demonstrating potential housing
discrimination;
(iii) Well-developed analysis of data including Home Mortgage
Disclosure Act (HMDA), Community Reinvestment Act (CRA) Analyses,
Census data, current studies of residential segregation, or other
similar documentation supporting allegations of discrimination; and
(iv) Referrals of claims to HUD on behalf of individuals or groups
other than your organization.
(b) Your application must provide a basis for your specific
activities relating to enforcement proposal referrals to HUD and your
projected number of enforcement proposal referrals that are described
in your Statement of Work. Your final performance measures for
enforcement proposal referrals will be negotiated between you and HUD
as part of the executed grant agreement and will be based upon your
proposal.
(2) (10 points) Statement of Work. Additionally, HUD is looking for
an efficient, effective and feasible Statement of Work that:
(a) Describes in broad terms the design and objectives of your
proposal, including the geographic area to be served; the protected
classes to be served; end product(s); program improvements to be
achieved; total number of staff needed to complete all proposed
activities and projected referrals to HUD; key personnel by years of
experience, name and function; and the number of referrals for
enforcement you expect to refer to HUD. You must also describe how
program objectives for the component for which you are seeking funding
will be met (e.g., enforcement efforts (PEI); education and outreach
(EOI); creating or building a fair housing capacity organization
(FHOI));
(b) Outline in chronological order your administrative and program
tasks to be performed and the duration of the project. Your outline
should identify all tasks and sub-tasks to be performed and by whom,
i.e., you or a sub-recipient; deliverables which will be provided to
HUD and when; and technically competent methodologies you will use to
carry out these tasks.
(3) (10 points) Budget and Financial Controls. HUD also will assess
the soundness of your approach by evaluating the following:
(a) The quality, thoroughness and reasonableness of the cost
estimates provided. As part of your response, a summary budget should
be provided which identifies costs by category in accordance with the
following:
(i) 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;
(ii) 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;
(iii) Material Costs indicating the item, unit cost per item, the
number of items to be purchased, estimated cost per item, and the total
estimated material costs;
(iv) Transportation Costs, as applicable. Where a local private
vehicle is proposed to be used, costs should indicate the proposed
number of miles, rate per mile of travel identified by item, and
estimated total private vehicle costs. Where air transportation is
proposed, costs should identify the destination(s), number of trips per
destination, estimated air fare and total estimated air transportation
costs. If other transportation costs are listed, you should identify
the other method of transportation selected, the number of trips to be
made and destination(s), the estimated cost, and the total estimated
costs for other transportation costs;
(v) Per diem, as applicable. You should identify per diem or
subsistence costs per travel day and the number of travel days
included, the estimated costs for per diem/subsistence and the total
estimated transportation costs. You should use the Federal Travel
Regulation for per diem rate for cities listed under ``Transportation
Costs'' in your cost estimate;
(vi) Equipment charges, if any. Equipment charges should identify
the type of equipment, quantity, unit costs and total estimated
equipment costs;
(vii) 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;
(viii) Subcontract Costs, if applicable. Indicate each proposed
individual subcontract and amount. Each proposed subcontract should
include a separate budget which identifies proposed costs by cost
categories. In addition, your project budget should include any costs
related to subcontract(s) with FHAP agencies and traditional civil
rights organizations which account for activities related to the sub-
recipient's role in the project. A separate detailed budget for each
subcontract should be included in the application. If you have selected
sub-recipients or are submitting a joint application with one partner
serving as a lead applicant, you must provide the actual subcontract
costs;
(ix) Other Direct Costs listed by item, quantity, unit cost, total
for each item listed, and total direct costs for the award;
(x) Indirect Costs should identify the type, approved indirect cost
rate, base to which the rate applies and total indirect costs.
(b) The rationale used to determine costs and validation of fringe
and indirect cost rates, if you are not using an accepted, Federally
negotiated indirect cost rate;
(c) The extent to which your program is cost effective in achieving
the anticipated results of your proposed activities as well as in
achieving significant community impact; and
(d) The extent to which you demonstrate capability in handling
financial resources with adequate financial control procedures and
accounting procedures. HUD will consider items such as findings
identified in your most recent audits, internal consistency in the
application of numeric quantities, accuracy of mathematical
calculations and other available information on financial management
capability.
[[Page 9687]]
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 other words, to
what extent can you get groups in the community to work with you. In
evaluating this factor HUD will consider:
(1) (5 points) Extent to Which Applicant Has Secured Other
Resources. The extent to which local groups will provide additional
resources to increase the effectiveness of the proposed activities.
Resources may include funding or in-kind contributions, such as
services or equipment, allocated to the purpose(s) of your proposal.
Resources may be provided by governmental entities, public or private
non-profit organizations, for-profit private organizations, or other
entities willing to work with you. You may also work with other FHIP-
funded recipients to coordinate the use of resources in your project
area.
(2) (5 points) Evidence of Firm Commitment of Leveraging. The
extent to which there is evidence of leveraging. You can establish this
by providing letters of firm commitment; memoranda of understanding
(MOU); or agreements to participate from those entities identified as
partners in your application. Each letter of commitment, memorandum of
understanding, or agreement to participate should: (a) identify the
organization, (b) describe the proposed level of commitment, (c)
outline the responsibilities as they relate to your proposal, and (d)
be signed by an official of the organization legally able to make
commitments on behalf of the organization. If you are applying under
the PEI-JEP you must submit a memorandum of understanding in support of
your leveraged partnership.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you coordinate your
activities with other organizations in the project area, participate or
promote participation in the project area's Consolidated Planning
process (including Analysis of Impediments to Fair Housing Choice), and
are creating linkages with other activities in the community. In other
words, to what extent are you working with others to address community
needs in your project area. In evaluating this factor, HUD will
consider the extent to which you demonstrate:
(1) Project activities will reach your targeted audience. This
includes a discussion of how: (a) your methods or approaches will
ensure that project activities and materials are made available to
local groups and organizations, and (b) the project can enhance the
activities or work in tandem with such groups or organizations in your
project area. At a minimum, your application should discuss procedures
you will use to promote awareness of the services provided by your
proposal.
(2) Project activities will make communities and organizations in
your project area aware of opportunities for linking activities with:
(a) Other proposed or on-going HUD-funded program activities;
(b) Other proposed or on-going State, Federal, local or privately
funded activities which, taken as a whole, support and sustain a
comprehensive system to address the purpose of these programs; and
(c) Other activities being undertaken to address barriers to
housing choice identified in the Consolidated Plan's Analysis of
Impediments to fair housing choice.
(E) Factors for Award Used To Evaluate and Rate Applications for the
National Education and Outreach Initiative Program
The factors for rating and ranking applicants and the maximum
points for each factor, are provided below. The maximum number of
points to be awarded any application is 102. This includes two EZ/EC
bonus points, as described in the General Section of the SuperNOFA.
Rating Factor 1: Capacity of Applicant and Relevant Organizational
Experience (20 Points)
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement your
proposed activities in a timely manner, and your ability to collect or
make available prototypes of successful fair housing education and
enforcement business practices and techniques, as appropriate, on a
national scale. The rating of your organization and staff for technical
merit or threshold compliance, unless otherwise specified, will include
any consultants, sub-recipients, and partners that are firmly committed
to the project. In rating this factor, HUD will consider the extent to
which your application demonstrates:
(1) (5 points) General Description of Applicant Organization and
Relevant Experience.
(a) The eligibility and qualifications of your organization; the
type of organization (e.g., public, private, non-profit, for profit);
and your general areas of activity or line of business;
(b) Your management of large, complex, interdisciplinary projects;
(c) Awards and major accomplishments of your organization. HUD may
also consider any documented evidence, such as performance reviews,
newspaper articles, or monitoring findings, that may reflect positively
or negatively upon your ability and the proposed staff's ability to
perform the work;
(d) Your ability to handle financial resources with adequate
financial control procedures and accounting procedures. In addition,
HUD will consider findings identified in your most recent audits;
internal consistency in the application of numeric quantities; accuracy
of mathematical calculations; and other available information on
financial management capability.
(2) (10 points) Specific Description of Staff for Proposed
Activities. Whether you have sufficient personnel or will be able to
quickly access qualified experts or professionals to deliver your
proposed activities in a timely and effective fashion, including your
readiness and ability to immediately begin your proposed work program;
the knowledge and experience of your overall proposed project director
and staff, including the day-to-day program manager, consultants and
sub-recipients in planning and managing programs for which funding is
being requested. To demonstrate that you have sufficient personnel, you
must submit the proposed number of staff hours for your employees and
experts allocated to your project, the titles and relevant professional
background and experience of each employee and expert proposed to be
assigned to your project, and the roles to be performed by each
identified employee and expert. Experience will be judged in terms of
at least two years' worth of recent and relevant experience to
undertake eligible program activities or projects similar in scope or
nature and directly relevant to your work activities proposed.
(3) (5 points) Specific Description of Experience Relevant to the
Proposed Activities. Demonstrated past experience(s) in collecting,
analyzing and making available prototypes of successful fair housing
education and enforcement business practices and techniques, as
appropriate, on a national scale. You must describe your ability to
understand fair housing enforcement-related issues/policies/practices
which influence discriminatory housing
[[Page 9688]]
practices. In responding to this rating factor, it will be especially
helpful to describe your past experiences with developing and
implementing innovative strategies and the results of those efforts.
The rating of this factor for technical merit will include any
consultants, sub-recipients, and partners that are identified as
participants in your project. If you have or are currently receiving
funding under FHIP, you should list and provide the status of your
previous referrals of enforcement proposals to HUD, especially those
made during FY 1998 and a list of cases referred to HUD for joint
enforcement.
Rating Factor 2: Need/Distress/Extent of the Problem (25 Points)
This factor addresses the extent to which you document and address
the national need for educating immigrant and other underserved
populations about their fair housing rights and ensure that enforcement
mechanisms address the specific types of discrimination they encounter.
You should state which activities and methods you intend to address,
and how your proposal offers the most effective approach for dealing
with that national need. In responding to this factor, you will be
evaluated on the following:
(1) (15 points) Documentation of Need. The extent to which you
describe and document the national need you intend to address, and
demonstrate a grasp of the elements of the problem and its
pervasiveness at the national level. Your description of the national
need will be used to evaluate the depth of your understanding of the
problem as an indication of your ability to address the problem; and
(2) (10 points) Rationale for Proposed Activities and Methods. The
extent to which you provide a rationale for how your proposed
activities and methods most effectively deal with the national need
described in response to sub-factor (1), above.
Rating Factor 3: Soundness of Approach (35 Points)
This factor addresses the quality and cost-effectiveness of your
proposed Statement of Work. In evaluating this factor, HUD will
consider the extent to which:
(1) (15 Points) Description of Proposed Activities. Your proposed
activities will be conducted in a manner (e.g., languages, formats,
locations, distribution, use of minority media) to reach and benefit
all members of the public, especially underserved populations; and
proposed activities will yield long-term results and innovative
strategies or ``best practices'' that can be readily disseminated to
other organizations and State and local governments.
(2) (10 Points) Statement of Work. Applications include Statement
of Work that:
(a) Clearly describe your specific tasks and sub-tasks to be
performed; the sequence in which the tasks are to be performed, noting
areas of work which must be performed simultaneously; estimated
completion dates; and program deliverables to be completed within the
grant period, including specific numbers of quantifiable end products
and program improvements you intend to deliver by the end of the award
agreement period as a result of the work performed;
(b) Provide national coverage and identify the protected class
focus of the project, and serve the needs of new immigrants and
underserved populations; and
(c) Describe the immediate benefits of your proposal and how you
will measure the benefits. You must describe the methods you will use
to determine the effectiveness of your proposed activities and benefits
achieved to receive points.
(3) (10 Points) Budget and Financial Controls. You must include
proposed budgets that demonstrate:
(a) Cost estimates, salary levels, staff assignments, number of
staff hours, and other budget items are reasonable, allowable, and
appropriate for your proposed activities.
(b) Your proposed program is cost effective in achieving its
anticipated results, as well as in achieving significant impact.
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 other words, to
what extent can you get others to work with you. In evaluating this
factor HUD will consider:
(1) (5 points) Extent to Which Applicant has Secured Other
Resources. The extent to which others will provide additional resources
to increase the effectiveness of your proposed project activities.
Resources may include funding or in-kind contributions, such as
services or equipment allocated to the purpose(s) of your proposal.
Resources may be provided by governmental entities, public or private
non-profit organizations, for-profit private organizations, or other
entities willing to work with you. You may also work with other FHIP-
funded recipients to coordinate the use of resources in the project
area.
(2) (5 points) Evidence of Firm Commitment of Leveraging. The
extent to which there is evidence of leveraging. You can establish this
by providing letters of firm commitment; memoranda of understanding; or
agreements to participate from those entities identified as partners in
your application. Each letter of commitment, memorandum of
understanding, or agreement to participate should: (a) identify the
organization, (b) describe the proposed level of commitment, (c)
outline the responsibilities as they relate to the proposed project,
and (d) 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 you coordinate your
activities with other organizations in your project area, and are
creating linkages with other activities in your project area. In other
words, to what extent are you working with others to address needs in
your project area. In evaluating this factor, HUD will consider the
extent to which you demonstrate:
(1) Project activities will reach your targeted audience. This
includes a discussion of how: (a) your methods or approaches will
ensure that project activities and materials are made available to
local groups and organizations, and (b) the project can enhance the
activities or work in tandem with such groups or organizations in your
project area. At a minimum, your application should discuss procedures
you will use to promote awareness of services provided by your proposed
project.
(2) Project activities will make communities and organizations in
your project area aware of opportunities for linking activities with:
(a) Other HUD-funded programs activities, proposed or on-going; or
(b) Other proposed or on-going State, Federal, local or privately
funded activities which, taken as a whole, support and sustain a
comprehensive system to address the purpose of these programs.
(F) Applicant Notification and Award Procedures
(1) Notification. No information will be available to you during
the period of HUD evaluation, approximately 90 days, except for
notification in writing or by telephone if HUD determines your
[[Page 9689]]
application is ineligible or has correctable deficiencies (as described
in Section V. of the General Section of the SuperNOFA). Selections will
be announced by HUD upon completion of the evaluation process and will
be subject to final award negotiations of award.
(2) Negotiations. After HUD has ranked the applications and
provided notifications to those selected, HUD will require selected
applicants to participate in negotiations to determine the specific
terms of the cooperative or grant agreement. HUD will follow the
negotiation procedures described in Section III.(D) of the General
Section of the SuperNOFA.
(3) Funding Instrument. HUD expects to award a cost reimbursable or
fixed-price cooperative or grant agreement to each successful
applicant. HUD reserves the right, however, to use the form of
assistance agreement determined to be most appropriate after
negotiation with the selected applicants.
(4) Adjustments to Grant Amounts. As provided in Section III.(E) of
the General Section of the SuperNOFA, HUD may approve an application
for an amount lower than the amount requested, fund only portions of an
application, withhold funds after approval, and/or require that special
conditions be added to the grant agreement, in accordance with 24 CFR
84.14, the requirements of this SuperNOFA, or where:
(a) HUD determines the amount requested for one or more eligible
activity is unreasonable or unnecessary;
(b) An ineligible activity is proposed in an otherwise eligible
project;
(c) Insufficient amounts remain to fund the full amount requested
in the application, and HUD determines that partial funding is a viable
option; or
(d) An applicant has demonstrated an inability to manage HUD
grants, particularly FHIP grants.
(5) Performance Sanctions. A grantee or sub-recipient, failing to
comply with the procedures set forth in its grant agreement will be
liable for such sanctions as may be authorized by law, including
repayment of improperly used funds, termination of further
participation in the FHIP, and denial of further participation in
programs of HUD or any Federal agency.
VI. Application Submission Requirements
In addition to the statements, forms, certifications and assurances
required by Section II(G) of the General Section of the SuperNOFA and
by the Program Requirements in Section IV. of this program section of
the SuperNOFA, your application must, at a minimum, contain the
following items:
(A) Transmittal Letter. Your letter must identify: (1) the dollar
amount requested for each component, (2) the specific FHIP initiative
and component under which your application is submitted, and (3) in the
case of the EOI, whether it is the Regional/Local/Community Based
Program or the National Program.
(B) Narrative Statement. Your narrative statement must address, and
should be numbered to track, the Factors for Award in Section V.(D),
above, of this FHIP section of the SuperNOFA.
(C) Financial Management and Audit Information. You must submit a
certification from an Independent Public Accountant or the cognizant
government auditor, stating that the financial management system
employed by you meets proscribed standards for fund control and
accountability required by: OMB Circular A-133, Audits of States, Local
Governments and Non-Profit Organizations; OMB Circular A-110 (as
codified at 24 CFR part 84), Uniform Administrative Requirements for
Grants and Agreements With Institutions of Higher Education, Hospitals,
and other Non-Profit Organizations; and/or OMB Circular A-102 (as
codified at 24 CFR Part 85) Uniform Administrative Requirements for
Grants and Cooperative Agreements to State, Local and Federally
Recognized Indian Tribal Governments. This information should contain
the name and telephone number of the Independent Auditor, cognizant
Federal auditor, or other audit agency, as applicable.
(D) Non-Profit Status. If you are applying under the PEI and FHOI
Initiatives, you must submit documentation with your application that,
as of the closing date of this FHIP section of the SuperNOFA, you are a
501(c)(3) tax-exempt organization as determined by the Internal Revenue
Service. Failure to submit this documentation with your application
will be treated as a technical deficiency as discussed in Section V. of
the General Section of this SuperNOFA.
(E) JEP Component. If you are submitting a JEP application, your
application must include a memorandum of understanding (MOU) from all
project participants describing the signatories' duties and
responsibilities. The MOU must be signed by an official of the
partnership organization authorized to make commitments on behalf of
the organization. If you fail to submit this documentation with your
application, your application will be ineligible.
(F) Preference for Award Must Be Stated. If your application does
not state a funding preference as required by Section IV.(A)(3), above,
of this program section of the SuperNOFA, your application will be
ineligible.
VII. Corrections to Deficient Applications
Section V of 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 (12) of HUD regulations,
activities assisted under this program are categorically excluded from
the requirements of the National Environmental Policy Act and are not
subject to environmental review under related laws and authorities.
IX. Authority
Section 561 of the Housing and Community Development Act of 1987
(42 U.S.C. 3616 note, established the Fair Housing Initiatives Program
(FHIP)) and the implementing regulations are found at 24 CFR part 125.
FHIP Appendix--New Organizations Established Under FHIP ENOC
------------------------------------------------------------------------
Name and address of new organization Area served
------------------------------------------------------------------------
The Fair Housing Continuum, 846 N. Cocoa Brevard County, Florida.
Blvd., Cocoa, FL 32922.
North Carolina Fair Housing Center, 101 St. State of North Carolina.
Mary Street, Raleigh, NC 27609.
Southern Center of Civil Rights Enforcement, Areas in Georgia,
1083 Austin Ave, NE, Atlanta, GA 31107. Arkansas, Mississippi
and South Carolina.
Central Alabama Fair Housing Center, 207 Central and Southern
Montgomery St. Suite 725, Montgomery, AL Alabama.
36104.
Arkansas Fair Housing Organization, 2101 Central Arkansas.
South Main Street, Little Rock, AR 72206.
Arkansas Fair Housing Council, 103 West Arkansas Congressional
Capitol, #1115, Little Rock, AR 72201. Districts #1, 2 and 4.
Fair Housing Action Center, 938 Lafayette Greater Metropolitan New
St., #413, New Orleans, LA 70113. Orleans.
[[Page 9690]]
Legal Aid Society of Albuquerque, 121 State of New Mexico.
Tijereas, NE, #3100, Albuquerque, NM 87102.
Louisiana Fair Housing Organization, 1624 Southern Louisiana.
Elysian Fields, Ave., New Orleans, LA 70117.
New Mexico Fair Housing Organization, 918 Central New Mexico
Silver SW, Albuquerque, NM 87102. (primarily Albuquerque
and Santa Fe).
Fair Housing Center of Nebraska, 2522 N. 24th Omaha, Nebraska and South
St., #103, Omaha, NE 68110. Sioux City.
Kansas City Fair Housing Center, 3033 Metropolitan Kansas City,
Prospect Ave., Kansas City, MO 64128. Missouri.
Metro St. Louis Equal Housing Opportunity Metropolitan St. Louis,
Center, 1027 VanDerventer Ave., 4th Floor, Missouri.
St. Louis, MO 63110.
North Dakota Fair Housing Council, 533 State of North Dakota.
Airport Rd, Suite B, Bismark, ND 58504.
Greater Nevada Fair Housing Council, 410 East Northern Nevada.
John Street, Carson City, NV 89706.
Nevada Fair Housing Center, 2725 East Desert Southern Nevada.
Inn Road, Suite 180, Las Vegas, NV 89121.
Fair Housing Council of Fresno County, 2014 Fresno, California.
Tulane St., #413, Fresno, CA 93721.
Idaho Fair Housing Council, 310 N. 5th State of Idaho.
Street, Boise, ID 83702.
Northwest Fair Housing Alliance, 1613 West Eastern Washington.
Gardner Ave., Spokane, WA 99201.
Fair Housing Council of South Puget Sound, Puget Sound.
8815 S. Tacoma Way, Suite 211, Tacoma, WA
98499.
Asian Americans for Equality FH Cntr......... Queens, NY.
San Antonio Fair Housing Center.............. San Antonio, TX.
Fair Housing Center of Houston............... Houston, TX.
------------------------------------------------------------------------
BILLING CODE 4210-32-P
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9691]]
[GRAPHIC] [TIFF OMITTED] TN26FE99.025
BILLING CODE 4210-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9693]]
Funding Availability for the Housing Counseling Program
Program Overview
Purpose of the Program. The purpose of this program is to provide
comprehensive housing counseling through national, regional, multi-
State housing counseling agencies, State housing finance agencies, and
local HUD-approved housing counseling agencies. Counseling assists
homebuyers, homeowners, and tenants to meet their housing needs and
resolve their housing problems.
Available Funds. Approximately $16.6 million.
Eligible Applicants. (1) HUD-approved national, regional, or multi-
State intermediaries; (2) HUD-approved local housing counseling
agencies; and (3) State housing finance agencies.
Application Deadline. May 25, 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. You must submit a completed application on or
before 12:00 midnight, Eastern time on May 25, 1999 to the addresses
shown below.
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. If you are a Local Housing
Counseling Agencies or State Housing Finance Agencies: Send an original
and two copies of your completed application to the respective HUD
Homeownership Center (HOC) having jurisdiction over the locality, area
or State in which your proposed program is located. Your application
should be sent to the attention of the Program Support Division
Director, and the envelope should be clearly marked ``FY 1999 Housing
Counseling Application''. A list of the HUD Homeownership Centers,
including their jurisdictions, and the Program Support Division
Directors appears below and in the Application Kit.
------------------------------------------------------------------------
Office
------------------------------------------------------------------------
Philadelphia Homeownership Center:
Mr. Michael Perretta, The Wanamaker Albany, Baltimore, Boston,
Building, 100 Penn Square East, Buffalo, Camden, Cleveland,
Philadelphia, PA 19107-3380, Charleston, Cincinnati
Contact: Robert Wright Flint, Columbus, Detroit, Grand
(215) 656-0527 x3406. Rapids, Hartford, Manchester,
New York, Newark Philadelphia,
Pittsburgh, Providence,
Richmond, District of
Columbia.
Atlanta Homeownership Center:
Ms. Gayle Knowlson, Richard B. Atlanta, Birmingham, Caribbean,
Russell Federal Building, 75 Chicago and Springfield,
Spring Street, S.W., Room 572, Columbia, Coral Gables,
Atlanta, GA 30303-3308, Contact: Greensboro, Indianapolis,
Fellece Sawyer-Coleman (404) 331- Jackson, Jacksonville,
5001 x2675. Knoxville, Louisville,
Memphis, Nashville, Orlando,
Tampa.
Denver Homeownership Center:
Ms. Jane Hall First Interstate Albuquerque, Denver, (Casper,
Tower North, 633 17th Street, Fargo, Sioux Falls), Dallas,
Denver, CO 80202-3607, Contact: Des Moines, Denver, Ft. Worth,
Lorraine Griscavage-Frisbee (303) Helena, Houston, Kansas City,
672-5216 x1515. Little Rock, Lubbock,
Milwaukee, Minneapolis, New
Orleans, Oklahoma City, Omaha,
Salt Lake City, San Antonio,
Shreveport, St. Louis, Tulsa.
Santa Ana Homeownership Center:
Mr. Jerrold Mayer, 1600 N. Anchorage, Boise, Fresno,
Broadway, Suite 100, Santa Ana, CA Honolulu, Las Vegas and Reno,
92706-3927, Contact: Rhonda J. Los Angeles, Phoenix,
Rivera, Chief, x3210, 1-888-827- Portland, Sacramento, San
5605, (714) 796-1200. Diego, San Francisco, Santa
Ana, Seattle, Spokane, Tucson.
------------------------------------------------------------------------
If you are a National, Regional or Multi-State Housing Counseling
Intermediary, send an original and two copies of the completed
application to Director, Program Support Division, Office of Single
Family Housing, HUD Headquarters, 451 7th Street, S.W., Washington, DC
20410, Room 9166. The envelope should be clearly marked, ``FY 1999
Intermediary Application''. If you submit an application to HUD using
the above procedures, you will avoid having your application
disqualified.
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 Federal
Information Relay Service at 1-800-877-8339. The application kit also
will be available on the Internet through the HUD web site at http://
www.HUD.gov. When requesting an application kit, please refer to the
Housing Counseling Program. The SuperNOFA Information Center can
provide you with assistance in determining which HUD locations should
receive a copy of your application.
For Further Information and Technical Assistance. If you are a
local housing counseling agency or State housing finance agency, you
may call the HUD Homeownership Center serving your area. If you are a
national, regional, or multi-State intermediary, you may call HUD
Headquarters. Please see above and your application kit for a list of
offices and telephone numbers you can call to receive assistance.
Before the application deadline, HUD staff will be available to provide
general guidance.
II. Amount Allocated
Under this SuperNOFA, $16.6 million of the $17.5 million
appropriated is made available for eligible applicants. An allocation
of $900,000 of the $17.5 million total in program funding has been set
aside for Housing Counseling support, which may include continuation of
the Housing Counseling Clearinghouse, and/or HUD counseling
initiatives.
The estimated amount of funds available for sub-allocation is as
follows:
--Local Housing Counseling Agencies (LHCA). Approximately $ 5.6 million
has been made available for grants to local HUD-approved housing
counseling agencies. Funding is allocated to each of the HUD
Homeownership Centers by a formula that reflects the increased emphasis
on the expansion of homeownership opportunities for first-time
homebuyers and HUD's intent to ensure appropriate geographical
distribution of program funds. For FY 1999, no individual local housing
[[Page 9694]]
counseling agency may be awarded more than $100,000.
--National, Regional, and Multi-State Intermediaries. Approximately
$7.5 million is being set aside to fund HUD-approved national, regional
and multi-State intermediaries that apply for funding under this
SuperNOFA. There is no longer any cap on the amount that national,
regional, or multi-State intermediaries may receive.
--State Housing Finance Agencies (SHFA). Approximately $3.5 million is
being set aside to fund State housing finance agencies. HUD will fund
State housing finance agencies according to the budget submitted with
the application, in an amount not to exceed $500,000.
The amount of funding available to each of the four HUD
Homeownership Center jurisdictions for allocation to local housing
counseling agencies and State housing finance agencies is:
------------------------------------------------------------------------
Funding Funding
Homeownership center allocation* allocation**
(LHCA) (SHFA)
------------------------------------------------------------------------
Atlanta, GA............................. $1,200,000 $890,000
Denver, CO.............................. 1,400,000 890,000
Philadelphia, PA........................ 1,700,000 935,000
Santa Ana, CA........................... 1,300,000 785,000
------------------------------------------------------------------------
* Each HOC has been allocated a minimum of $1 million, with the balance
being distributed to each HOC based on the number of clients counseled
within its jurisdiction during FY 1998.
** Each HOC has been allocated a minimum of $750,000, with the balance
being distributed to each HOC based on the number of SHFAs funded
within its jurisdiction under the FY 1998 SuperNOFA.
Remaining and Deobligated Funds/Reallocations. If funds remain
after HUD has funded all approvable grant applications in its
Homeownership Center jurisdictions, or Headquarters, or if any funds
become available due to deobligation, that amount will be retained by
HUD Headquarters for future housing counseling use.
Funding Levels. The Factors for Award will be used to evaluate your
application for funding. If you are a successful applicant, HUD
requires that you participate in negotiations to determine the specific
grant amount and the terms of the grant agreement. HUD will follow the
negotiation procedures described in Section III(D) of the General
Section of the SuperNOFA. Housing Counseling grants are fundable for a
period of twelve (12) calendar months. This period may begin from the
date that your award is executed by HUD, or not more than 90 days prior
to your award execution date.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description
HUD-approved housing counseling agencies provide counseling and
advice to tenants and homeowners on property maintenance, financial
management, and other matters appropriate to assist tenants and
homeowners in improving their housing conditions and meeting
responsibilities of tenancy and homeownership. In addition, HUD-
approved housing counseling agencies conduct community outreach
activities and provide counseling to individuals, including persons
with visual or hearing impairments or other disabilities, with the
objective of increasing awareness of homeownership opportunities and
improving access of low and moderate income households to sources of
mortgage credit. HUD believes that this activity is key to the
revitalization and stabilization of low income and minority
neighborhoods. Agencies assist first-time homebuyers by offering
Homebuyer Education and Learning Program (HELP) training sessions.
Agencies also meet the counseling needs of eligible persons 62 or older
who desire to use the Home Equity Conversion Mortgage (HECM) to convert
their equity into a lump sum payment or an income stream that can be
used for home improvements, medical costs, and/or living expenses.
(B) Eligible Applicants
Under the housing counseling program, HUD contracts with qualified
public or private nonprofit organizations to provide housing counseling
services. There are three categories of applicants eligible to submit
applications:
--HUD-approved national, regional, or multi-State intermediaries.
If you are a HUD-approved national, regional, or multi-State
intermediary, your primary activity is to manage the use of HUD housing
counseling funds. This includes the distribution of housing counseling
funding to affiliated local housing counseling agencies. Your local
affiliates are eligible to undertake any or all of the housing
counseling activities, described for HUD-approved local housing
counseling agencies. Local affiliates receiving funding through your
organization do not need to be HUD-approved in order to receive funds
from you. However, your intermediary organization must be HUD-approved
as of the date of this SuperNOFA. You must identify all of your
proposed affiliates in your application. An affiliate of your
organization may also apply to a State housing finance agency for a
sub-grant, whether or not it received a sub-grant from you. However, if
your affiliate is not HUD-approved, you must certify the quality of
services provided will meet, or exceed, standards for local HUD-
approved housing counseling agencies.
As a selected intermediary, you must distribute the majority of
your award funds to your housing counseling affiliates. HUD will give
you wide discretion to implement your housing counseling program with
your affiliates. You must execute sub-grant agreements with your
affiliates that clearly delineate the mutual responsibilities for
program management and appropriate time frames for reporting results to
HUD.
You can decide how to allocate funding among your affiliates with
the understanding that a written record must be kept of how you
determined your funding levels. This record must be made available to
your affiliates and to HUD. You should budget an amount which reflects
your best estimate of the cost to oversee and fund the housing
counseling efforts of your affiliates. You must seek other private and
public sources of funding to supplement HUD funding. HUD does not
intend for its counseling grant funds to cover all costs incurred by an
agency participating in this program.
Your organization, as well as all your affiliates, must meet the
Civil Rights Threshold requirements that are listed in Paragraph II.(B)
of the General Section of the SuperNOFA.
Note: If you are a national, regional, or multi-State intermediary,
you must assure that your proposed affiliates are unique to your team,
and will not undertake a separate application for
[[Page 9695]]
funds. Should any duplication occur, both your intermediary
organization and the local housing counseling agency requesting
separate funds will automatically be ineligible for further
consideration to receive FY 1999 housing counseling funds.
--HUD-approved local housing counseling agencies
These agencies are private and public non-profit organizations,
approved by HUD to provide housing counseling services directly to
clients. If you are a HUD-approved private or public non-profit
organization, HUD will fund your local housing counseling agency
activities according to the budget submitted with your application. The
amounts you request should reflect anticipated operating needs for your
housing counseling activities, based upon your counseling experience
during the previous fiscal year and your current agency capacity.
You may also apply for a sub-grant to a State housing finance
agency, whether or not you have a housing counseling grant from HUD.
However, you must disclose all funding sources to HUD. If you are a
local housing counseling agency that is not currently HUD-approved, you
may receive FY 1999 funding only as an affiliate of a HUD-approved
national, regional, or multi-State intermediary; or State housing
finance agency.
--State housing finance agencies
Your primary activity as a State housing finance agency is to
provide housing counseling services as a local housing counseling
agency and/or manage the use of HUD housing counseling funds, including
the distribution of counseling funding to your affiliated local housing
counseling organizations. You and your local affiliates are eligible to
undertake any or all of the housing counseling activities described for
HUD-approved local housing counseling agencies. As either a housing
counseling agency or intermediary, you and your local affiliates do not
need to be HUD-approved in order to receive these funds. As a State
housing finance agency, you can operate as a housing counseling agency
and/or as an intermediary for affiliates that perform housing
counseling functions in your State or territory. As an intermediary,
you must identify all your proposed affiliates in your application. The
amount you request should reflect anticipated operating needs for
housing counseling activities, based upon the counseling experience
during FY 1998 and your current capacity. In your role as an
intermediary, the amount you request should reflect your best estimate
of costs to oversee and fund your housing counseling affiliates. HUD
will give you wide discretion to implement your housing counseling
program with your affiliates. As a State intermediary, you must execute
sub-grant agreements with your affiliates that clearly delineate the
mutual responsibilities for program management, including appropriate
time frames for reporting results to HUD. Your affiliate may be a local
housing counseling agency. Local housing counseling agencies may also
be affiliates of national, regional, or multi-State intermediaries. You
must decide how to allocate funding among your affiliates with the
understanding that a written record will be kept of how your
determination was made. This record must be made available to the
affiliates and to HUD. You must certify that, if your affiliate is not
HUD-approved, the quality of services provided will meet, or exceed,
standards for local HUD-approved housing counseling agencies.
You must seek other private and public sources of funding to
supplement HUD funding. HUD does not expect its counseling grant funds
to cover all costs incurred by your organization's participation in
this program. You may use the HUD grant to undertake any of the
eligible counseling activities.
(C) Eligible Activities.
If you are a housing counseling agency funded under this SuperNOFA,
you may use HUD funds to deliver comprehensive housing counseling, or
you may specialize in delivering of particular housing counseling
services. Either way, your activities must reflect the housing needs
you submitted in your funding application for your target area and
identified in your plan. You may conduct a wide range of housing
counseling services that are eligible under this program, including:
(1) Homebuyer Education Programs where HUD's Homebuyer Education
and Learning Program (HELP) materials are used in sessions consisting
of approximately sixteen (16) hours of training. Completion of the
training allows graduates to receive first-time homebuyer incentives,
such as a reduction in their FHA insurance premium. HUD staff at each
HUD Homeownership Center will be available to provide you with the HELP
materials.
(2) Pre-purchase Homeownership Counseling covering purchase
procedures, mortgage financing, down payment/closing cost fund
accumulation, accessibility requirements, and if appropriate, credit
improvement, and debt consolidation.
(3) Post-purchase Counseling including property maintenance, and
personal money management.
(4) Mortgage delinquency and default resolution counseling
including restructuring debt, arrangement of reinstatement plans, loan
forbearance, and loss mitigation.
(5) Home Equity Conversion Mortgage (HECM) counseling to assist
clients who are 62 years old or older with the complexities of
converting the equity in their homes to income to pay living expenses
or medical expenses.
(6) Loss Mitigation Counseling for clients who may be facing
default and foreclosure, and need mortgage default resolution and
foreclosure avoidance counseling.
(7) Marketing and Outreach Initiatives including providing general
information about housing opportunities within your target area and
providing housing counseling services and information to persons with
disabilities. Under this program, you are required to extend marketing
and outreach services to all segments of the population.
(8) Renter Assistance Counseling including information about rent
subsidy programs, rights and responsibilities of tenants, and lease and
rental agreements.
(9) Fair Housing Assistance including:
(a) Advocating with lenders, appraisers and developers on behalf of
clients to recognize the value of non-traditional lending standards,
the vitality of housing values in all areas, and the added value of
accessible housing design; and
(b) Advising clients on how to recognize discriminatory acts, and
how to file a Fair Housing complaint. (This will require being familiar
with the provisions of the Fair Housing Act).
You may elect to offer your services to a wide range of clients, or
serve a more limited audience, provided your limited services do not
constitute discrimination on the basis of race, color, religion, sex,
national origin, disability or familial status. Your potential clients
include: first-time homebuyers, homebuyers and homeowners eligible for,
and applying for, HUD, VA, FmHA (or its successor agency), State,
local, or conventionally financed housing or housing assistance; or
persons who occupy such housing and seek the assistance of a housing
counseling agency to resolve a housing need. You may elect to offer
this assistance in conjunction with any HUD housing program; however,
to do this, you must be familiar with FHA's single
[[Page 9696]]
family and multifamily housing programs.
IV. Program Requirements
(A) General Requirements.
The requirements listed in Section II of the General Section of the
SuperNOFA apply to this program.
(B) Requirements Applicable to Religious Organizations.
Where your organization is, or you propose to contract with, a
primarily religious organization, or a wholly secular organization
established by a primarily religious organization, to provide, manage,
or operate a housing counseling program, you must undertake your
responsibilities in accordance with the following principles:
(1) You will not discriminate against any segment of the
population;
(2) You will not provide religious instruction or religious
counseling, conduct religious services or worship, engage in religious
proselytizing, and exert religious influence in the provision of
assistance under your Housing Counseling Program.
(3) You will make counseling offices and services accessible to
persons with a wide range of disabilities and help such persons locate
suitable housing in locations throughout your community, target area or
metropolitan area.
(C) Performance Measurement.
You are required to complete and submit a form HUD-9902, Fiscal
Year Activity Report. The information compiled from this report
provides HUD with its primary means of measuring your program
performance and program effectiveness.
V. Application Selection Process
(A) General
Your application will be evaluated competitively, and ranked
against all other applicants that applied in the same funding category.
However, after selection, the actual amount funded will be based on
successful completion of negotiations. National, regional, and multi-
State applications will be rated and ranked in HUD Headquarters, and
selected for funding in rank order. Local agency and State Housing
Finance Agency applications will be rated and ranked by the HUD
Homeownership Centers and selected for funding in rank order.
(B) Factors for Award Used To Rate and Rank Applications.
The factors for rating and ranking applicants, and maximum points
for each factor, are provided below. The maximum number of points for
each applicant is 102. This includes two EZ/EC bonus points, as
described in the General Section of the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement your
proposed activities in a timely manner. Your rating or the rating of
your organization and staff for technical merit will include any
subcontractors, consultants, subrecipients, and members of consortia
that are identified as participants in your proposal. In rating this
factor, HUD will consider the extent to which your proposal
demonstrates:
(1) (10 points) The knowledge and experience of your proposed
project director and staff, including the day-to-day program manager,
consultants and contractors in planning and managing programs for which
you are requesting funding. Your experience will be judged in terms of
recent, relevant and successful experience of your staff to undertake
eligible program activities. You are expected to have sufficient
personnel, or be able to quickly access qualified experts or
professionals, to deliver the proposed activities in a timely and
effective fashion. HUD will assess the readiness and ability of your
organization to immediately begin your proposed work program. To
demonstrate that you have sufficient personnel, you must submit the
proposed number of staff for each task to be conducted, by the
employees and experts allocated to each activity you plan to undertake
in your program. You must identify their titles and relevant
professional background and experience related to the tasks they are to
perform. In addition, you must allocate the staff hours for each task
of these employees and experts.
(2) (10 points) Your past experience in terms of your ability to
attain measurable progress in the implementation of your most recent
activities where your performance has been assessed. HUD will consider
your performance as measured by your expenditures and demonstrated
progress in achieving the purpose of the activities. HUD will also
consider any documented evidence, such as form HUD-9902, of your
failure under past awards to comply with grant award provisions.
Rating Factor 2: Need/Extent of the Problem (20 Points)
This factor addresses the extent to which there is a need for
funding your proposed program activities to address a documented
problem in your target area. To the extent that the community served by
your housing counseling organization has documented the need in the
community's Consolidated Plan or Analysis of Impediments to Fair
Housing Choice (AI); or requirements of court orders or consent
decrees, settlements and voluntary compliance agreements, references to
these documents should be included in the response. If your proposed
activities are not covered under the scope of the Consolidated Plan or
AI, you should indicate such and use other sound data sources to
identify the level of need for your proposed program of activities.
In responding to this factor, you will be evaluated on the extent
to which you document a critical level of need for your proposed
activities in the area where activities will be carried out. The
documentation of need should demonstrate the extent of the problem
addressed by the proposed activities. Examples of data that might be
used to demonstrate need, include economic and demographic data
relevant to the target area and your proposed activities. There must be
a clear relationship between the proposed activities, community needs
and the purposes of this program for an applicant to receive points for
this factor.
Rating Factor 3: Soundness of Approach (40 Points)
This factor addresses the quality and effectiveness of your
proposed work plan. In rating this factor, HUD will consider the
following:
(1) The extent to which the design and scope of your activities
provide for geographic coverage for target areas as well as persons
traditionally underserved, including identification of immediate
benefits to be achieved and indicators by which these benefits will be
measured;
(2) The extent to which you have a clear agenda and identify
specific activities to be performed, such as:
(a) Screening interviews with clients;
(b) Setting up a client file with intake information and counseling
plan; and
(c) Having the client sign an agreement accepting the counseling
plan and making a commitment to attend the required counseling
sessions;
(3) The extent to which your proposed tasks use documented,
technically competent methodologies for conducting the work to be
performed.
[[Page 9697]]
HUD will assess the extent to which your proposed work plan identifies
documented, proven methodologies for the types of services to be
performed.
(4) The extent to which you demonstrate the relationship between
the proposed activities, community needs and the purposes of this
program.
(5) The extent to which your proposed activities undertake
affirmatively furthering fair housing (AFFH). Affirmatively furthering
fair housing may be undertaken in a variety of ways, as appropriate to
your target area. The following are some suggestions for all housing
counseling agencies:
(a) Implementing affirmative marketing strategies to attract all
segments of the population regardless of race, color, religion,
national origin, sex, familial status, and disability, especially those
least likely to request housing counseling services to purchase or
retain their homes.
(b) Being pro-active in reducing concentrations of poverty and/or
minority populations in the target area. This could include working
with, or adopting the counseling practices of, agencies which conduct
housing opportunity counseling to encourage low-income and minority
persons to move to low-concentration areas, and helping to locate
suitable housing in such areas.
(c) Working with local lenders to develop alternative lending
criteria. For instance, you may make referrals to lenders of clients
with good credit and payment histories, but who do not fit the standard
profiles for lending practices, or advocate with financial institutions
on behalf of clients with financial patterns which reflect cultural
differences (such as family savings pools, which are common among some
Asian populations). Your activities should also focus on finding
appropriate housing, free from environmental hazards, for all segments
of the population in neighborhoods with good transportation, schools,
employment opportunities, and other services.
(b) The following are some suggested activities for national,
regional, or multi-State intermediaries and State Housing Finance
Agencies:
(i) Training affiliates in Fair Housing issues.
(ii) Making national or regional agreements with lenders, insurers,
and organizations which train appraisers and loan appraisers on fair
housing requirements, accessibility, and financing methods which
support your organization's fair housing and housing opportunity
efforts.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure community resources
which can be combined with HUD's program resources to achieve your
program purposes. In evaluating this factor HUD will consider:
(1) The extent to which you have partnered with other entities to
secure additional resources to increase the effectiveness of your
proposed program activities. Resources may include funding or in-kind
contributions, such as services or equipment, allocated to the
purpose(s) of your program. Resources may be provided by governmental
entities, public or private nonprofit organizations, for-profit private
organizations, or other entities willing to partner with you. You may
also partner with other program funding recipients to coordinate the
use of housing counseling and support services in your target area.
(2) You must provide evidence of leveraging/partnerships by
including in your application letters of firm commitments, memoranda of
understanding, or agreements to participate from entities identified as
partners in your application. Each letter of commitment, memoranda of
understanding, or agreement to participate should include the
partnering organization's name, proposed level of commitment and
responsibilities as they relate to your proposed program. The
commitment letter must also be signed by an official of the
organization legally able to make commitments on behalf of the
partnering organization.
If you are a local counseling agency, you are expected to seek
other private and public sources of funding to supplement HUD funding.
HUD never intends for its counseling grant funds to cover all costs
incurred by an agency participating in the program.
If you are a local housing counseling agency, you may use your HUD
grant to undertake any of the eligible housing counseling activities
described in this Housing Counseling Program section of the SuperNOFA.
All of your proposed activities and the activities of your partners
must be included in your HUD-approved plan. NOTE: HUD housing
counseling funding is not intended to fully fund either an
intermediary's housing counseling program, or the housing counseling
programs of the its local affiliates. All intermediaries and their
local affiliates are expected to seek other private and public sources
of funding for housing counseling to supplement HUD funding.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you have coordinated your
activities with other known organizations, participated or promoted
participation in a community's Consolidated Planning process and are
working towards addressing identified needs in a holistic and
comprehensive manner through linkages with other activities in your
community. In evaluating this factor, HUD will consider the extent to
which you can demonstrate 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 you will take to share information on solutions and
outcomes with others. Any written agreements or memoranda of
understanding in place should be described.
(2) Taken or will take specific steps to become active in the
Consolidated Planning process (including the Analysis of Impediments to
Fair Housing Choice) established in your target area to identify and
address needs/problems related to the activities you propose in your
application. If you reported in your FY 1998 application that you
``will take specific steps'', describe what steps you have taken.
(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 target area's Consolidated Plan; and
(b) Other Federal, State or locally funded activities, including
those proposed or on-going in your target area.
If you reported in your FY 1998 application that you ``will take
specific steps'', describe what steps you have taken.
VI. Application Submission Requirements
(A) General.
The contents of your application will differ if you are a local
housing counseling agency; or a national, regional, or multi-State
intermediary; or a State housing finance agency. However, all
applicants are expected to submit the forms, certifications and
assurances set forth in the General Section of the SuperNOFA. Copies of
all form/documents required to be
[[Page 9698]]
completed can be found in the application kit. In addition to these
certifications and assurances the following are required to be part of
your housing counseling application:
(1) Narrative statement addressing the five Rating Factors in
Section V.(B) of this program section of the SuperNOFA. Your narrative
response should be numbered in accordance with the rating factors and
subfactors identified in Section V.(B) of this program section of the
SuperNOFA.
(2) Form HUD-9902, Housing Counseling Agency Fiscal Year Activity
Report, for fiscal year October 1, 1997 through September 30, 1998. If
you did not participate in HUD's Housing Counseling Program during FY
1998, this report should be completed to reflect your counseling
workload during that period. This form must be fully completed and
submitted by every applicant for FY 1999 HUD funding;
(3) Budget Work Sheet. A proposed budget for use of the requested
HUD funds;
(4) Evidence of Housing Counseling Funding Sources (required by all
applicants);
(5) You must provide a descriptive narrative that sets forth your
prior fiscal year's performance as related to its goals, objectives and
mission. Your narrative must describe the most recent operational and
program activities of your organization;
(6) Current Housing Counseling Plan. Your Housing Counseling Plan
must describe your housing counseling needs, goals, and objectives
related to the scope of services you propose to provide, including a
description of all counseling activities to be performed.
(7) Direct-labor and Hourly-labor rate and Counseling Time Per
Client for proposed tasks;
(8) The Congressional District in which your proposed activities
are to occur;
(9) If you are a State housing finance agency, you must submit your
statutory authority to operate as a State housing finance agency.
(B) National, Regional, and Multi-State Intermediaries; and State
Housing Finance Agencies.
If you are a national, regional, or multi-State intermediary or a
State housing finance agency, you must submit an application which
covers both your network organization and your affiliated agencies.
Your application must include:
(1) A description of your affiliated agencies. For each affiliated
agency, list the following information:
(a) Organization name;
(b) Address;
(c) Director and contact person (if different);
(d) Phone/FAX numbers (including TTY, if available);
(e) Federal tax identification number;
(f) ZIP code service areas;
(g) Number of staff providing counseling;
(h) Type of services offered (defined by homebuyer education
programs, pre-purchase counseling, post-purchase counseling, mortgage
default and delinquency counseling, HECM counseling, outreach
initiatives, renter assistance, and other);
(i) Number of years of housing counseling experience.
(2) Relationship with Affiliates. You must briefly describe your
relationship with your affiliates (i.e. membership organization, field
or branch office, subsidiary organization, etc.).
(3) Oversight System. You must briefly describe the process that
will be used to determine affiliate funding levels, distribute funds,
and monitor affiliate performance.
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 (12) of the HUD
regulations, activities assisted under this program are categorically
excluded from the requirements of the National Environmental Policy Act
and are not subject to environmental review under the related laws and
authorities.
IX. Authority
HUD's Housing Counseling Program is authorized by section 106 of
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701x), and is
generally governed by HUD Handbook 7610.1, REV-4, dated August 9, 1995.
BILLING CODE 4210-32-P
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Notices
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[GRAPHIC] [TIFF OMITTED] TN26FE99.026
BILLING CODE 4310-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9701]]
Funding Availability for the Lead-Based Paint Hazard Control Grant
Program
Program Overview
Purpose of the Program. The purpose of the Lead-Based Paint Hazard
Control Grant Program is to assist States, Indian Tribes and local
governments in undertaking comprehensive programs to identify and
control lead-based paint hazards in eligible privately-owned housing
for rental or owner-occupants in partnership with community-based
organizations.
Available Funds. Approximately $56 million.
Eligible Applicants. States, Indian Tribes or local governments. If
you are a State or Tribal applicant, you must have a Lead-Based Paint
Contractor Certification and Accreditation Program authorized by EPA.
Application Deadline. May 26, 1999.
Match. A minimum of 10% match in local funds.
Additional Information
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Submit your original and four copies of your
completed application to HUD on or before May 26, 1999.
See the General Section of this SuperNOFA for additional
information regarding submitting your application.
Address for Submitting Applications. Submit your completed
application (original and four copies): Department of Housing and Urban
Development, Office of Lead Hazard Control, Room P3206, 451 Seventh
Street, SW, Washington, D.C. 20410. Applications which are hand carried
or sent via overnight delivery should be delivered to Suite 3206, 490
East L'Enfant Plaza, Washington, D.C. 20024.
For Application Kits. You may obtain an application kit from the
SuperNOFA Information Center at 1-800-HUD-8929, or the TTY number at 1-
800-483-2209. When requesting an application kit, please refer to the
Lead-Based Paint Hazard Control Grant Program. Please be sure to
provide your name, address (including zip code), and telephone number
(including area code).
For Further Information. Contact Ellis G. Goldman, Director,
Program Management Division, Office of Lead Hazard Control, at the
address above; telephone (202) 755-1785, extension 112 (this is not a
toll-free number). If you are a hearing-or speech-impaired person, you
may reach the above telephone numbers via TTY by calling the toll-free
Federal Information Relay Service at 1-800-877-8339.
For Technical Assistance. Please refer to the General Section of
this SuperNOFA for information regarding the provision of technical
assistance. The HUD Lead Hazard Control staff that will provide
technical assistance for the Lead-Based Paint Hazard Control Program.
Please see the ``For Further Information'' section above for the
address and phone number.
II. Amount Allocated
(A) Approximately fifty six million dollars ($56 million) will be
available for the Lead-Based Paint Hazard Control Grant Program.
(B) Approximately 20-25 grants of $1 million-$4 million will be
awarded. If you are an existing grantee or previously unfunded
applicant, you are eligible to apply for grants of $1 million-$4
million. A maximum of 60% of the funds under this program section of
the SuperNOFA shall be available to current Lead-Based Paint Hazard
Control grantees. Applications from existing (or previous) grantees
will be evaluated and scored as a separate group and will not be in
direct competition with applications from previously unfunded
applicants.
(C) In the selection process, once available funds have been
allocated to meet the requested or negotiated amounts of the top
eligible applicants, HUD reserves the right to offer any residual
amount as partial funding to the next eligible applicant, provided HUD
is satisfied that the residual amount is sufficient to support a
viable, though reduced effort, by such applicant(s). If you are an
applicant offered a reduced grant amount you will have a maximum of
seven (7) calendar days to accept such the reduced award. If you fail
to respond within the seven day limit, you shall be considered to have
declined the award.
III. Program Description, Eligible Applicants, and Eligible
Activities
(A) Program Description.
The Lead-Based Paint Hazard Control Grant Program assists States,
Indian Tribes and local governments in undertaking programs for the
identification and control of lead-based paint hazards in eligible
privately-owned housing units for rental and owner-occupants. The
application kit for this program section of the SuperNOFA lists HUD-
associated housing programs which also meet the definition of eligible
housing.
(1) Because lead-based paint is a national problem, these funds
will be awarded to:
(a) Maximize both the number of children protected from lead
poisoning and housing units where lead-hazards are controlled;
(b) Target lead hazard control efforts at housing in which children
are at greatest risk of lead poisoning;
(c) Stimulate cost-effective approaches that can be replicated;
(d) Emphasize lower cost methods of hazard control;
(e) Build local capacity to safely and effectively address lead
hazards during lead hazard control, renovation, remodeling, and
maintenance activities; and
(f) Affirmatively further fair housing and environmental justice.
(2) The objectives of this program include:
(a) Implementation of a national strategy, as defined in Title X,
to build the community's capacity necessary to eliminate lead-based
paint hazards in all housing, as widely and quickly as possible by
establishing a workable framework for lead-based paint hazard
identification and control;
(b) Mobilization of public and private resources, involving
cooperation among all levels of government, the private sector, and
community-based organizations to develop, cost-effective methods for
identifying and controlling lead-based paint hazards;
(c) Development of comprehensive community approaches which result
in integration of all community resources (governmental, community-
based, and private businesses) to address lead hazards in housing;
(d) Integration of lead-safe work practices into housing
maintenance, repair, weatherization, rehabilitation, and other programs
which will continue beyond your grant period;
(e) Establishment of a public registry (listing) of lead-safe
housing; and
(f) To the greatest extent feasible, promotion of job training,
employment, and other economic opportunities for low-income and
minority residents and businesses that are owned by and/or employ low-
income and minority residents as defined in 24 CFR 135.5 (See 59 FR
33881, June 30, 1994).
(B) Eligible Applicants.
(1) To be eligible to apply for funding under this program, you
must be a State, Indian Tribe, or unit of local government. Multiple
units of a local government (or multiple local governments) may apply
as part of a consortium; however, you must identify a single lead
government or agency as ``the applicant.'' You may submit only one
application. In the event you submit multiple applications, this will
be
[[Page 9702]]
considered a curable (minor) defect and the application review process
delayed until you notify HUD in writing which application should be
reviewed. Your other applications will be returned unevaluated.
(2) As an applicant, you must meet all of the threshold
requirements of Section II (B) of the General Section of the SuperNOFA.
(3) Consolidated Plans.
(a) If your jurisdiction has a current HUD approved Consolidated
Plan, you must submit documentation of the HUD approval of the current
program year Consolidated Plan. You must submit, as an appendix, a copy
of the lead-based paint element included in the approved Consolidated
Plan.
(b) If your jurisdiction does not have a currently approved
Consolidated Plan, but it is otherwise eligible for this grant program,
you must include your jurisdiction's abbreviated Consolidated Plan,
which includes a lead-based paint hazard control strategy developed in
accordance with 24 CFR 91.235.
(4) If you are a local government, your application must provide
written documentation of partnerships or contractual relationships with
community-based organizations to carry out the proposed work plan. Such
relationships may include program planning; public awareness,
education, and outreach; inspection and hazard control; relocation; and
other related services.
If you are a State government, you must provide written
documentation of partnerships or contractual relationships with
community-based organizations prior to grant award. This requirement
does not apply to Indian Tribes.
(5) If you are a State government or an Indian Tribal government,
you must have an authorized EPA Lead-Based Paint Contractor
Certification and Accreditation Program to be eligible.
(6) If you were funded under the FY 1998 Lead-Based Paint Hazard
Control NOFA issued March 31, 1998 (63 FR 15555), you are not eligible
for funding under this program section of the SuperNOFA.
(7) The eligibility factors discussed in (1) through (6) above are
threshold requirements. If you do not satisfy the appropriate
eligibility requirements stated in these paragraphs, your HUD will not
review your application.
(C) Eligible Activities
HUD will provide considerable latitude to grantees in designing and
implementing the methods of lead-based paint hazard control to be used
in their jurisdictions. Experience and data from past and ongoing
evaluations have identified effective approaches. HUD is interested in
promoting lead hazard control approaches that result in the reduction
of this health threat for the maximum number of low-income residents,
and that demonstrate techniques which are cost-effective, efficient,
and can be used elsewhere. HUD will allow flexibility within the
parameters established below.
(1) Generally, funds will be available only for projects conducted
by contractors, risk assessors, inspectors, workers and others engaged
in lead-based paint activities who meet the requirements of an EPA
authorized State or Tribal Lead-Based Paint Contractor Certification
and Accreditation Program under the requirements of section 404 of the
Toxic Substances Control Act (TSCA). However, low level hazard
interventions (e.g., dust control and minor paint stabilization) do not
require certified personnel.
(2) Direct Project Elements that you may undertake directly or
through subrecipients, include:
(a) Performing dust testing, hazard screens, inspections, and risk
assessments of eligible housing constructed before 1978 to determine
the presence of lead hazards from paint, dust, or soil.
(b) Conducting pre-hazard control blood lead testing of children
under the age of six residing in units undergoing inspection, risk
assessment, or hazard control.
(c) Conducting lead hazard control, which may include any
combination of the following: interim control of lead-based paint
hazards in housing (which may include intensive cleaning techniques to
address lead dust); abatement of lead-based paint hazards using
different methods for each unit (based on the condition of the unit and
the extent of hazards); and abatement of lead-based paint hazards,
including soil and dust, by means of removal, enclosure, encapsulation,
or replacement methods. Complete abatement of all lead-based paint or
lead-contaminated soil is not acceptable as a cost effective strategy
unless justification is provided and approved by HUD. Abatement of
lead-contaminated soil should be limited to areas with bare soil in the
immediate vicinity of the structure, i.e., dripline or foundation of
the structure being treated, and children's play areas.
(d) Carrying out temporary relocation of families and individuals
during the period in which hazard control is conducted and until the
time the affected unit receives clearance for reoccupancy.
(e) Performing blood lead testing and air sampling to protect the
health of the hazard control workers, supervisors, and contractors.
(f) Undertaking minimal housing rehabilitation activities that are
specifically required to carry out effective hazard control, and
without which the hazard control could not be completed and maintained.
Hazard Control grant funds may be used for lead hazard control work
done in conjunction with other housing rehabilitation programs. HUD
strongly encourages integration of this grant program with housing
rehabilitation.
(g) Conducting clearance dust-wipe testing and laboratory analysis.
(h) Engineering and architectural activities that are required for,
and in direct support of, lead hazard control.
(i) Providing lead-based paint worker or contractor certification
training and/or licensing to low-income persons.
(j) Providing free training on lead-safe, essential maintenance
practices to homeowners, renters, painters, remodelers, and apartment
maintenance staff working in low-income private housing.
(k) Providing cleaning supplies for lead-hazard control to
community/neighborhood-based organizations, homeowners, and renters in
low-income private housing.
(l) Conducting general or targeted community awareness, education
or outreach programs on lead hazard control and lead poisoning
prevention. This includes educating owners of rental properties on the
Fair Housing Act and training on lead-safe maintenance and renovation
practices. Upon request, this also would include making all materials
available in alternative formats to persons with disabilities (e.g.;
Braille, audio, large type).
(m) Securing liability insurance for lead-hazard control
activities.
(n) Supporting data collection, analysis, and evaluation of grant
program activities. This includes compiling and delivering such
information and data as may be required by HUD. This activity is
separate from administrative costs.
(o) Conducting applied research activities directed at
demonstration of cost effective methods for lead hazard control.
(p) Purchasing or leasing equipment having a per unit cost under
$5,000, except for X-ray fluorescence (XRF) analyzers.
(q) Purchasing or leasing up to two (2) X-ray fluorescence
analyzers for use by the Lead-Based Paint Hazard Control Grant Program.
[[Page 9703]]
(r) Preparing a final report at the conclusion of grant activities.
(3) Support Elements.
(a) Administrative costs. There is a 10% maximum for administrative
costs. The application kit contains specific information on
administrative costs in Annex 7.
(b) Program planning and management costs of sub-grantees and other
sub-recipients.
(D) Ineligible Activities
You may not use grant funds for any of the following:
(1) Purchase of real property.
(2) Purchase or lease of equipment having a per unit cost in excess
of $5,000, except for X-ray fluorescence analyzers.
(3) Chelation or other medical treatment costs related to children
with elevated blood lead levels. Non-Federal funds used to cover these
costs may be counted as part of the required matching contribution.
(4) Lead hazard control activities in publicly owned housing, or
project-based Section 8 housing. A table listing eligibility of various
HUD programs is included in Annex 5 of the application kit.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, you, the applicant, must comply with the
following requirements:
(A) Budgeting. (1) Matching Contribution. You must provide a
matching contribution of at least 10% of the requested grant sum. This
may be in the form of a cash or in-kind (non-cash) contribution or a
combination of both. With the sole exception of Community Development
Block Grant (CDBG) funds, Federal funds may not be used to satisfy the
statutorily required ten (10) percent matching requirement. Federal
funds may be used, however, for contributions above the statutory
requirement. If you do not show a minimum 10% match in your
application, you will be rated lower during the evaluation process,
and, if selected, you will be required to provide the matching
contribution before being given the grant.
(2) Applied Research Activities. You may identify a maximum of five
(5%) percent of the total grant request for applied research
activities.
(3) Administrative Costs. There is a 10% maximum for administrative
costs.
(B) Period of Performance. The period of performance is 36 months.
(C) Certified Performers. You may use grant funds only for projects
conducted by certified contractors, risk assessors, inspectors, workers
and others engaged in lead-based paint activities.
(D) Coastal Barrier Resources Act. Pursuant to the Coastal Barrier
Resources Act (16 U.S.C. 3501), you may not use grant funds for
properties located in the Coastal Barrier Resources System.
(E) Flood Disaster Protection Act. Under the Flood Disaster
Protection Act of 1973 (42 U.S.C. 4001-4128), you may not use grant
funds for lead-based paint hazard control of a building or mobile home
that is located in an area identified by the Federal Emergency
Management Agency (FEMA) as having special flood hazards unless:
(1) The community in which the area is situated is participating in
the National Flood Insurance Program in accordance with the applicable
regulations (44 CFR parts 59-79), or less than a year has passed since
FEMA notification regarding these hazards; and
(2) Where the community is participating in the National Flood
Insurance Program, flood insurance on the property is obtained in
accordance with section 102(a) of the Flood Disaster Protection Act (42
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance
is obtained and maintained for the appropriate amount and term.
(F) National Historic Preservation Act. The National Historic
Preservation Act of 1966 (16 U.S.C. 470) and the regulations at 36 CFR
part 800 apply to the lead-based paint hazard control activities that
are undertaken pursuant to this program. HUD and the Advisory Council
for Historic Preservation have developed an optional Model Agreement
for use by grantees and State Historic Preservation Officers in
carrying out activities under this program.
(G) Waste Disposal. You must handle waste disposal according to the
requirements of the appropriate local, State and Federal regulatory
agencies. You must handle disposal of wastes from hazard control
activities that contain lead-based paint but are not classified as
hazardous in accordance with the HUD Guidelines for the Evaluation and
Control of Lead-Based Hazards in Housing (HUD Guidelines).
(H) Worker Protection Procedures. You must observe the procedures
for worker protection established in the HUD Guidelines, as well as the
requirements of the Occupational Health and Safety Administration
(OSHA) (29 CFR 1926.62--Lead Exposure in Construction), or the State or
local occupational safety and health regulations, whichever are most
protective. If other applicable requirements contain more stringent
requirements than the HUD Guidelines, the more rigorous standards shall
be followed.
(I) Prohibited Practices. You must not engage in practices that are
not allowed because of health and safety risks. Methods that generate
high levels of lead dust shall be undertaken only with requisite worker
protection, containment of dust and debris, suitable clean-up, and
clearance. Prohibited practices include:
(1) Open flame burning or torching;
(2) Machine sanding or grinding without a high-efficiency
particulate air (HEPA) exhaust control;
(3) Uncontained hydroblasting or high pressure wash;
(4) Abrasive blasting or sandblasting without HEPA exhaust control;
(5) Heat guns operating above 1100 degrees Fahrenheit;
(6) Chemical paint strippers containing methylene chloride; and
(7) Dry scraping or dry sanding, except scraping in conjunction
with heat guns or around electrical outlets or when treating no more
than two (2) square feet in any one interior room or space, or totaling
no more than 20 square feet on exterior surfaces.
(J) Proposed Modifications From Current Procedures. Proposed
methods that differ from currently approved standards or procedures
will be considered on their merits through a separate HUD review and
approval process after the grant award is made and a specific
justification has been presented. When you make such a request, either
in the application or during the planning phase, HUD may consult with
experts from both the public and private sector as part of its final
determinations and will document its findings in an environmental
assessment. HUD will not approve proposed modifications that, in HUD's
opinion, involve a lowering of standards with potential to adversely
affect the health of residents, contractors or workers, or the quality
of the environment.
(K) Written Policies and Procedures. You must have clearly
established, written policies and procedures for all phases of lead
hazard control, including risk assessment, inspection, development of
specifications, pre-hazard control blood lead testing, financing,
relocation and clearance testing. Grantees, subcontractors, sub-
grantees, sub-recipients, and their contractors must adhere to these
policies and procedures.
(L) Continued Availability of Lead Safe Housing to Low-Income
Families.
[[Page 9704]]
Units in which lead hazards have been controlled under this program
shall be occupied by and/or continue to be available to low-income
residents as required by Title X. You must maintain a registry
(listing) of units in which lead hazards have been controlled for
distribution and marketing to agencies and families as suitable housing
for children under six.
(M) Testing. In developing your application budget, include costs
for inspection, risk assessment, and clearance testing for each
dwelling that will receive lead hazard control, as follows:
(1) Testing.
(a) General. All testing and sampling shall conform to the current
HUD Guidelines. It is particularly important to provide this full cycle
of testing for lead hazard control, including interim controls.
(b) Pre-Hazard Control. A combined inspection and risk assessment
is recommended. You should ensure that the results of the pre-hazard
control investigation are sufficient to support hazard control
decisions. When appropriate, you may elect to perform a lead hazard
screen in lieu of an inspection or risk assessment.
(c) In the event you propose to conduct lead hazard control work
without identification of lead hazards from paint, dust, and soil, you
must fully justify the technical and other rationale for such a
proposal. HUD must approve such proposals. Approval is subject to HUD
environmental review under 24 CFR part 50.
(d) Clearance Testing. Clearance dust testing must be conducted
according to the HUD Guidelines. You are required to meet the current
post-hazard control dust-wipe test clearance thresholds contained in
the HUD Guidelines (these are also provided in the application kit).
Wipe tests shall be conducted by a certified inspector who is
independent of the lead hazard control contractor. Dust-wipe and soil
samples, and any paint samples to be analyzed by a laboratory, must be
analyzed by a laboratory recognized by the EPA National Lead Laboratory
Accreditation Program (NLLAP). Units treated shall not be reoccupied
until clearance is achieved.
(2) Blood lead testing. Before lead hazard control work begins,
each occupant who is under six years old must be tested for lead
poisoning within six months prior to the housing intervention. Any
child with an elevated blood lead level must be referred for
appropriate medical follow-up.
(N) Cooperation With Related Research and Evaluation. You shall
cooperate fully with any research or evaluation sponsored by HUD and
associated with this grant program, including preservation of project
data and records and compiling requested information in formats
provided by the researchers, evaluators or HUD. This also may include
the compiling of certain relevant local demographic, dwelling unit, and
participant data not contemplated in your original proposal.
Participant data shall be subject to Privacy Act protection.
(O) Data collection. You will be required to collect and maintain
the data necessary to document the various lead hazard control methods
used in order to determine the effectiveness and relative cost of these
methods.
(P) Section 3 Employment Opportunities. Please see the General
Section of this SuperNOFA. The Section 3 requirements are applicable to
the Lead-Based Paint Hazard Control Program.
(Q) Certifications and Assurances. In addition to the
certifications and assurances listed in the General Section of the
SuperNOFA, a single certification form is included in the application
kit for your signature. This includes:
(1) Assurance of your compliance with the environmental laws and
authorities described in 24 CFR part 58.
(2) Certification of your compliance with the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970, and the
implementing regulations at 49 CFR part 24; and HUD Handbook 1378
(Tenant Assistance, Relocation and Real Property Acquisition).
(3) Assurance that your financial management system meets the
standards for fund control and accountability described in 24 CFR
85.20.
(4) Assurance that you will conduct testing associated with pre-
hazard control and clearance conducted by certified performers.
(5) Assurance that, to the extent possible, you will conduct the
blood lead testing, blood lead level test results, and medical referral
and follow up for children under six years of age occupying affected
units according to the recommendations of the Centers for Disease
Control and Prevention (CDC) publication Preventing Lead Poisoning in
Young Children (1991).
(6) Assurance that you will not use Lead-Based Paint Hazard Control
Grant Program funds to replace existing resources dedicated to any
ongoing project.
(7) Assurance that the housing units in which lead hazards have
been controlled under this program will be occupied by and/or continue
to be available to low-income residents as required by Title X. You are
required to maintain a registry of units in which lead hazards have
been controlled for distribution and marketing to agencies and families
as suitable housing for children under six.
(8) Certification that you will carry out your lead hazard control
program under an EPA authorized State lead-based paint contractor
certification and accreditation program that is at least as protective
as the training and certification program requirements cited in the
application kit for this program section of the SuperNOFA.
(R) Davis-Bacon Act. The Davis-Bacon Act does not apply to this
program. However, if you use grant funds in conjunction with other
Federal programs in which Davis-Bacon prevailing wage rates apply, then
Davis-Bacon provisions would apply to the extent required under the
other Federal programs.
V. Application Selection Process
(A) Rating and Ranking
HUD intends to fund the highest ranked applications within the
limits of funding, but reserves the right to advance other eligible
applicants in funding rank. A decision to advance an applicant will be
based on programs that: foster local approaches or lead hazard control
methods that have not been employed before, or provide lead hazard
control services to populations or communities that have high need (as
measured by the ``Need'' factor for award) and have never received
funding under this grant program.
(B) Factors for Award Used To Evaluate and Rate Applications
The factors for rating and ranking applicants, and maximum points
for each factor, are stated below. The maximum number of points to be
awarded is 102. This maximum includes two EZ/EC bonus points as
described in the General Section of the SuperNOFA. Also, Section
III(C)(2) of the General Section, which addresses a court-ordered
consideration, is applicable to this program. The application kit will
provide additional guidance for responding to these factors. The
application kit also contains definitions and references that will be
incorporated into your grant award.
[[Page 9705]]
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (15 points for previously unfunded applicants; 25 points for
existing grantees)
This factor addresses your organizational capacity necessary to
successfully implement the proposed activities in a timely manner. The
rating of the ``applicant'' or the ``applicant's staff'' for technical
merit or threshold compliance, unless otherwise specified, includes any
community-based organizations, sub-contractors, consultants, sub-
recipients, and members of consortia which are firmly committed to your
project. In rating this factor, HUD will consider:
(1) Your recent, relevant and successful demonstrated experience
(including governmental and community-based partners) to undertake
eligible program activities. You must describe the knowledge and
experience of the proposed overall project director and day-to-day
program manager in planning and managing large and complex
interdisciplinary programs, especially involving housing
rehabilitation, public health, or environmental programs. You must
demonstrate that you have sufficient personnel or will be able to
quickly retain qualified experts or professionals, to immediately begin
your proposed work program and to perform your proposed activities in a
timely and effective fashion. In the narrative response for this
factor, you should include information on your program staff, their
experience, commitment to the program, salary information, and position
titles. Resumes (for up to three key personnel), position descriptions,
and a clearly identified organizational chart for the lead hazard
control grant program effort must be included in an appendix. Indicate
the percentage of time that key personnel will devote to your project.
We recommend using a full-time day-to-day program manager. Describe how
other principal components of your agency or other organizations will
participate in or otherwise support the grant program. You may
demonstrate capacity by prior experience in initiating and implementing
lead hazard control efforts and/or related environmental, health, or
housing projects and should be thoroughly described. You should
indicate how this prior experience will be used in carrying out your
proposed comprehensive Lead-Based Paint Hazard Control Grant Program.
(2) If you have received previous HUD Lead Hazard Control Grant
funding, your past experience will be evaluated in terms of progress
under the most recent previous grant. You must provide a description of
your progress in implementing your most recent grant award within the
period of performance, including the total number of housing units
completed as of the most recent calendar quarter.
Rating Factor 2: Needs/Extent of the Problem (20 Points)
This factor addresses the extent to which there is a need for the
proposed program activities to address a documented problem in the
target area.
(1) Document a critical level of need for your proposed activities
in the area where activities will be carried out. Since the principal
objective of the program is to prevent at-risk children from being
poisoned, specific attention must be paid to documenting such need as
it applies to the targeted areas, rather than the entire locality or
state. If the target area is an entire locality or state, then
documenting need at this level is appropriate.
(2) Document the extent of the problem which will be addressed by
your proposed activities. Examples of data that you might use to
demonstrate need, include, but are not limited to:
(a) Numbers and proportions of children with elevated blood lead
levels;
(b) Economic and demographic data relevant to the target area,
including poverty and unemployment rates;
(c) Housing market data available from HUD, or other data sources,
including the Consolidated Plan/AI, Public Housing Authority's Five
Year Comprehensive Plan, State or local Welfare Department's Welfare
Reform Plan; or
(d) Lack of other Federal, State or local funding that could be, or
is used, to address lead hazard control.
(3) To the extent that statistics and other data contained in your
community's Consolidated Plan or Analysis of Impediments to Fair
Housing Choice (AI) support the extent of the problem, you should
include references to the Consolidated Plan and the AI in your
response.
(4) Provide information on your jurisdiction, or preferably, the
areas targeted for the lead hazard control activities (data may be
available in your currently approved Consolidated Plan, derived from
1990 Census Data, or special local studies):
(a) The age and condition of housing;
(b) The number and percentage of very-low (income less than 50% of
the area median) and low (income less than 80% of the area median)
income families, as determined by HUD, with adjustments for smaller and
larger families;
(c) The number and proportion of children under six years (72
months) of age at risk of lead poisoning;
(d) The extent of the lead poisoning problem in children under six
years of age in target areas;
(e) The health and economic impacts of Superfund or Brownfields
sites on the targeted neighborhoods or communities; and
(f) Other socioeconomic or environmental factors that demonstrate a
need to establish or continue lead hazard control work in your
jurisdiction.
(5) You also must provide documentation of the priority that the
community's Consolidated Plan has placed on addressing the needs you
described.
(6) If your application addresses needs that are in the
Consolidated Plan, Analysis of Impediments to Fair Housing Choice,
court orders or consent decrees, settlements, conciliation agreements,
and voluntary compliance agreements, you will receive more points than
applicants that do not relate their program to identified needs.
(7) For you to receive maximum points for this factor, there must
be a direct relationship between your proposed activities, community
needs, and the purpose of the program funding.
Rating Factor 3: Soundness of Approach (45 points for previously
unfunded applicants and 35 points for existing grantees)
This factor addresses the quality and cost-effectiveness of your
proposed work plan. You should present information on your proposed
lead-based paint hazard control program and describe how it will
satisfy the identified needs. To the extent possible, describe a
comprehensive strategy to address the need to protect entire
neighborhoods rather than individual units or homes. Your response to
this factor should include the following elements:
(1) Lead Hazard Control Strategy (35 points for previously unfunded
applicants; 25 points for existing grantees). Describe your strategy to
plan and execute your lead hazard control grant program. You should
provide information on:
(a) Implementing a Lead Hazard Control Program (15 points for
previously unfunded applicants; 10 points for existing grantees).
Describe your overall strategy for your proposed lead hazard control
program. The description must include information on:
[[Page 9706]]
(i) Your previous experience in reducing or eliminating lead-based
paint hazards in conjunction with other Federal, State or locally
funded programs.
(ii) Your overall strategy for the identification, selection,
prioritization, and enrollment of units of eligible privately-owned
housing for lead hazard control. Describe the proposed activities that
will occur in a high performing Empowerment Zone or Enterprise
Community (EZ/EC). Provide estimates of the total number of owner
occupied and/or rental units which will receive lead hazard control.
(iii) The degree to which the work plan focuses on eligible
privately-owned housing units with children under six years (72 months)
old. Describe your planned approach to control lead hazards before
children are poisoned and/or to control lead hazards in units where
children have already been identified with an elevated blood lead
level. Describe your process for referring and tracking children with
elevated blood lead levels for medical case management. Provide
estimates of the number of children you will assist through this
program.
(iv) The financing strategy, including eligibility requirements,
terms, conditions, and amounts available, you will use in carrying out
lead hazard control activities. You must discuss the way these funds
will be administered (e.g. use of grants, deferred loans, forgivable
loans, other resources, private sector financing, etc.), as well as the
agency that will administer the financing process.
(v) You should describe how your proposed program will satisfy the
stated needs or will assist in addressing the impediments in the AI.
Describe how your proposed program will further and support the policy
priorities of the Department, including promoting healthy homes;
providing opportunities for self-sufficiency, particularly for persons
enrolled in welfare to work programs; or providing educational and job
training opportunities.
(b) Lead Hazard Control Outreach and Community Involvement (5
points for all applicants). Your application must describe:
(i) Proposed methods of community education. These may include
community awareness, education, training, and outreach programs in
support of the work plan and objectives. This description should
include general and/or targeted efforts undertaken to assist your
program in reducing lead exposure. Programs should be culturally
sensitive, targeted, and linguistically appropriate. Upon request, this
approach would include making all materials available in alternative
formats to persons with disabilities (e.g., Braille, audio, large
type), to the extent possible.
(ii) How you intend to involve neighborhood or community-based
organizations in your proposed activities. Your activities may include
outreach, community education, marketing, inspection (including dust
lead testing), and the conduct of lead hazard control activities. HUD
will evaluate the level of substantive involvement during the review
process.
(iii) Outreach strategies and methodologies to affirmatively
further fair housing and provide lead-safe housing to all segments of
the population: homeowners, owners of rental properties, and tenants;
especially for occupants least likely to receive its benefits. Once the
population to which outreach will be ``targeted'' is identified,
outreach strategies directed specifically to them should be
multifaceted. This criterion goes beyond testing and hazard control; it
concerns what happens to the units after lead hazard control activities
and tries to ensure, for the long term, that all families will have
adequate, lead-safe housing choices.
(iv) Describe the ways you will train individuals and contractors
in housing related trades, such as painters, remodelers, renovators,
and maintenance personnel, in lead-safe practices. Describe how you
will integrate such practices into lead hazard control activities.
(c) Technical Approach for Conducting Lead Hazard Control
Activities (15 points for previously unfunded applicants; 10 points for
existing grantees).
(i) Describe your process for risk assessment and/or inspection of
units of eligible privately-owned housing in which you will undertake
lead hazard control. You may include in the inventory of housing to
receive lead hazard control housing having a risk assessment or
inspection already performed by certified inspectors or risk assessors,
in accordance with the HUD Guidelines and identified with lead-based
paint hazards.
(ii) Describe your testing methods, schedule, and costs for
performing blood lead testing, risk assessments and/or inspections to
be used. If you propose to use a more restrictive standard than the HUD
thresholds (e.g., 0.5% or 1.0 mg/cm 2), identify the lead-
based paint threshold for undertaking lead hazard control which will be
used. All testing shall be performed in accordance with the HUD
Guidelines.
(iii) Describe the lead hazard control methods you will undertake
and the number of units you will treat for each method selected
(interim controls, hazard abatement, and complete abatement). Provide
an estimate of the per unit costs (and a basis for those estimates) for
each lead hazard control method proposed and a schedule for initiating
and completing lead hazard control work in the selected units. Discuss
efforts to incorporate cost-effective lead hazard control methods. If
you propose complete abatement, provide HUD with a detailed rationale
for that decision.
(iv) Describe how you will integrate proposed lead hazard control
activities with rehabilitation activities.
(v) Describe your contracting process, including development of
specifications for selected lead hazard control methods. Describe the
management processes you will use to ensure the cost-effectiveness of
your lead hazard control methods. Your application must include a
discussion of the contracting process for the conduct of lead hazard
control activities in the selected units.
(vi) Describe your plan for occupant protection or the temporary
relocation of occupants of units selected for lead hazard control work.
This discussion should address your use of safe houses and other
housing arrangements, storage of household goods, stipends, incentives,
etc.
(vii) If you are an existing grantee, you must describe the actions
you will take to ensure that your proposed lead hazard control work
will occur concurrently with other ongoing HUD lead hazard control
grant work. Your application must provide the detail necessary to
assure HUD that you will implement the proposed work immediately and
perform it concurrently with existing lead hazard control grant work.
(viii) If you are an existing grantee, you must describe your
progress in implementing your most recent lead hazard control grant
award. If the production achieved is below the performance values
(percentages of units completed) provided in the application kit, and
no changes are proposed, you should explain why the strategy in the
earlier grant remains appropriate.
(2) Economic Opportunity (5 points for all applicants)
Describe the methods to be used to provide economic opportunities
for residents and businesses in the community. This discussion should
include information on how you will promote training, employment,
business development, and contract
[[Page 9707]]
opportunities as part of your lead hazard control program. Describe how
you will accomplish the requirements of Section 3 of the Housing and
Community Development Act of 1992 to give preference to hiring of low-
and very low-income persons or contracting with businesses owned by or
employing low- and very low-income persons.
(3) Program Evaluation, Data Collection, and Research (5 points for
all applicants).
Identify and discuss the specific methods and measures you will use
(in addition to HUD reporting or data collection forms) to measure
progress, evaluate program effectiveness, and make program changes to
improve performance. Describe how you will obtain, document and report
the information. Describe your plans to develop and maintain a registry
of publicly available information on lead-safe units, so that families
(particularly those with children under age six) can make informed
decisions regarding their housing options. In addition, provide a
detailed description of any proposed applied research activities.
(4) Budget (not scored) HUD will evaluate your proposed budget (for
36 month period) to determine if it is reasonable, clearly justified,
and consistent with the intended use of grant funds. HUD is not
required to approve or fund all proposed activities. You may devote up
to 36 months for the planning, implementation, and completion of lead
hazard control activities. You must thoroughly document and justify all
budget categories and costs (Part B of Standard Form 424A) and all
major tasks. Describe in detail the budgeted costs for each program
element (major task) included in the overall plan (the program elements
are: administration; program management; marketing, community
awareness, education and outreach; lead hazard control (including
testing); relocation; program evaluation (including data collection);
and applied research).
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to obtain other community
resources (financing is a community resource) that can be combined with
HUD's program resources to achieve program objectives.
(1) In evaluating this factor, HUD will consider the extent to
which you have established working partnerships with other entities to
get additional resources or commitments to increase the effectiveness
of the proposed program activities. Resources may include cash or in-
kind contributions (such as services or equipment) allocated to the
proposed program. Resources may be provided by governmental entities,
public or private organizations, or other entities partnering with you.
Partnership relationships with community-based organizations are a
requirement for State and local government applicants. State applicants
which do not have such partnerships at the time of application will be
required to establish partnership relationships between the state and/
or local subgrantees and community-based organizations immediately
following grant award (this requirement does not apply to you if you
are an Indian Tribe applicant). You also may partner with other program
funding recipients to coordinate the use of resources in your target
area.
(2) You may not include funding from any Federally funded program
(except the CDBG program) as part of your required 10% match. Other
resources committed to the program that exceed the required 10% match
will provide points for this rating factor and may include funds from
other Federally funded programs. You must support each source of
contributions, cash or in-kind, both for the required minimum and
additional amounts, by a letter of commitment from the contributing
entity, whether a public or private source. This letter must describe
the contributed resources that you will use in the program. Staff in-
kind contributions should be given a monetary value. If you do not
provide letters specifying details and the amount of the actual
contributions, those contributions will not being counted.
(3) You must provide evidence of leveraging or partnerships by
including letters of firm commitment, memoranda of understanding, or
agreements to participate from those entities identified as partners in
your application. Each letter of commitment, memorandum of
understanding, or agreement to participate should include the
organization's name, the proposed level of commitment and
responsibilities as they relate to your proposed program. The
commitment must be signed by an official of the organization legally
able to make commitments on behalf of the organization. Describe the
role of community-based organizations in specific program activities,
such as hazard evaluation and control; monitoring; and awareness,
education, and outreach within the community.
Rating Factor 5: Comprehensiveness and Coordination (10 Points).
This factor addresses the extent to which your program reflects a
coordinated, community-based process of identifying needs and building
a system to address the needs by using available HUD and other
community resources. In evaluating this factor, HUD will consider how
you have:
(1) Coordinated your proposed activities with those of other groups
or organizations to best support and coordinate all known activities
and, the specific steps you will take to share information on solutions
and outcomes with others. Any written agreements or memoranda of
understanding in place or proposed should be described.
(2) Become actively involved (or if not currently active, the
specific steps it will take to become active) in your community's
Consolidated Planning process established to identify and address a
need/problem that is related in whole, or part, directly, or indirectly
to the activities you propose.
(3) Developed linkages, or the specific steps you will take to
develop linkages with other activities, programs or projects through
meetings, information networks, planning processes or other mechanisms
to coordinate your activities so solutions are comprehensive, including
linkages with:
(a) Other HUD funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other HUD, Federal, State or locally funded activities,
including those proposed or on-going in the community(s) served.
(4) Coordinated and integrated lead hazard control work with
housing rehabilitation, housing and health codes, other related housing
programs, or including work of community development corporations and
childhood lead poisoning prevention programs.
(a) Described the degree to which lead hazard control work will be
done in conjunction with other housing-related activities (i.e.,
rehabilitation, weatherization, correction of code violations, and
other similar work), and your plan for the integration and coordination
of lead hazard control activities into those activities.
(b) Described plans to incorporate lead-based paint maintenance,
essential maintenance practices, and hazard control standards with the
applicable housing codes and health regulations.
(c) Described plans to generate and use public subsidies or other
resources (such as revolving loan funds) to finance future lead hazard
control activities.
(d) Described plans to develop public-private lending partnerships
to finance lead hazard control as part of acquisition and
rehabilitation financing
[[Page 9708]]
including the use of Community Reinvestment Act ``credits'' by lending
institutions.
(e) Evidenced firm commitments from participating organizations by
describing:
(i) The name of each organization;
(ii) The capabilities or focus of each organization;
(iii) The proposed level of effort of each organization; and
(iv) The resources and responsibilities of each organization,
including the applicant's clearly proposed plans for the training and
employment of low-income residents.
(f) Described plans to implement a registry of lead-safe housing.
(g) Detailed the extent to which the policy of affirmatively
furthering fair housing for all segments of the population is advanced
by the proposed activities. Detail how your proposed work plan will
support the community's efforts to further housing choices for all
segments of the population. If you have an existing grant, you should
discuss activities which have contributed to enhanced lead safe housing
opportunities to all segments of the population.
(h) Described plans to adapt or amend statutes, regulations, or
policies which will more fully integrate lead hazard control into
community policies and priorities.
(5) Coordinated and cooperated with other organizations which will
lead to a reduction in lead risks to community residents. This could
include such activities as free training on lead-safe repainting and
remodeling; promotion of essential maintenance practices; and provision
of lead dust testing to low-income, privately-owned homes which may not
receive lead hazard control assistance under this grant program.
VI. Application Submission Requirements
(A) Applicant Information
(1) Application Format
The application narrative response to the Rating Factors is limited
to a maximum of 25 pages. Your response must be typewritten on one (1)
side only on 8\1/2\'' x 11'' paper using a 12 point (minimum) font
with not less than \3/4\'' margins on all sides. Appendices should be
referenced and discussed in the narrative response. Materials provided
in the appendices should directly apply to the rating factor narrative.
(2) Application Checklist
In addition to the certifications and assurances listed in the
General Section of the SuperNOFA, you must submit the following:
(a) Transmittal Letter that identifies ``the applicant'' (or
applicants) submitting the application, the dollar amount requested,
what the program funds are requested for, and the nature of involvement
with community-based organizations.
(b) The name, mailing address, telephone number, and principal
contact person of ``the applicant.'' If you have consortium associates,
sub-grantees, partners, major subcontractors, joint venture
participants, or others contributing resources to your project, you
must provide similar information for each of these partners.
(c) Lead-Based Paint Contractor Certification and Accreditation
Program
(i) If you are a State or Indian Tribe, the EPA authorization of
the state program (Section 402 and 404 of TSCA) must be included.
(ii) If you are a local government in States which do not have an
EPA authorized lead-based paint contractor certification program, you
must provide assurances that you will use only performers certified
under EPA-authorized state programs in conducting lead hazard control
work.
(d) A detailed budget with supporting cost justifications for all
budget categories of your grant request. You must provide a separate
estimate for the overall grant management element (Administrative
Costs), which is more fully defined in the application kit for this
program section of the SuperNOFA. The budget shall include not more
than 10% for administrative costs and not less than 90% for direct
project elements. In the event of a discrepancy between grant amounts
requested in various sections of the application, the amount you
indicate on the SF-424 will govern as the correct value.
(e) An itemized breakout (using the SF-424A) of your required
matching contribution, including:
(i) Values placed on donated in-kind services;
(ii) Letters or other evidence of commitment from donors; and
(iii) The amounts and sources of contributed resources.
(f) Memoranda of Understanding or Agreement, letters of commitment
or other documentation describing the proposed roles of agencies, local
broad-based task forces, participating community or neighborhood-based
groups or organizations, local businesses, and others working with the
program.
(g) A copy of your approval notification for the current program
year for your jurisdiction's Consolidated Plan. You also should include
a copy of the lead hazard control element included in your current
program year's Consolidated Plan.
(h) Narrative responses to the five rating factors.
(B) Proposed Activities
All applications must, at a minimum, contain the following items:
(1) A description of the affected housing and population you will
serve.
(a) Describe the size and general characteristics of the target
housing within the jurisdiction, including a description of the
housing's location, condition, and occupants, and a current estimate of
the number of children under the age of six in these units. You should
provide other characteristics described in Rating Factor 2 (Need). If
you are targeting specific area(s) (neighborhoods, census tracts, etc.)
within your jurisdiction for lead hazard control activities, describe
these same characteristics for the area. You should also include vacant
housing that subsequently will be occupied by low-income renters or
owners in this description. You may include maps as an appendix.
(b) Provide information on the magnitude and extent of the
childhood lead poisoning problem within your jurisdiction and for any
area(s) you will include in your lead hazard control program.
(c) Narrative statement addressing the rating factors for award of
funding under this program section of the SuperNOFA. Your narrative
statement must be numbered in accordance with each factor for award
(Factor 1 through 5).
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 HUD regulations in 24 CFR part 58, recipients of
lead-based paint hazard control grants will assume Federal
environmental review responsibilities. Recipients of a grant under this
NOFA will be given guidance in these responsibilities.
IX. Authority
The Lead-Based Paint Hazard Control Program is authorized by
section 1011 of the Residential Lead-Based Paint Hazard Reduction Act
of 1992 (Title X of the Housing and Community Development Act of 1992).
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Notices
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Notices
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Notice of Funding Availability for Research to Improve the
Evaluation and Control of Residential Lead-Based Paint Hazards
Program Overview
Purpose of the Program. To fund research to improve methods for
detecting and controlling residential lead-based paint hazards.
Available Funds. Approximately $2.5 million.
Eligible Applicants. Academic and not-for-profit institutions
located in the U.S., and State and local governments. For-profit firms
also are eligible; however, they are not allowed to earn a fee (i.e.,
no profit can be made from the project).
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 an original and four copies of your
completed application on or before 12:00 midnight Eastern time on May
26, 1999.
See the General Section of this SuperNOFA for specific procedures
that you must follow for the form of application submission (e.g.,
mailed applications, express mail, overnight delivery, or hand
carried).
Address for Submitting Applications. For Mailed Applications. The
address for mailed applications is: Department of Housing and Urban
Development, 451 7th Street, S.W., Room P3206, Washington, D.C. 20410.
For Overnight/Express Mail or Hand Carried Applications. The
address for overnight/express mail or hand carried applications is: HUD
Office of Lead Hazard Control, 490 L'Enfant Plaza, SW, Suite 3206,
Washington, DC 20024.
For Application Kits. You may obtain an application kit from the
SuperNOFA Information Center at 1-800-HUD-8929, or the TTY number at1-
800-483-2209. When requesting an application kit, please refer to the
Lead Hazard Control Research grant program. Please be sure to provide
your name, address (including zip code), and telephone number
(including area code).
For Further Information and Technical Assistance. For further
information, you may contact: Dr. Peter Ashley, Office of Lead Hazard
Control, at the address above; telephone (202) 755-1785, extension 115,
or Ms. Karen Williams, Grants Officer, extension 118 (these are not
toll-free numbers). Hearing- and speech-impaired persons may access the
above telephone number via TTY by calling the toll-free Federal
Information Relay Service at 1-800-877-8339.
II. Amount Allocated
Approximately $2.5 million will be available to fund research
proposals in FY 1999. Grants or cooperative agreements will be awarded
on a competitive basis according to the Rating Factors described in
section V(B). HUD anticipates that individual awards will range from
approximately $250,000 to approximately $1,000,000.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description
Background. HUD has been actively engaged in a number of activities
relating to lead-based paint as a result of the Lead-Based Paint
Poisoning Prevention Act (LBPPPA) of 1971, as amended, 42 U.S.C. 4801-
4846. Sections 1051 and 1052 of the Lead Based Paint Hazard Reduction
Act of 1992 (``Title X'') (42 U.S.C. 4854 and 4854a) state that the
Secretary of HUD, in cooperation with other Federal agencies, shall
conduct research on specific topics related to the evaluation and
subsequent mitigation of residential lead hazards. This research
program also implements, in part, HUD's Departmental Strategy for
Achieving Environmental Justice pursuant to Executive Order 12898
(Federal Actions to Address Environmental Justice in Minority
Populations and Low-Income Populations).
The HUD-sponsored research also responds to recommendations that
were made by the Task Force on Lead-Based Paint Hazard Reduction and
Financing, which was established pursuant to section 1015 of Title X.
The Task Force presented its final report to HUD and the Environmental
Protection Agency (EPA) in July 1995. The Task Force Report, entitled
``Putting the Pieces Together: Controlling Lead Hazards in the Nation's
Housing'' (see Appendix A of this program section of the SuperNOFA),
recommended research be conducted on a number of key topics to address
significant gaps in our knowledge of lead exposure and hazard control.
Research findings will be used in part to update HUD's Guidelines for
the Evaluation and Control of Lead-Based Paint in Housing
(``Guidelines''), which were published in June, 1995 (see Appendix A of
this program section of the SuperNOFA). The Guidelines are a report on
state-of-the-art procedures for all aspects of lead-based paint hazard
evaluation and control. The Guidelines reflect the Title X framework
for lead hazard control, which distinguishes three types of control
measures: interim controls, abatement of lead-based paint hazards, and
complete abatement of all lead-based paint. Interim controls are
designed to address hazards quickly, inexpensively, and temporarily,
while abatement is intended to produce a permanent solution. While the
Guidelines recommend procedures that are effective in identifying and
controlling lead hazards while protecting the health of abatement
workers and occupants, HUD recognizes that targeted research and field
experience will result in future changes to the Guidelines.
(B) Eligible Applicants
Academic and not-for-profit institutions located in the U.S., and
State and local governments are eligible under all existing
authorizations. Nonprofit institutions must submit proof of their
nonprofit status. For-profit firms also are eligible; however, they are
not allowed to earn a fee (i.e., no profit can be made from the
project). Federal agencies and Federal employees are not eligible to
submit applications. The General Section of the SuperNOFA provides
additional eligibility requirements.
(C) Eligible Activities
(1) General Goals and Objectives. The overall goal of this research
is to gain knowledge to improve the efficacy and cost-effectiveness of
methods for lead-based paint hazard evaluation and control. Specific
research topics for which applications are being solicited include:
(a) Treatment of lead-contaminated residential soils;
(b) Efficacy of the current guidance on conducting risk assessments
of multifamily housing; and,
(c) Other areas of research that are consistent with the overall
goals of this program section of the SuperNOFA.
Research objectives for the specific research topics listed above
are provided separately in the expanded discussion of these topic areas
that follows in Section III(C)(2). Although HUD is soliciting proposals
for research on these specific topics, the Department will also
consider funding applications for research on topics which are relevant
under the overall goals and objectives of this research, as described
above. In such instances, the applicant
[[Page 9712]]
should describe how the proposed research activity addresses these
overall goals and objectives.
(2) Background and Objectives for Specific Research Topic Areas.
(a) Treatment of Lead-Contaminated Soils.
(i) General. Soils can become lead contaminated as a result of the
shedding of leaded paint from the exterior of structures and by the
deposition of airborne particulate lead. Before the removal of lead
from gasoline, vehicular emissions were a significant source of
airborne lead, especially in urban areas. Children can be exposed to
lead in soil and exterior dust through direct contact and incidental
ingestion, and indirectly as a result of soil or dust being tracked or
blown into the home and becoming incorporated into house dust. The
degree to which soil-lead is a hazard depends upon the potential for
contact and the lead concentration of the soil.
The HUD Guidelines (Chapter 5) indicate that bare soils should be
considered hazardous if they exceed 400 ppm Pb in ``high contact''
areas (e.g., play areas) and if they exceed 2,000 ppm Pb in other areas
of the yard. The Guidelines further indicate that outside of high
contact areas, hazard control measures are not required unless the
surface area for bare soils exceeds 9 ft2. Requirements for
soil-lead hazard assessment and controls in HUD's proposed rule
implementing sections 1012 and 1013 of Title X (evaluation and control
of lead hazards in federally assisted housing) are generally consistent
with the HUD Guidelines. The Guidelines are also generally consistent
with interim guidance for lead in soil published by the U.S. EPA
(Guidance on the Identification of Lead-Based Paint Hazards, 60 FR
47247; September 11, 1995).
The EPA has also recently proposed soil-lead standards, as required
by section 403 of the Toxic Substances Control Act (TSCA) (63 FR 30302-
55; June 3, 1998). Soil-lead hazards can be mitigated using approaches
that can be described as either interim controls or long term abatement
measures (i.e., interventions that remain effective for at least 20
years). Interim controls include various means of covering bare soil,
such as with grass, gravel, or mulch. Land use controls can also be
employed and include measures such as fencing and changing the location
of play equipment. Interim controls are generally low cost and
relatively easy to employ; however, they require periodic monitoring to
ensure that they remain effective.
Current HUD guidance calls for residential soils to be abated if
soil-lead levels exceed 5,000 ppm. Soil abatement includes such
measures as covering soil with impervious materials like concrete or
asphalt, or removing contaminated soils for off-site disposal. Another,
more experimental approach, includes removing soil for on-site
treatment that removes lead, followed by replacing the ``cleaned''
soil. Because of the high cost of soil abatement methods, in
conjunction with other barriers to their implementation (e.g.,
disposing of lead-contaminated soils), these methods are currently
impractical for widespread adoption.
Other approaches to reducing soil-lead hazards cannot be readily
characterized as either interim controls or soil abatement. An example,
which has not been evaluated scientifically, is tilling the soil to
reduce the lead concentration at the soil surface. Another example is
the untested concept of treating soil with a substance (e.g., ground
phosphate rock) that would be expected to reduce the biological
availability (i.e., the degree to which the lead is absorbed into the
bloodstream following ingestion) of the soil-lead to humans.
Relatively little research has been reported on the effectiveness
of residential soil treatments in reducing children's lead exposures.
Some studies have reported significant reductions in the blood-lead
levels of children following the implementation of interim soil hazard
reduction measures in conjunction with other lead hazard control
measures performed on dwelling interiors. However, this type of study
design makes it difficult to parse out the effect of the soil hazard
controls in reducing lead exposure.
The EPA-funded ``Three City Study'' assessed the impact of
residential or neighborhood soil and dust abatement on children's blood
lead levels (USEPA 1996). A small decline in the mean blood lead of
children was observed following soil abatement at one of the three
study sites.
The major goals of this research are to improve methods for
assessing potential risks from soil-lead exposure, to determine the
effectiveness of various interim control methods of reducing
residential soil-lead hazards, and to identify novel, cost-effective
approaches to reducing or eliminating residential soil-lead hazards.
(ii) Specific Research Objectives. Specific research objectives
include the following:
(1) Assess the effectiveness of selected interim control methods at
reducing or eliminating residential soil-lead hazards;
(2) Develop and assess novel, cost-effective methods for reducing
or eliminating residential soil-lead hazards;
(3) Assess the adequacy of the current EPA (1994 interim guidelines
and 1998 proposed rule) and HUD Guidelines for identifying residential
soil-lead hazards (e.g., area of bare soil for a hazardous condition,
soil sampling guidelines); and
(4) Improve knowledge regarding the relative importance of exterior
dust and soil as lead exposure sources for children in various
residential environments.
(b) Lead Hazard Risk Assessment of Multifamily Housing.
(i) General. For the purpose of assessing residential housing for
lead-based paint hazards, Title X defines a lead-based paint hazard
risk assessment as an on-site investigation of a dwelling for the
purpose of identifying any lead-based paint hazards. Risk assessments
include, but are not limited to, a visual assessment and limited
environmental sampling, and creation of a written report with results
and recommendations. It is also suggested that a risk assessor, to the
extent feasible, conduct an investigation of the history and management
of a dwelling and the age of the residents. Chapter 5 of the HUD
Guidelines provides guidance on conducting risk assessments in single
and multifamily housing, and addresses painted surfaces, dust, and
soil. The described approaches for conducting lead hazard risk
assessments in multifamily housing include methods that are based on:
(a) targeted, worst case, and random sampling of housing units and
common areas when assessing painted surfaces and/or dust for lead-based
paint hazards, and (b) sampling of selected locations of building
properties when assessing soil for lead hazards. These aspects of risk
assessment are addressed by the Guidelines as follows:
Painted surfaces and dust
Targeted sampling involves the selection of housing units and
common areas deemed most likely to contain lead-based paint hazards.
These units and common areas are identified primarily through
information that is supplied by the owner (i.e., verbally and/or
through written records). Examples of criteria for selecting units to
be sampled include condition (e.g., select if ``poor''), the presence
of children under age 6, and recent preparation for reoccupancy. One
limitation of condition-based targeting is that most owners have little
knowledge of lead risk assessment, and
[[Page 9713]]
may unintentionally fail to identify the units most likely to have LBP
hazards; another arises from the potential conflict of interest of a
risk assessor's reliance on the owner's characterization of the units
and common areas. The Guidelines also provide a minimum number of units
to be sampled in conducting risk assessments of similar multifamily
units in developments of various sizes. The values provided were in
part derived from a public housing risk assessment/insurance program.
The other approaches discussed in the Guidelines for choosing units
to be assessed, worst case and random sampling, are suggested for use
when there is not adequate information on which to select a target
sample. They would be more costly than the targeted approach in most
cases. The worst-case sampling approach requires an initial visual
inspection of all units and common areas with subsequent selection of
those in poorest condition, while the random sampling method requires
the random selection of a statistically based sample, as is required
for conducting lead-based paint inspections. The statistically based
random sample generally requires the selection of many more units than
targeted sampling.
A focused research effort is needed to assess the adequacy of the
current HUD guidance for conducting risk assessments of multifamily
developments. Research efforts could include the analysis of existing
data from past risk assessments of multifamily developments (e.g.,
public housing) and/or the generation and analysis of new data
generated from the assessment of a limited number of multifamily
developments. As part of an evaluation of multifamily risk assessment
guidance, consideration should be given as to how an assessor should
characterize the results of a multifamily risk assessment in a manner
that would maximize its utility to the client. If no lead hazards are
identified, or if a clear pattern in the occurrence of lead hazards
emerges, the reporting of results is straightforward. Other findings,
however, such as the situation in which some lead hazards are detected
with no apparent pattern of occurrence, are more difficult to
characterize.
Soil
Chapter 5 of the HUD Guidelines recommends that bare soils be
sampled during a risk assessment of multifamily housing; however, no
additional guidance specific to multifamily housing is provided. The
general guidance for soil sampling is to collect a minimum of two
composite samples per building, with one sample collected from the
children's play area and the other sample collected from the front or
back yard and/or an additional sample from the foundation drip line. It
would be useful to expand this guidance to cover a wider range of
conditions, such as large-area properties with a few high-occupancy
buildings and multiple areas of bare soil, or small properties for
which play areas may not be distinct from other areas. Improving the
clarity of identification and characterization of play areas would also
improve the existing guidance. Another question relates to the possible
sampling of exterior dust. Should exterior dust be sampled, and if so,
using what protocol, and how should results be interpreted?
(ii) Specific Research Objectives. The major objective is to assess
the utility of the current HUD guidance on conducting lead-based paint
hazard risk assessments in multifamily developments and to identify
changes that could be made to improve this guidance. Specific research
objectives include:
(1) Assess the utility of a ``targeted sampling'' approach in
identifying lead hazards in multifamily housing in contrast to other
approaches (e.g., random sampling).
(2) Evaluate the current guidance on the minimum number of units to
be assessed in targeted risk assessments of multifamily housing.
(3) Develop guidance to risk assessors on cost effective methods of
determining the location of hazards in unsampled units when the pattern
of hazard occurrence is uncertain based on sampled units.
(4) Improve the guidance for conducting soil sampling in
conjunction with risk assessments for a wide variety of multifamily
housing.
(c) Other Relevant Research. HUD will also consider funding
applications for research on topics which, although not specifically
identified in this program section of the SuperNOFA, are relevant under
the overall objective of improving the efficacy and cost-effectiveness
of methods for the evaluation and control of lead-based paint hazards.
All applications must comply with all requirements of this program
section of the SuperNOFA.
Other research topics that are of interest to HUD include, but are
not limited to:
(i) Assessment of the level of worker protection required for
typical lead hazard abatement and control activities (i.e., as
determined by personal exposure monitoring) with respect to evaluations
of the type of work, properties of the work surfaces, training and
experience of workers and supervisors, etc.
(ii) The degree to which it is necessary to follow the approach
recommended in the HUD Guidelines (Chapter 14) for clean-up (e.g.,
washing walls and ceilings, use of a HEPA vacuum and high phosphate
detergents) following the completion of various lead hazard control
interventions.
IV. Program Requirements.
The threshold requirements are listed in Section II.B of the
General Section of this SuperNOFA.
V. Application Selection Process
(A) Submitting Applications for Grants
Your application must conform to the formatting guidelines
specified in the application kit. This program section of the SuperNOFA
specifies the sections to be included in the application and the
application kit provides related formatting and content guidelines.
Applications that meet all of the threshold requirements will be
eligible to be scored and ranked, based on the total number of points
allocated for each of the rating factors described below in section
V(B). Your application must receive a total score of at least 65 points
to remain in consideration for funding.
HUD intends to make awards to qualifying applications in the
following order:
STEP 1 An award will be made to the highest ranked application in
each of the three topic areas (including the ``other'' area) listed at
sections III(C)(1)(a) through (c) of this program section of the
SuperNOFA, within the limits of funding availability. If there are
insufficient funds to award in all topic areas, HUD will make awards in
topics (a) through (c) in rank order;
STEP 2 If funding remains available, an award will be made to the
second highest ranked application in each of the three topic areas
listed at sections III.(C)(1)(a) through (c), within the limits of
funding availability.
STEP 3 If funding remains available, awards will be made in rank
order regardless of topic area.
You may address more than one of the research topic areas within
your proposal; however, each topic area will be rated and ranked
separately. Separate budgets should also be included for each of the
topic areas, with the total cost not to exceed the total amount to be
awarded. Projects need not address all of the objectives within a given
topic area. While you will not be penalized for not addressing all of
the specific objectives for a given topic area, if two applications for
research in a given
[[Page 9714]]
topic have equal scores, HUD will select the applicant whose project
addresses the most objectives.
You are encouraged to plan projects that can be completed over a
relatively short time period (e.g., 12 to 24 months from the date of
award) so that any useful information that is generated from the
research can be available for policy or program decisions and be
disseminated to the public as quickly as possible.
(B) Rating Factors. The factors for rating and ranking applicants,
and maximum points for each factor, are provided below. The maximum
number of points to be awarded is 102. This maximum includes two EZ/EC
bonus points as described in the General Section of the SuperNOFA.
Also, Section III(C)(2) of the General Section, which addresses a
court-ordered consideration, is applicable to this program. The
application kit contains additional guidance for responding to these
factors.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
This factor addresses the extent to which you have the ability and
organizational resources necessary to successfully implement the
proposed activities in a timely manner. The rating of you, the
``applicant,'' will include any sub-grantees, consultants, sub-
recipients, and members of consortia which are firmly committed to the
project (generally, ``subordinate organizations''). In rating this
factor HUD will consider the extent to which your application
demonstrates:
(1) The capability and qualifications of the principal investigator
and key personnel (10 points). Qualifications to carry out the proposed
study as evidenced by academic background, relevant publications, and
recent (within the past 10 years) relevant research experience.
Publications and research experience are considered relevant if they
required the acquisition and use of knowledge and skills that can be
applied in the planning and execution of the research that is proposed
under this program section of the SuperNOFA.
(2) Past performance of the research team in managing similar
research (10 points). Demonstrated ability to successfully manage the
various aspects of a complex research study in such areas as logistics,
research personnel management, data management, quality control,
community research involvement (if applicable), and report writing, as
well as overall success in project completion (i.e., research completed
on time and within budget). You should also demonstrate that the
project would have adequate administrative support, including clerical
and specialized support in areas such as accounting and equipment
maintenance.
Rating Factor 2: Need/Extent of the Problem (15 Points)
(1) You must demonstrate responsiveness to solicitation objectives.
You should explain in detail the likelihood that the research would
make a significant contribution towards achieving some or all of HUD's
stated goals and objectives for one or more of the topic areas
described in sections III(C)(2)(a)-(c) of this program section of the
SuperNOFA. You also should explain how the proposed research could lead
to improvements or additions to the HUD Guidelines.
(b) If you are seeking funding for ``other'' research, as is
described in section III(C)(2)(c), you must provide an explanation
which demonstrates the importance and need for the research with
respect to addressing the overall goal of this program section of the
SuperNOFA (see section III(C)(1)).
Rating Factor 3: Soundness of Approach (45 Points)
This factor addresses the quality of your proposed research plan.
Specific components include the following:
(1) Soundness of the study design (25 points). The study design
must be thorough and feasible, and reflect your knowledge of the
relevant scientific literature. You should include a plan for analyzing
and archiving data.
(2) Project management plan (10 points). The proposal should
include a management plan that provides a schedule for the completion
of major tasks and deliverables, with an indication that there will be
adequate resources (e.g., personnel, financial) to successfully meet
the proposed schedule. Projects with a duration of 24 months or less
will be awarded more points in this category than projects with a
longer duration.
(3) Quality assurance mechanisms (5 points). You must describe the
quality assurance mechanisms which will be integrated into your
research design to ensure the validity and quality of the results.
Areas to be addressed include acceptance criteria for data quality,
procedures for selection of samples/sample sites, sample handling,
measurement and analysis, and any standard/nonstandard quality
assurance/control procedures to be followed. Documents (e.g.,
government reports, peer-reviewed academic literature) which provide
the basis for the quality assurance mechanisms should be cited.
(4) Budget Proposal (5 Points). The budget proposal should be
thorough in the estimation of all applicable direct and indirect costs,
and should be presented in a clear and coherent format in accordance
with the requirements listed in the General Section of this SuperNOFA.
Rating Factor 4: Leveraging Resources (10 Points)
The extent to which you can demonstrate that the effectiveness of
the HUD research grant funds is being increased by securing other
public and/or private resources or by structuring the research in a
cost-effective manner, such as integrating the project into an existing
research effort. Resources may include funding or in-kind contributions
(such as services, facilities or equipment) allocated to the purpose(s)
of the research. Staff and in-kind contributions should be given a
monetary value.
You must provide evidence of leveraging/partnerships by including
in the application letters of firm commitment, memoranda of
understanding, or agreements to participate from those entities
identified as partners in the application. Each letter of commitment,
memorandum of understanding, or agreement to participate should include
the organization's name, proposed level of commitment and
responsibilities as they relate to the proposed program. The commitment
must also be signed by an official of the organization legally able to
make commitments on behalf of the organization.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
You should describe how the results of your proposed research
efforts will support planning, policy development, implementation of
lead hazard control programs, and/or public education in the area of
residential lead hazard control.
VII. Application Submission Requirements
(A) Applicant Data
Applications should be submitted in accordance with the format and
instructions contained in this program section of the SuperNOFA. The
following are required elements of the application (the application kit
provides all necessary details and information):
(1) Transmittal Letter that identifies what the program funds are
requested
[[Page 9715]]
for, the dollar amount requested, and the applicant or applicants
submitting the application.
(2) The name, mailing address, telephone number, and principal
contact person of the applicant. If the applicant has consortium
associates, sub-grantees, partners, major subcontractors, joint venture
participants, or others contributing resources to the project, similar
information shall also be provided for each of these entities.
(3) Completed Forms HUD-2880, Applicant/Recipient Disclosure/Update
Report; Certification Regarding Lobbying; and SF-LLL, Disclosure of
Lobbying Activities, where applicable.
(4) Standard Forms SF-424, 424A, 424B, and other certifications and
assurances listed in the General Section of the SuperNOFA and in
section VII(B) of this program section of the SuperNOFA.
(5) A detailed total budget with supporting cost justification for
all budget categories of the Federal grant request.
(6) A one-page abstract containing the following information: The
project title, the names and affiliations of all investigators, and a
summary of the objectives, expected results, and study design described
in the proposal.
(7) A project description that does not exceed 25 pages for each
research topic area.
(8) Any important attachments, appendices, references, or other
relevant information may accompany the project description, but must
not exceed fifteen (15) pages for the entire application.
(9) A narrative statement addressing the rating factors for award
of funding under this program section of the SuperNOFA. The narrative
statement must be numbered in accordance with each factor for award
(Factor 1 through 5). The response to the rating factors should not
exceed a total of 20 pages for each research topic area. (See
application kit for format and required elements.)
(10) The resumes of the principal investigator and other key
personnel. Resumes shall not exceed three pages, and are limited to
information that is relevant in assessing the qualifications of key
personnel to conduct and/or manage the proposed research.
(11) Copy of State Clearing House Approval Notification (see
application kit to determine if applicable).
(B) Certifications and Assurances. The following certifications and
assurances are to be included in all applications:
(1) Compliance with all relevant State and Federal regulations
regarding exposure to and proper disposal of hazardous materials.
(2) Assurance that the financial management system meets the
standards for fund control and accountability (24 CFR 84.21 or 24 CFR
85.20, as applicable);
(3) Assurance, to the extent possible and applicable, that any
blood lead testing, blood lead level test results, and medical referral
and follow-up for children under six years of age will be conducted
according to the recommendations of the Centers for Disease Control and
Prevention (CDC) (Preventing Lead Poisoning in Young Children, See
Appendix A of this program section of the SuperNOFA);
(4) Assurance that HUD research grant funds will not replace
existing resources dedicated to any ongoing project; and
(5) Certification of compliance with the Drug-Free Workplace Act of
1988 in accordance with the requirements set forth at 24 CFR part 24.
(6) Assurance that laboratory analysis covered by the National Lead
Laboratory Accreditation Program (NLLAP) is conducted by a laboratory
recognized under the program.
(7) Assurance that human research subjects will be protected from
research risks in conformance with the Common Rule (Federal Policy for
the Protection of Human Subjects, codified by HUD at 24 CFR part 60).
VIII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
IX. Environmental Requirements
In accordance with 24 CFR 50.19(b)(1) and (5) of the HUD
regulations, activities assisted under this program are categorically
excluded from the requirements of the National Environmental Policy Act
of 1969 (42 U.S.C. 4321) and are not subject to environmental review
under the related laws and authorities.
X. Authority
These grants are authorized under sections 1051 and 1052 of the
Residential Lead-Based Paint Hazard Reduction Act of 1992, which is
Title X of the Housing and Community Development Act of 1992.
Appendix A--Relevant Publications and Guidelines
To secure any of the documents listed, call the listed telephone
number (generally, the telephone numbers are not toll-free).
Regulations
1. Worker Protection: OSHA publication--Telephone: 202-693-1888
(OSHA Regulations) (available for a charge)--Government Printing
Office--Telephone: 202-512-1800 (not a toll-free number):
--General Industry Lead Standard, 29 CFR 1910.1025; (Document Number
869022001124)
--Lead Exposure in Construction, 29 CFR 1926.62, and appendices A,
B, C, and D; (Document Number 869022001141)
2. Waste Disposal: 40 CFR parts 260-268 (EPA regulations)
(available for a charge)--Telephone 1-800-424-9346, or, from the
Washington, DC, metropolitan area, 1-703-412-9810 (not a toll-free
number).
3. Lead; Requirements for Lead-Based Paint Activities in Target
Housing and Child-Occupied Facilities; Final Rule: 40 CFR Part 745,
Subparts L and Q (EPA) (State Certification and Accreditation
Program for those engaged in lead-based paint activities)--
Telephone: 1-202-554-1404 (Toxic Substances Control Act Hotline)
(not a toll-free number).
4. Requirements for Notification, Evaluation and Reduction of
Lead-Based Paint Hazards in Federally Owned Residential Property and
Housing Receiving Federal Assistance; Proposed Rule: 24 CFR Parts
35, 36 and 37 (HUD)--Telephone: 1-202-755-1785 (Office of Lead
Hazard Control) (not a toll-free number).
5. U.S. Environmental Protection Agency. Lead; Identification of
Dangerous Levels of Lead; Proposed Rule. Federal Register: 63 FR
30302-30355, June 3, 1998. TSCA Hotline: 202-554-1404 (not a toll-
free number).
Guidelines
1. Guidelines for the Evaluation and Control of Lead-Based Paint
Hazards in Housing; HUD, June 1995 (available for a charge)--
Telephone: 800-245-2691:
2. Preventing Lead Poisoning in Young Children; Centers for
Disease Control, October 1991: Telephone: 888-232-6789.
3. Screening Young Children for Lead Poisoning: Guidance for
State and Local Public Health Officials, November 1997; Centers for
Disease Control and Prevention (CDC): Telephone: 888-232-6789.
Reports
1. Putting the Pieces Together: Controlling Lead Hazards in the
Nation's Housing, (Summary and Full Report); HUD, July 1995
(available for a charge)--Telephone 800-245-2691.
2. Comprehensive and Workable Plan for the Abatement of Lead-
Based Paint in Privately Owned Housing: Report to Congress; HUD,
December 7, 1990 (available for a charge)--Telephone 800-245-2691.
3. A Field Test of Lead-Based Paint Testing Technologies:
Summary Report (Summary also available); U.S. Environmental
Protection Agency, May 1995. EPA 747-R-95-002a (available at no
charge)--Telephone 800-424-5323.
4. Urban Soil Lead Abatement Demonstration Project. EPA
Integrated Report, U.S. Environmental Protection Agency, April,
1996. EPA/600/P-93-001AF (available from National Technical
Information Service (NTIS) for a charge)--Telephone 800-553-6847.
BILLING CODE 4210-32-P
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9717]]
[GRAPHIC] [TIFF OMITTED] TN26FE99.028
BILLING CODE 4210-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9719]]
Funding Availability for Interventions to Control Mold and Moisture
Problems in Inner-City Housing
Program Overview
Purpose of the Program. The purpose of the program is to assist
State and local governments in undertaking demonstration projects of
preventive measures to correct mold and moisture problems in inner-city
housing occupied by families with young children in communities where
exposure to toxigenic molds has been linked to cases of acute pulmonary
hemorrhage and death in infants.
Available Funds. Approximately $4.0 million.
Eligible Applicants. State or local governments.
Application Deadline. May 26, 1999.
Match. None.
Additional Information
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Submit an original and four copies of your
completed application on or before 12:00 midnight Eastern Time on May
26, 1999.
The General Section of the SuperNOFA provides additional
information regarding the delivery methods for the applications.
Address for Submitting Applications. For Mailed Applications. The
address for mailed applications is: Department of Housing and Urban
Development, 451 Seventh Street, SW, Room P3206, Washington, D.C.
20410.
For Overnight/Express Mail or Hand Carried Applications. The
address for applications that are hand carried or sent via overnight
delivery is : HUD Office of Lead Hazard Control, Suite 3206, 490
L'Enfant Plaza SW, Washington, D.C. 20024.
For Application Kits. You may obtain an application kit from the
SuperNOFA Information Center at 1-800-HUD-8929, or the TTY number at 1-
800-483-2209. When requesting an application kit, please refer to
``Interventions to Control Mold and Moisture.'' Please be sure to
provide your name, address (including zip code), and telephone number
(including area code). Alternatively, you may obtain an application kit
by downloading it from the internet at http://www.hud.gov.
For Further Information Contact. Dr. Peter Ashley, Planning and
Standards Division, Office of Lead Hazard Control, at the address
above; telephone (202) 755-1785, extension 115, or Ms. Karen Williams,
Grants Officer, extension 118 (these are not toll-free numbers).
Hearing- and speech-impaired persons may access the above telephone
numbers via TTY by calling the toll-free Federal Information Relay
Service at 1-800-877-8339.
II. Amount Allocated
Approximately $4.0 million will be available to fund demonstration
projects in FY 1999. Grants will be awarded on a competitive basis
following evaluation of all proposals according to the Rating Factors
described in section V(B). HUD anticipates that approximately 1 to 3
grants will be awarded, ranging from approximately $1,500,000 to
approximately $4,000,000.
III. Program Description, Eligible Applicants, and Eligible
Activities
(A) Program Description
(1) Background. (a) Molds (filamentous fungi) can grow on and
within various substrates within a home following water intrusion as a
result of events such as flooding and plumbing and roof leaks. Of
particular concern is the growth of molds that are capable of forming
toxic substances (i.e., toxigenic molds). Exposure to molds and their
toxic byproducts can be hazardous to humans through direct contact with
the skin, ingesting mold-contaminated foods, or by inhaling mold
particles. Such exposures have been associated with a variety of
symptoms, including rashes, fever, headache, upper respiratory
infection, asthma, chronic fatigue, and in severe cases, death (Croft
et al. 1986, Johanning et al. 1996).
One of the most hazardous of the toxigenic molds is Stachybotrys
chartarum. Stachybotrys is a greenish-black mold that grows on water-
soaked, cellulose-containing materials such as wood paneling, ceiling
tiles, paper products, and some types of insulation. An association was
found between the presence of this mold in water-damaged homes in a
large, midwestern city, and the occurrence of acute pulmonary
hemorrhage in infants, leading to death in some cases (Etzel et al.
1998; MMWR 1994, 1997). Air sampling conducted in the homes of the
disease cases also identified considerably higher concentrations of
other varieties of mold in the homes of victims as compared to control
homes. The cases were found to be geographically clustered in an area
of the city with housing that is old and often times inadequately
maintained, with evidence of water damage and chronic moisture
problems. A cluster of cases of acute infant pulmonary hemorrhage was
also reported in another U.S. city; however, no epidemiological study
of potential causative environmental agents has been published (MMWR
1995).
Inspection of homes for mold problems can include visual survey for
mold and water damage, bulk and surface sampling of contaminated
materials, and air monitoring. Mold is especially serious when
substantial amounts are found to occur in air ducts that are part of
the home heating system. Heating ducts provide a means for the wide
distribution of mold particulates throughout the house. To be
effective, any remediation strategy must include elimination of
moisture intrusion into the home. Because water damage and mold growth
are most likely to occur in older housing, as has been reported, it is
likely that the affected dwellings also contain lead-based paint which
could be in a deteriorated condition. Therefore, any remediation
strategy for mold growth should include the identification and control
of lead-based paint hazards. Remediation workers must be trained to
work safely in mold-contaminated environments as well as in safe
methods for lead hazard control. Precautions also must be taken to
adequately protect occupants during interventions.
(b) References. See Appendix A.
(2) Goals and Objectives. The primary goal of this program is to
protect children by supporting one or more demonstration projects
employing cost-effective, replicable interventions to remediate
moisture intrusion and associated mold growth in inner-city housing
occupied by families with young children in communities where toxic
mold exposure has been linked to acute pulmonary hemorrhage in infants
(``eligible housing'').
Objectives include the following:
(a) Developing a cost-effective survey protocol for identifying
homes that are candidates for moisture control interventions,
identifying lead-based paint and other hazards associated with moisture
intrusion, and screening out homes where structural or other condition
factors make interventions infeasible or impractical.
(b) Developing a flexible set of intervention strategies that take
into account the range of conditions likely to be encountered in older
inner-city housing, and the need to maximize the number of housing
units that receive an intervention.
(c) Developing an efficient strategy for evaluating the
effectiveness of interventions in preventing moisture intrusion and
controlling mold growth.
(d) Building local capacity to develop a sustainable program that
will continue to prevent and, where they occur, minimize and control
toxic mold
[[Page 9720]]
hazards in low and very-low income residences when HUD funding is
exhausted.
(e) Affirmatively furthering fair housing and environmental
justice.
(f) Mobilizing public and private resources, involving cooperation
among all levels of government, the private sector, and community-based
organizations to develop the most promising, cost-effective methods for
identifying and controlling moisture problems and associated mold
hazards in inner city housing.
(g) Integrating mold- and lead-safe work practices into housing
maintenance, repair, and improvements.
(h) To the greatest extent feasible, promoting job training,
employment, and other economic opportunities for low-income and
minority residents and businesses which are owned by and/or employ low-
income and minority residents as defined in 24 CFR 135.5 (See 59 FR
33881, June 30, 1994).
(B) Eligible Applicants
To apply for funding under this announcement, you must be a State
or unit of local government. Multiple units of local government (or
multiple local governments) may apply as part of a consortium; however,
a single lead government or agency must be identified and that agency
will be considered ``the applicant.'' Only one application may be
submitted from each applicant. If your name appears as lead agency in
multiple applications, this will be considered a curable (minor)
defect. HUD will request that you clarify which application you want
HUD to consider as your application. If you fail to respond, any
application in which you are identified as the lead agency will be
returned unevaluated.
(C) Eligible Activities
You will be afforded considerable latitude in designing and
implementing the interventions to prevent moisture intrusion and
remediate existing mold hazards. However, in developing a strategy, you
should use all reasonably available sources of information on
controlling moisture and associated mold problems in buildings and
protecting workers and occupants during and after the intervention
process. HUD is interested in promoting housing intervention approaches
that result in the reduction of this health threat for the maximum
number of residents, and in particular low-income residents, and that
demonstrate replicable techniques which are cost-effective and
efficient.
The following direct and support activities are eligible under this
grant program.
(1) Direct Project Elements (activities conducted by you and any
sub-recipients):
(a) Performing evaluations of eligible housing to determine the
presence of moisture intrusion and related conditions (e.g., mold
growth, damaged lead-based paint) through the use of generally accepted
testing procedures.
(b) Conducting medical examinations of young children for
conditions caused or exacerbated by mold exposure where this is
considered essential to your project, and there are no alternative
sources to cover these costs.
(c) Conducting housing interventions to remediate existing mold
growth and address conditions that could result in the recurrence of
mold growth by preventing the intrusion of moisture into a dwelling.
Any lead hazard evaluation and control work shall be conducted in
accordance with the HUD Guidelines for the Evaluation and Control of
Lead-Based Paint Hazards in Housing (``Guidelines'').
(d) Carrying out temporary relocation of families and individuals
during the period in which intervention is conducted and until the time
the affected unit receives clearance for reoccupancy.
(e) Performing medical testing recommended by a physician or
applicable occupational or public health agency for individuals working
with toxic molds and air sampling to protect the health of the
intervention workers, supervisors, and contractors.
(f) Undertaking housing rehabilitation activities that are
specifically required to carry out effective control of moisture
intrusion and mold hazards, and without which the intervention could
not be completed and maintained. Grant funds under this program may
also be used to control immediate lead-based paint hazards.
(g) Conducting clearance testing and analysis for lead and/or mold,
as appropriate.
(h) Carrying out architectural, engineering and work specification
development and other construction management services necessary to,
and in direct support of, activities to control moisture problems and
remediate existing mold and/or lead hazards.
(i) Providing training on safe maintenance practices to homeowners,
renters, painters, remodelers, and housing maintenance staff working in
low- or very-low income housing.
(j) Providing cleaning supplies for mold-hazard intervention and
lead-hazard control to community/neighborhood-based organizations for
use by homeowners and renters in low income housing, or to such
homeowners, and renters directly, in conjunction with training under
section III.(C)(1)(i), or as part of research activities under section
III.(C)(1)(n) of this program section of this SuperNOFA.
(k) Conducting general or targeted community awareness or education
programs on environmental health hazards associated with moisture
intrusion. This activity would include training on safe maintenance and
renovation practices. It would also include making materials available,
upon request, in alternative formats for persons with disabilities
(e.g., Braille, audio, large type), and in languages other than English
that are common in the community, whenever possible.
(l) Securing liability insurance for mold-intervention and lead-
hazard evaluation and control activities to be performed.
(m) Supporting data collection, analysis, and evaluation of project
activities. This activity is separate from administrative costs.
(n) Conducting applied research activities directed at
demonstration of cost-effective evaluation and intervention methods for
preventing moisture intrusion into dwellings and abating associated
mold hazards, particularly in conjunction with concurrently evaluating
and controlling other moisture-related environmental health hazards.
(o) Presenting research findings at a scientific conference in each
project year after the first.
(p) Maintaining a registry (updated at least monthly) of housing
units in which moisture problems, mold hazards and lead hazards were
not found during evaluation, or in which such problems and hazards have
been controlled.
(q) Preparing quarterly progress reports, interim and final
research reports, and an overall final grant report detailing
activities, findings, conclusions and recommendations, at the
conclusion of grant activities.
(2) Support Elements.
(a) Your administrative costs.
(b) Program planning and management costs of sub-grantees and other
sub-recipients.
(D) Ineligible Activities
Program funds shall not be used for:
(1) Purchase of real property.
(2) Purchase or lease of equipment having a per unit cost in excess
of $5,000, except upon approval by HUD.
(3) Medical treatment costs for children with illness associated
with
[[Page 9721]]
exposure to molds or for children with elevated blood lead levels,
except as part of research activities under section III.(C)(1)(n),
above, in this program section of the SuperNOFA.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following
requirements:
(A) Budgeting. Administrative Costs. There is a 10% maximum for
administrative costs. The application kit contains specific information
on allowable administrative costs.
(B) Period of Performance. The period of performance cannot exceed
36 months.
(C) Coastal Barrier Resources Act. Pursuant to the Coastal Barrier
Resources Act (16 U.S.C. 3501), funds may not be used for properties
located in the Coastal Barrier Resources System.
(D) Flood Disaster Protection Act. Under the Flood Disaster
Protection Act of 1973 (42 U.S.C. 4001-4128), funds may not be used for
construction, reconstruction, repair or improvement of a building or
mobile home which is located in an area identified by the Federal
Emergency Management Agency (FEMA) as having special flood hazards
unless:
(1) The community in which the area is situated is participating in
the National Flood Insurance Program in accordance with the applicable
regulations (44 CFR parts 59-79), or less than a year has passed since
FEMA notification regarding these hazards; and
(2) Where the community is participating in the National Flood
Insurance Program, flood insurance on the property is obtained in
accordance with section 102(a) of the Flood Disaster Protection Act (42
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance
is obtained and maintained for the appropriate amount and term.
(E) National Historic Preservation Act. The National Historic
Preservation Act of 1966 (16 U.S.C. 470) (NHPA) and the regulations at
36 CFR part 800 apply to the mold intervention and related hazard
control activities that are undertaken pursuant to this program. HUD
and the Advisory Council for Historic Preservation have developed an
optional Model Agreement for use by grantees and State Historic
Preservation Officers in carrying out any lead hazard control
activities under this program.
(F) Waste Disposal. Waste disposal will be handled according to the
requirements of OSHA (e.g., 29 CFR part 1910 and/or 1926, as
applicable), the Environmental Protection Agency (EPA) (e.g., 40 CFR
parts 61, 260-299, 300-399, and/or 700-799, as applicable), the
Department of Transportation (e.g., 49 CFR parts 171-177), and/or
appropriate State or local regulatory agency(ies). Disposal of wastes
from intervention activities that contain lead-based paint but are not
classified as hazardous will be handled in accordance with the HUD
Guidelines.
(G) Worker Protection Procedures. You must comply with the
requirements of the Occupational Health and Safety Administration
(OSHA; e.g., 29 CFR part 1910 and/or 1926, as applicable), or the State
or local occupational safety and health regulations, whichever are most
stringent.
(H) Written Policies and Procedures. You must have written policies
and procedures for all phases of intervention, including evaluation,
development of specifications, financing, occupant relocation,
independent project inspection, and clearance testing (for mold and/or
lead, as applicable). You and all your subcontractors, sub-recipients,
and their contractors must comply with these policies and procedures.
(I) Continued Availability of Safe Housing to Low-Income Families.
Units in which mold hazards have been controlled under this program
shall be occupied by and/or continue to be available to low-income
residents.
(J) Data collection and provision. You must collect, maintain and
provide to HUD the data necessary to document the various approaches
used to evaluate and control mold and lead hazards, including
evaluation and control methods, building conditions, medical and
familial information (with confidentiality of individually-identifiable
information ensured) in order to determine the effectiveness and
relative cost of these methods.
(K) Section 3 Employment Opportunities. Please see Section II(E) of
the General Section of this SuperNOFA. The requirements of Section 3
are applicable to this program.
(L) Certifications and Assurances.
In addition to the certifications and assurances listed in the
General Section of the SuperNOFA, a single certification form is
included in the application kit. This includes:
(1) An assurance in accordance with 24 CFR 50.3(h) that the
applicant will carry out its responsibilities regarding HUD's
environmental review.
(2) A certification of compliance with the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970, and the
implementing regulations at 49 CFR 24; and HUD Handbook 1378 (Tenant
Assistance, Relocation and Real Property Acquisition).
(3) An assurance that the applicant's financial management system
meets the standards for fund control and accountability described in 24
CFR 85.20.
(4) An assurance that any pre-intervention and clearance evaluation
for lead will be conducted by certified performers.
(5) An assurance that project funds obtained through this SuperNOFA
will not replace existing resources dedicated to any ongoing project.
(6) Assurance that human research subjects will be protected from
research risks in conformance with the Common Rule (Federal Policy for
the Protection of Human Subjects, codified by HUD at 24 CFR part 60).
(M) Davis-Bacon Act. The Davis-Bacon Act does not apply to this
program. However, if program funds are used in conjunction with other
Federal programs in which Davis-Bacon prevailing wage rates apply, then
Davis-Bacon provisions would apply to the extent required under the
other Federal programs.
V. Application Selection Process
(A) Rating and Ranking
HUD intends to fund the highest ranked applications within the
limits of funding. Once available funds have been allocated to meet the
requested or negotiated amounts of the top eligible applicants, HUD
reserves the right, in successive order, to offer any residual amount
as partial funding to the next eligible applicant provided HUD, in its
sole judgment, is satisfied that the residual amount is sufficient to
support a viable, though reduced effort.
(B) Factors for Award Used to Evaluate and Rate Applications
This section provides the factors for rating and ranking your
application and the maximum points for each factor. The application kit
provides additional instructions for responding to these factors. The
maximum number of points to be awarded is 102. This maximum includes
two EZ/EC bonus points as described in the General Section of the
SuperNOFA. Also, Section III(C)(2) of the General Section, which
addresses a court-ordered consideration, is applicable to this program.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
This factor addresses your organizational capacity necessary to
[[Page 9722]]
successfully implement your proposed activities in a timely manner. The
rating of you or your staff includes any community-based organizations,
sub-contractors, consultants, sub-recipients, and members of consortia
that are firmly committed to your project. In rating this factor HUD
will consider:
(1) Your recent, relevant and successful demonstrated experience in
undertaking eligible program activities. You must describe the
knowledge and experience of the proposed overall project director and
day-to-day program manager in planning and managing large and complex
interdisciplinary programs, especially those involving housing
rehabilitation, public health, or environmental programs. In your
narrative response for this factor, you should include information on
your program staff, their experience, commitment to the program, and
position titles. Resumes of up to three (3) pages each and position
descriptions for up to three personnel in addition to the project
director and program manager, and a clearly delineated organizational
chart for your project must be included as an appendix. Copies of job
announcements (including salary range) should be included for any key
positions that are currently vacant. Indicate the percentage of time
that key personnel will devote to your project and any salary costs to
be paid by funds from this program.
(2) Whether you have sufficient personnel or will be able to
quickly retain qualified experts or professionals to begin your
proposed program immediately and to perform your proposed activities in
a timely and effective fashion. Describe how other principal components
of your agency or other organizations will participate in or support
your project. You should thoroughly describe capacity, as demonstrated
by experience in initiating and implementing related environmental,
health, or housing projects.
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for your
proposed program activities to address a documented problem in your
target inner city area(s).
(1) Document a critical level of need for your proposed activities
in the inner city area where activities will be carried out. You should
pay specific attention to documenting need as it applies to your target
area(s), rather than the larger geographic area.
(2) Your documentation of need should summarize available data
linking toxigenic mold growth with cases of acute pulmonary hemorrhage
in infants in your target area(s). Examples of supporting data that
might be used to demonstrate need, include:
(a) Economic and demographic data relevant to your target area(s),
including poverty and unemployment rates;
(b) Rates of childhood illnesses (e.g., asthma) that could be
caused or exacerbated by mold exposure, among children residing in your
target area(s), and rates of environmental intervention blood lead
levels in your target area(s);
(c) Lack of other Federal, State or local funding that could be, or
is used, to address the problem HUD program funds are designed to
address.
(3) For the areas targeted for your project activities, provide
data available in your jurisdiction's currently approved Consolidated
Plan, or derived from 1990 Census Data, or derived from other sources
(all data should be documented):
(a) The age and condition of housing;
(b) The number and percentage of very-low and low income families
with incomes less than 80% of the median income, as determined by HUD,
for the area, with adjustments for smaller and larger families (See
application kit for additional information.);
(c) The number and proportion of children under six years old.
(4) Describe how proposed research activities would help HUD
achieve its goals for this program area of this SuperNOFA.
(5) There must be a direct relationship between the proposed
activities, community needs, and the purpose of the program.
Rating Factor 3: Soundness of Approach (45 Points)
This factor addresses the quality and cost-effectiveness of your
proposed work plan. You should present information on the proposed
approach for controlling moisture intrusion and remediating existing
mold problems. The response to this factor should include the following
elements:
(1) Intervention Strategy (30 points). Describe the strategy you
will use in planning and executing the moisture control and mold hazard
interventions in inner city housing. You should provide information on:
(a) Strategy for Implementing the Demonstration Project (10
points). Describe your overall strategy for your proposed demonstration
project. The description must include a discussion of:
(i) Your previous experience in reducing or eliminating mold and
moisture problems in urban housing (if any).
(ii) Your overall strategy for identifying, selecting,
prioritizing, and enrolling units of eligible housing in which you will
undertake mold and moisture control. Describe the extent to which your
proposed activities will occur in an Empowerment Zone or Enterprise
Community (EZ/EC), if applicable.
(iii) The estimated total number of owner occupied and/or rental
units in which you will conduct interventions.
(iv) The degree to which your work plan focuses on eligible
privately-owned and/or publicly-owned housing units with young
children. Describe your planned approach to control moisture, mold and
other environmental health problems associated with moisture intrusion
before children are affected; and/or to control these hazards in units
where children have already been treated for illnesses associated with
mold exposure (e.g., acute pulmonary hemorrhage, asthma). Describe the
process for your referral of ill children for medical case management
if this is not ongoing.
(v) The financing strategy, including eligibility requirements,
terms, conditions, and amounts available, to be employed in conducting
mold and moisture control activities. You must discuss the way funds
will be administered (e.g., use of grants, deferred loans, forgivable
loans, other resources, private sector financing, etc.) as well as the
agency which will administer the process. Describe how your proposed
project will further and support the policy priorities of the
Department, including promoting Healthy Homes; providing opportunities
for self-sufficiency, particularly for persons enrolled in welfare-to-
work programs; or providing educational and job training opportunities.
(b) Outreach and Community Involvement (5 points). You must
describe:
(i) Proposed methods of community education. These should include
community awareness, education, training, and outreach programs in
support of your work plan and objectives. This should include general
and/or targeted efforts undertaken to assist your efforts in reducing
exposure to residential mold hazards. To the extent possible, programs
should be culturally sensitive, targeted, and linguistically
appropriate.
(ii) Proposed involvement of neighborhood or community-based
organizations in the proposed activities. These activities may include
outreach, community education, marketing,
[[Page 9723]]
inspection, and housing evaluations and interventions.
(c) Technical Approach for Conducting Mold and Moisture
Interventions (15 points)
(i) Describe your process for evaluating units of eligible housing
in which you will undertake moisture control and mold removal.
(ii) Describe any specialized testing or visual inspection that you
will conduct during unit inspection with reference to source(s) of the
protocol(s). Describe qualifications and experience requirements for
laboratories, which shall include, as applicable, successful
participation in the Clinical Laboratory Program, National Lead
Laboratory Accreditation Program, and/or National Voluntary Laboratory
Accreditation Program.
(iii) Describe the mold and moisture control interventions you will
undertake. Provide an estimate of the per unit costs (and a basis for
those estimates) for the type of interventions that are planned.
Provide a schedule for initiating and conducting interventions in the
selected units. Discuss efforts to incorporate cost-effective control
methods to address other environmental health hazards resulting from
water damage (e.g., deteriorating lead-based paint, damaged asbestos-
containing materials). Work should be conducted in accordance with the
HUD Guidelines in units where lead hazards are identified.
(iv) Describe your process for the development of work
specifications for selected interventions. Describe your management
processes to be used to ensure the cost-effectiveness of the housing
interventions. Discuss your contracting process to obtain contractors
to conduct interventions in selected units.
(v) Describe your plan for the temporary relocation of occupants of
units selected for intervention, and how you will determine the need
for relocation. Address the use of safe houses and other housing
arrangements, storage of household goods, stipends, incentives, etc.
(2) Economic Opportunity (5 points) Describe methods that will
result in economic opportunities for residents and businesses in the
community where activities will be carried out. Include information on
how you will provide employment, business development, and contract
opportunities. Describe how you or your partners will satisfy the
requirements of Section 3 of the Housing and Community Development Act
of 1992 to give preference to hiring low- and very low-income persons
or contracting with businesses owned by or employing low-and very-low
income persons.
(3) Program Evaluation and Research (10 points).
(a) Identify and discuss the specific methods you will use to
measure progress, and evaluate the effectiveness of interventions.
Describe how the information will be obtained, documented, and
reported.
(b) Provide a detailed description of your proposed applied
research activities. Your research designs should be feasible and
display thorough knowledge of relevant scientific literature. They
should include an appropriate plan for managing, analyzing and
archiving data. Also, quality assurance mechanisms must be well
integrated into your research design to ensure the validity and quality
of collected data.
(4) Budget (Not Scored). Your proposed budget will be evaluated for
the extent to which it is reasonable, clearly justified, and consistent
with the intended use of program funds. HUD is not required to approve
or fund all proposed activities. You must thoroughly document and
justify all budget categories and costs (Part B of Standard Form 424A)
and all major tasks. Describe in detail your budgeted costs for each
required program element (major task) included in your overall plan.
The four required program elements are: administration; education and
outreach; control of mold and moisture-related hazards (including
sampling); and program evaluation and applied research.
(5) Court-Ordered Consideration. Due to an order of the U.S.
District Court for the Northern District of Texas, Dallas Division, HUD
will award up to two (2) additional points to an application submitted
by the City of Dallas, Texas, to the extent the application's proposed
activities will eradicate the vestiges of racial segregation in the
Dallas Housing Authority's programs consistent with the Court's order.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure other community
resources (such as financing, supplies or services) which can be
combined with HUD's resources to achieve project purposes.
(1) 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 your proposed project.
Resources may include funding or in-kind contributions (such as
services or equipment) allocated to your proposed program. Resources
may be provided by governmental entities, public or private
organizations, or other entities willing to be your partner in this
effort.
(2) Each source of contributions must be supported by a letter of
commitment from the contributing entity, whether a public or private
source, which must describe the contributed resources that will be used
in your program. Staff in-kind contributions should be given a market-
based monetary value. If you fail to provide letters of commitment with
specific details including the amount of the actual contributions, you
will not get rating points for this factor. Each letter of commitment,
memorandum of understanding, or agreement to participate shall include
the organization's name and the proposed level of commitment and
responsibilities as they relate to the proposed program. The commitment
must be signed by an official 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 your program reflects a
coordinated, community-based process of identifying needs and building
a system to address the needs by using available HUD and other
community resources. In evaluating this factor, HUD will consider:
(1) The degree of coordination of your proposed project with those
of other groups or organizations to best support and coordinate all
activities, and the specific steps you will take to share information
on solutions and outcomes with others. Any written agreements or
memoranda of understanding in place must be described.
(2) The extent to which you have developed linkages, or the
specific steps you will take to develop linkages, to coordinate your
activities so solutions are holistic and comprehensive. Linkages
include linkages with other HUD, Federal, State or locally funded
activities through meetings, information networks, planning processes,
or other means.
(3) The degree of coordination with housing rehabilitation, housing
and health codes, and other related housing programs.
(a) Describe your plan for integrating and coordinating mold and
moisture control interventions with other housing-related activities
(e.g., lead hazard control, rehabilitation, weatherization, removal of
code violations, and other similar work).
(b) Describe your plans to incorporate mold and moisture control
interventions
[[Page 9724]]
with applicable housing codes and health regulations.
(c) Describe your plans to generate and use public subsidies or
other resources (such as revolving loan funds) to finance future
interventions to prevent and control mold hazards, particularly in low-
and very-low-income housing.
(d) Detail the extent to which you will ensure that the needs of
minorities and persons with disabilities will be addressed adequately
during your intervention activities; and that housing in which mold and
moisture problems have been addressed will still be available and
affordable for low income minority and disabled individuals.
VI. Application Submission Requirements
(A) Applicant Information
You should submit your application in accordance with the format
and instructions contained in this program section of this SuperNOFA.
The following is a checklist of required application contents:
(1) Transmittal letter that summarizes your proposed program,
provides the dollar amount requested, and identifies you and your
partners in the application.
(2) The name, mailing address, telephone number, and principal
contact person. If you are a consortium of associates, sub-recipients,
partners, major subcontractors, joint venture participants, or others
contributing resources to the project, similar information shall also
be provided for each of these entities and you must specify the lead
entity.
(3) Completed Forms HUD-2880, Applicant/Recipient Disclosure/Update
Report; Certification Regarding Lobbying; and SF-LLL, Disclosure of
Lobbying Activities, where applicable.
(4) Standard Forms SF-424, 424A, 424B, and other certifications and
assurances listed in the General Section of the SuperNOFA and in this
program section of the SuperNOFA (see application kit).
(5) A narrative statement addressing the rating factors for award.
The narrative statement must be numbered in accordance with each factor
for award (Factor 1 through 5). The response to the rating factors
should not exceed a total of 30 pages.
(6) Any attachments, appendices, references, or other relevant
information may accompany the project description, but must not exceed
fifteen (15) pages for your entire application.
(7) A detailed budget with supporting cost justification for all
budget categories of your funding request.
(8) The resumes and position descriptions of your project director
and program manager and up to three additional key personnel.
VII. Corrections to Deficient Applications
The General Section to this SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
Activities assisted under this program are subject to HUD
environmental review to the extent required under 24 CFR part 50. An
award under the Mold and Moisture Control Program does not constitute
approval of specific sites where activities may be carried out.
Following award execution, HUD will perform environmental reviews for
activities to be carried out on properties proposed by your
organization. You may not rehabilitate, convert, repair or construct a
property, or commit or expend program funds or non-HUD funds for
program activities for any eligible property until you receive written
notification from the appropriate HUD official that HUD has completed
its environmental review and the property has been approved. The
results of environmental reviews may require that proposed activities
be modified or proposed sites rejected.
IX. Authority
This program is authorized by the Fiscal Year 1999 Appropriations
Act.
Appendix A
References
Centers for Disease Control and Prevention. Acute pulmonary
hemorrhage/hemosiderosis among infants: Cleveland, January 1993-
November 1994. MMWR Morb. Mortal. Wkly. Rep. 1994; 43(48):881-883.
Centers for Disease Control and Prevention. Acute pulmonary
hemorrhage among infants--Chicago, April 1992-November 1994. MMWR
Morb. Mortal. Wkly. Rep. 1995; 44(4):67.
Centers for Disease Control and Prevention. Update: Pulmonary
hemorrhage/hemosiderosis among infants--Cleveland, Ohio, 1993-1996.
MMWR Morb. Mortal. Wkly. Rep. 1997; 46(2):33-35.
Croft, W.A., B.B. Jarvis and C.S. Yatawara. 1986. Airborne outbreak
of trichothene toxicosis. Atmospheric Environment. 20: 549-552.
Etzel, R.A., E. Montana, W.G. Sorenson, G. Kullman, T.M. Allan, and
D.G. Dearborn. 1998. Acute pulmonary hemorrhage in infants
associated with exposure to Stachybotrys chartarum and other fungi.
Arch. Pediatr. Adolesc. Med. 152: 757-762.
Johanning, E., R. Biagini, D. Hull, P. Morey, et al. 1996. Health
and immunology study following exposure to toxigenic fungi
(Stachybotrys chartarum) in a water-damaged office environment. Int.
Arch. Occup. Environ. Health. 68:207-218.
BILLING CODE 4210-32-P
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9725]]
[GRAPHIC] [TIFF OMITTED] TN26FE99.029
BILLING CODE 4210-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9727]]
Funding Availability for the Demolition and Revitalization of
Severely Distressed Public Housing (HOPE VI)
Program Overview
Purpose of the Program. The purpose of this program is to provide
Revitalization Grants to enable public housing agencies (PHAs) to
improve the living environment for public housing residents of severely
distressed public housing projects and Demolition Grants to expedite
the demolition of obsolete and/or severely distressed public housing
units.
Available Funds. Approximately $583 million, as allocated in
accordance with Section II.(A) of this program section of the
SuperNOFA, below.
Eligible Applicants. PHAs that own public housing units, in
accordance with the requirements at Section III.(B) of this program
section of the SuperNOFA, below.
Application Deadlines. Revitalization grant applications are due on
May 27, 1999. Demolition grant applications are due on May 6, 1999.
(See Section V.(D)(2)(c), below, for important information regarding
the application deadline and deficiency cure period for Demolition
grants.)
Match. For Revitalization grants only, 5 percent of total grant
amount plus an additional match for Community and Supportive Services,
as described in Section IV.(B)(4) of this program section of the
SuperNOFA, below. No match is required for Demolition grants.
Additional Information
If you are interested in applying for a HOPE VI grant, please
review the following information, the General Section of this
SuperNOFA, and the HOPE VI Application Kit.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. HUD must receive your Revitalization grant
application at HUD Headquarters no later than 12:00 midnight Eastern
time on May 27, 1999. HUD must receive your Demolition grant
application at HUD Headquarters on or before 12:00 midnight Eastern
time on May 6, 1999. See Section V.(D)(2)(c) below for important
information regarding the application deadline and deficiency cure
period for Demolition grants.
Address for Submitting Applications. Send one copy of your
completed application to HUD Headquarters, 451 Seventh Street, SW, Room
4138, Washington, DC 20410, Attention: Elinor Bacon, Deputy Assistant
Secretary for Public Housing Investments. In addition, send two copies
of your completed application to your local HUD Field Office. HUD will
determine whether your application is timely filed based on the date
and time of receipt at HUD Headquarters, not the date and time that
copies are received in your local Field Office.
Mailed Applications. HUD will consider your application to be
timely filed if it is postmarked no later than 12:00 midnight on the
application due date and if HUD receives it at HUD Headquarters on or
within ten days of the application due date.
Applications Sent by Overnight/Express Mail Delivery. If you send
your application by overnight delivery or express mail, HUD will
consider it to be timely filed if HUD receives it at Headquarters on or
before the application due date. HUD will also consider it to be timely
filed if HUD does not receive it on the due date, but you can provide
documentary evidence that you placed the application in transit with
the overnight delivery service by no later than the application due
date.
Hand Carried Applications. If you wish to hand carry your
application to HUD Headquarters, you may bring it to Room 4138 of the
HUD Headquarters Building in Washington, DC any time between 8:45 am
and 5:45 pm Eastern Time before or on the application due date. You may
also hand carry your application to HUD Headquarters between 5:15 pm
and 12:00 midnight Eastern Time by delivering it to the South Lobby of
the HUD Headquarters Building.
Applications Submitted to HUD Field Offices. If you wish to hand
carry the required two copies of your application to your local HUD
Field Office, you may do so during normal business hours before the
application due date. On the application due date, business hours will
be extended to 6:00 pm. (Please see the Appendix A of the General
Section of the SuperNOFA for the hours of operation of the HUD Field
Offices.)
For Application Kits, Further Information and Technical Assistance.
If you are planning to apply for a HOPE VI grant under this program
section of the SuperNOFA, your application must conform to the
requirements of the Fiscal Year (FY) 1999 HOPE VI application kit. The
kit provides specific instructions, data forms to complete,
certification forms, and other information required in every
application. Each Revitalization application must contain no more than
75 pages of narrative and 100 pages of attachments. HUD will mail a
copy of the application kit to every eligible PHA. You may also obtain
copies of application kits and any supplementary information by
contacting 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
HOPE VI and provide your name, address (including zip code), and
telephone number (including area code). The application kit also will
be available on the Internet through the HUD web site at http://
www.hud.gov.
For answers to your questions, you may call Mr. Robert Prescott,
Acting Director, Office of Urban Revitalization, Department of Housing
and Urban Development, 451 Seventh Street, SW, Room 4142, Washington,
DC 20410; telephone (202) 708-2822 (this is not a toll free number).
Persons with hearing or speech impairments may access this number via
TTY by calling the Federal Information Relay Service at 1-800-877-8339.
II. Amount Allocated
------------------------------------------------------------------------
Announced in
Allocation of this program
Type of assistance appropriation section of the
SuperNOFA
------------------------------------------------------------------------
Revitalization...................... $523,050,000 $523,050,000
Demolition.......................... 60,000,000 60,000,000
Section 8........................... 26,950,000 ................
Technical Assistance................ 15,000,000 ................
-----------------------------------
Total........................... 625,000,000 583,050,000
------------------------------------------------------------------------
[[Page 9728]]
(A) Revitalization Grants
Approximately $523 million of the FY 1999 HOPE VI appropriation
has been allocated to fund HOPE VI Revitalization grants and will be
awarded in accordance with this program section of the SuperNOFA. The
total amount you may request is limited to the sum of the amounts in
Section (1) below or the amount in Section (2) below, whichever is
lower.
(1)(a) Total Development Cost. The total cost of development,
including relocation costs, is limited to the sum of:
(i) HUD's Total Development Costs (TDCs) up to 100 percent of HUD's
published TDC limits for the costs of demolition and new construction,
multiplied by the number of HOPE VI Replacement Units; and/or
(ii) 90 percent of the TDC limits, multiplied by the number of
public housing units after substantial rehabilitation and
reconfiguration.
TDCs are limited by the HUD-published TDC Cost Tables, which are
issued for each fiscal year for the building type and bedroom
distribution for the public housing replacement units. You may not
request funds to replace units if you have previously received HOPE VI
or other public housing funds to replace those same units. However, you
may use any non-HUD funds to supplement HUD funds for any project cost.
Your application must disclose all prior HUD grant assistance received
for the project(s) you have targeted for revitalization.
(b) Community and Supportive Services. You may request an amount up
to 15 percent of the total HOPE VI grant to pay the costs of Community
and Supportive Services. These costs are in addition to the TDC
calculation in section II.(A)(1)(a) of this program section of the
SuperNOFA, above.
(c) Demolition and Site Remediation Costs of Unreplaced On-site
Units. You may request an amount necessary for demolition and site
remediation costs of units that will not be replaced on-site. This cost
is in addition to the TDC calculation in section II.(A)(1)(a) of this
program section of the SuperNOFA, above.
(d) Extraordinary Site Costs. You may request an amount necessary
to pay extraordinary site costs necessary to complete the project.
These costs are in addition to the TDC calculation in section
II.(A)(1)(a) of this program section of the SuperNOFA, above.
(2) Total Grant Amount. (a) You may submit one or two separate
Revitalization applications. The total amount you may request in one or
both applications may not exceed $35 million. If you submit two
applications, each application will be reviewed separately.
(b) Each of the one or two applications you submit may request
funds for only one public housing development. For the purposes of this
program section of the SuperNOFA, the definition of one ``development''
may also include more than one project, as long as those projects are
contiguous, immediately adjacent to one another, or within a quarter-
mile of each other at their closest. If you include more than one
project in a single application, you must provide clear documentation
that the projects are within a quarter-mile of each other.
(3) Within the grant limitations above, you may request funds for
as few or as many units as you wish in a single application. HUD will
review requests for small numbers of units on an equal basis with
requests for large numbers of units.
(B) Demolition Grants
Approximately $60 million of the FY 1999 HOPE VI appropriation has
been allocated to fund HOPE VI Demolition grants and will be awarded in
accordance with this program section of the SuperNOFA. If all of these
funds are not needed for demolition of obsolete and/or severely
distressed public housing, unused funds will be reallocated for HOPE VI
Revitalization grants.
(1) You may submit multiple applications;
(2) You may target units in only one public housing project per
application;
(3) You may submit more than one application targeting units in a
single housing project;
(4) You may request funds for as many or as few units in an
application as you wish, subject to the following provisions:
(a) Per Unit Limitation. You may receive no more than:
(i) $5,000 per vacant unit;
(ii) $6,500 per unit occupied as of the date of HOPE VI demolition
funding application submission. This amount includes relocation costs;
and
(iii) Reasonable costs for demolition of significant nondwelling
facilities related to the demolition of dwelling units, such as heating
plants, community buildings, or streets. These costs must be included
in an application for funding of demolition of public housing units;
you may not apply for them in a separate application.
(b) Overall Limitation. The sum of all Demolition funding
applications from a single applicant may not exceed $12.5 million, in
accordance with the evaluation procedures provided in section V.(D) of
this NOFA, below. It is recognized that the HOPE VI grant may not pay
for the total costs of relocation, abatement and demolition in all
cases, and that the PHA may have to provide additional funding from
other sources.
(2) You may apply for both HOPE VI Revitalization and Demolition
funding to demolish the same units. If HUD determines that both
applications are eligible for funding, HUD will use its discretion to
determine whether the demolition will be funded under a Revitalization
or a Demolition grant.
(C) Section 8
If necessary, HUD reserves the right to allocate up to $26,950,000
(approximately 3,500 units) for Section 8 tenant-based assistance for
public housing relocation or public housing replacement (including
units associated with HOPE VI grants). If any funds allocated for
Section 8 tenant-based assistance are not needed for such assistance,
those funds will be reallocated for HOPE VI Revitalization grants. If
you have already received Section 8 assistance to relocate residents
from obsolete or severely distressed units, you may still apply for
HOPE VI funds to physically replace those same units. If you will need
Section 8 assistance in order to carry out the proposed revitalization,
you must indicate the number of certificates needed in your HOPE VI
application. HUD will award Section 8 certificates needed for HOPE VI
sites after the HOPE VI selections have been made.
(D) Technical Assistance. The FY 1999 appropriation allocated $15
million to provide Technical Assistance in the planning, development,
and implementation of the HOPE VI program.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description
(1) HOPE VI Revitalization grants enable public housing agencies
(PHAs) to:
(a) Improve the living environment for public housing residents of
severely distressed public housing projects through the demolition,
substantial rehabilitation, reconfiguration, and/or replacement of
severely distressed units;
(b) Revitalize the sites on which severely distressed public
housing projects are located and contribute to the improvement of the
surrounding neighborhood;
(c) Lessen isolation and reduce the concentration of low-income
families;
(d) Build sustainable mixed-income communities; and
(e) Provide well-coordinated, results-based community and
supportive
[[Page 9729]]
services that directly complement housing redevelopment and that help
residents to achieve self-sufficiency, young people to attain
educational excellence, and the community to secure a desirable quality
of life.
(2) HOPE VI Demolition Grants enable PHAs to expedite the
demolition of obsolete and/or severely distressed public housing units.
Any subsequent new construction or revitalization of any remaining
units must be funded from other resources.
(B) Eligible Applicants
An eligible applicant for any HOPE VI grant is:
(1) Any PHA that is not designated as ``troubled'' pursuant to
section 6(j)(2) of the United States Housing Act of 1937 (1937 Act);
(2) Any PHA for which a private housing management agent has been
selected, or a receiver has been appointed, pursuant to section 6(j)(3)
of the 1937 Act; and
(3) Any PHA that is designated as ``troubled'' pursuant to section
6(j)(2) of the 1937 Act and that:
(a) Was designated as troubled principally for reasons that will
not affect its capacity to carry out the proposed revitalization or
demolition;
(b) Is making substantial progress toward eliminating the
deficiencies that resulted in its troubled status; or
(c) Has sufficiently demonstrated to HUD that it is capable of
carrying out the proposed revitalization or demolition.
(C) Eligible Activities
(1) Revitalization Grants. Eligible activities are those eligible
under the Appropriations Acts for the Departments of Veterans Affairs
and Housing and Urban Development, and Independent Agencies, for the
Fiscal Years 1993, 1994, 1995, 1997, 1998 and 1999; and the Omnibus
Consolidated Rescissions and Appropriations Act of 1996. In addition,
eligible HOPE VI activities are those included in the 1937 Act,
including Section 24 of the 1937 Act, as amended by Section 535 of the
Quality Housing and Work Responsibility Act of 1998 (Pub.L. 105-276,
112 Stat. 2461, approved October 21, 1998) (QHWRA).
Revitalization activities using HOPE VI funds must be for severely
distressed Public Housing projects. Accordingly, certain proposed
activities are subject to statutory requirements applicable to public
housing projects under the 1937 Act, other statutes, and the Annual
Contributions Contract (ACC). Within such restrictions, HUD seeks
innovative solutions to the long-standing problems of severely
distressed public housing projects. You may request, for the
revitalized development, a waiver of HUD regulations (that are not
statutory requirements) governing rents, income eligibility, or other
areas of public housing management that will permit you to undertake
measures that enhance the long-term viability of a development
revitalized under this program.
The following is a list of specific activities that are eligible
using HOPE VI Revitalization grant funds. Other activities may also be
eligible with HUD approval. If HOPE VI Revitalization funds are used
for any of the following activities, you must conduct them in
accordance with the following program requirements unless HUD has
provided written approval to follow other requirements.
(a) Total or partial demolition of buildings. Section 24 of the
1937 Act provides that severely distressed public housing demolished in
conjunction with a revitalization plan with HOPE VI funds is not
subject to Section 18 of the 1937 Act or regulations at 24 CFR Part
970. Instead, if you are selected to receive a HOPE VI Revitalization
grant, HUD will use information in your application to determine
whether the proposed demolition can be approved. If you are not
selected to receive a HOPE VI Revitalization grant, the information in
your application will not be used to process a request for demolition.
Please note that demolition is not a required element of a HOPE VI
Revitalization application.
(b) Disposition of property, in accordance with Section 18 of the
1937 Act and regulations at 24 CFR part 970;
(c) Public housing development through the acquisition of land, or
acquisition of off-site units with or without rehabilitation to be used
as public housing, in accordance with 24 CFR part 941;
(d) Major rehabilitation and other physical improvements of housing
and community facilities primarily intended to facilitate the delivery
of self-sufficiency, economic development, or other community and
supportive service opportunities for residents of the targeted
development, in accordance with 24 CFR 968.112(b), (d), (e), and (g)-
(o), 24 CFR 968.130, and 24 CFR 968.135(b) and (d);
(e) Construction of replacement rental housing, both on-site and
off-site, and community facilities primarily intended to facilitate the
delivery of self-sufficiency, economic development, or other supportive
services for residents of the targeted development and off-site
replacement housing, in accordance with 24 CFR part 941, including
mixed-finance development in accordance with subpart F;
(f) Homeownership activities, including: (i) Development of
replacement homeownership units that meet the regulatory requirements
of the Section 5(h) Program at 24 CFR part 906;
(ii) Development of replacement homeownership units that meet the
statutory requirements of the HOPE II program (42 U.S.C. 12871-80; Pub.
L. 101-625, secs. 421-31; 104 Stat. 4079, 4162-72);
(iii) Development of replacement homeownership units that meet the
statutory requirements of the HOPE III program (42 U.S.C. 12891-98;
Pub.L. 101-625, secs. 441-48; 104 Stat. 4079, 4172-80);
(iv) Replacement homeownership units that are made available
through housing opportunity programs for construction or substantial
rehabilitation of homes meeting essentially the same eligibility
requirements as the Nehemiah Program; and
(v) Other appropriate replacement homeownership activities,
including downpayment assistance for displaced residents and the
provision of closing costs.
(g) Management improvements;
(h) Reasonable costs for administration, planning, and technical
assistance, including fees and costs as specifically approved by HUD;
(i) Well-integrated Community and Supportive Services programs
designed to assist residents to attain educational excellence, gain
employment, and become self-sufficient, and related support programs
such as day care, after school activities, etc.;
(j) Economic development activities, including the costs of
infrastructure and site improvements associated with developing retail/
commercial facilities, but excluding hard development costs;
(k) Leveraging other resources, including additional housing
resources, retail supportive services, jobs, and other economic
development uses on or near the project that will benefit future
residents of the site; and
(1) Relocation, conducted in accordance with 24 CFR 970.5
(demolition) or 24 CFR 968.108 (rehabilitation), as appropriate.
(2) Demolition Grants. The following is a list of specific
activities that are eligible using HOPE VI Demolition grant funds.
Other activities may also be eligible with HUD approval. If HOPE VI
Demolition funds are used for any of the following activities, you must
conduct them in accordance with the following program requirements
unless HUD has
[[Page 9730]]
provided written approval to follow other requirements.
(a) Demolition, including any required asbestos and/or lead-based
paint abatement, of dwelling units and nondwelling facilities, in
accordance with Section 18 of the 1937 Act and regulations at 24 CFR
part 970;
(b) Minimal site restoration after demolition and subsequent site
improvements to benefit the remaining portion of the project, to
provide project accessibility, or to make the site more saleable;
(c) Demolition of nondwelling facilities, only where related to the
demolition of dwelling units;
(d) Necessary administrative costs; and
(e) Relocation and other assistance related to the permanent
relocation of families under the approved demolition, conducted in
accordance with 24 CFR 970.5.
IV. Program Requirements
In addition to the requirements listed in section II. of the
General Section of this SuperNOFA, you must also meet the following
requirements.
(A) Program Requirements--All HOPE VI Applications
(1) Flood Insurance. In accordance with the Flood Disaster
Protection Act of 1973 (42 U.S.C. 4001-4128), HUD will not approve your
application for a grant that proposes to provide financial assistance
for acquisition or construction (including rehabilitation) of
properties located in an area identified by the Federal Emergency
Management Agency (FEMA) as having special flood hazards, unless:
(a) The community in which the area is situated is participating in
the National Flood Insurance program (see 44 CFR parts 59 through 79),
or less than one year has passed since FEMA notification regarding such
hazards; and
(b) Where the community is participating in the National Flood
Insurance Program, flood insurance is obtained as a condition of
execution of a Grant Agreement and approval of any subsequent
demolition or disposition application.
(2) Coastal Barrier Resources Act. In accordance with the Coastal
Barrier Resources Act (16 U.S.C. 3501), HUD will not approve your grant
application if it targets properties in the Coastal Barrier Resources
System.
(3) Internet Access. If you are selected for funding, you must have
access to the Internet and provide HUD with email addresses of key
staff and contact people.
(4) Labor Standards. Davis-Bacon or HUD-determined wage rates apply
to development or operation of revitalized housing to the extent
required under Section 12 of the U.S. Housing Act of 1937. In the case
of demolition, Davis-Bacon wage rates apply to demolition followed by
construction on the site; HUD-determined wage rates apply to demolition
followed only by filling in the site and establishing a lawn. Under
Section 12, the wage rate requirements do not apply to individuals who:
perform services for which they volunteered; do not receive
compensation for those services or are paid expenses, reasonable
benefits, or a nominal fee for the services; and are not otherwise
employed in the work involved (24 CFR part 70). In addition, if other
Federal programs are used in connection with your HOPE VI Program,
labor standards requirements apply to the extent required by the other
Federal programs, on portions of the project that are not subject to
Davis-Bacon rates under the Act.
(5) Lead-Based Paint Testing and Abatement. All property assisted
under your HOPE VI Program is covered by the Lead-Based Paint Poisoning
Prevention Act (24 U.S.C. 4821 et seq.) and 24 CFR part 35; 24 CFR part
965, subpart H; and 24 CFR 968.110(k).
(6) Building Standards. (a) All activities that include
construction, rehabilitation, lead-based paint removal, and related
activities must meet or exceed local building codes. New construction
must comply with the latest HUD-adopted Model Energy Code issued by the
Council of American Building Officials. In addition, HUD encourages you
to set higher standards for energy and water efficiency in HOPE VI new
construction, which can achieve utility savings of 30 to 50 percent
with minimum extra cost. Upon request, HUD will provide technical
assistance and training in design and financing to assist your
authority, architects, and contractors in improving resource
efficiency.
(b) You are encouraged to design programs that incorporate
sustainable construction and demolition practices, such as the
dismantling or ``deconstruction'' of public housing units, recycling
demolition debris, and reusing salvage materials in new construction.
(7) Program Income. If you expect to receive program-related income
prior to grant closeout (e.g., from sale of homeownership Replacement
Units or the disposition of improved land), this income must be
reflected in your HOPE VI budget and used for program purposes.
(8) Environmental Review. (a) Under 24 CFR part 58, the responsible
entity, as defined in 24 CFR 58.2(a)(7), must assume the environmental
responsibilities for projects being funded by HOPE VI. If your
organization objects to the responsible entity conducting the
environmental review, on the basis of performance, timing or
compatibility of objectives, HUD will review the facts and determine
who will perform the environmental review. At any time, HUD may reject
the use of a responsible entity to conduct the environmental review in
a particular case on the basis of performance, timing or compatibility
of objectives, or in accordance with 24 CFR 58.77(d)(1). If a
responsible entity objects to performing an environmental review, or if
HUD determines that the responsible entity should not perform the
environmental review, HUD may designate another responsible entity to
conduct the review or may conduct the environmental review in
accordance with the provisions of 24 CFR part 50. After selection by
HUD for Joint Review, you must provide any documentation to the
responsible entity (or HUD, where applicable) that is needed to perform
the environmental review.
(b) If the environmental review is completed before HUD approval of
the HOPE VI Revitalization Plan (RP) and you have submitted your
request for release of funds (RROF), the RP approval letter will
require any conditions, modifications, prohibitions, etc. arising from
the environmental review.
(c) If the environmental review is not completed and/or you have
not submitted the RROF before HUD approval of the RP, the RP approval
letter will require you to refrain from undertaking, or obligating or
expending funds on, physical activities or other choice-limiting
actions, until HUD approves your RROF and the related certification of
the responsible entity (or HUD has completed the environmental review).
The RP approval letter will also tell you that the approved RP may be
modified on the basis of the results of the environmental review.
(B) Program Requirements--Revitalization Applications
(l) Severe Distress. The targeted public housing project or
building in a project must be severely distressed. The term ``severely
distressed public housing'' means a public housing project or building
in a project that fits the description of either all of the elements in
paragraph (a) of this section, or is described by paragraph (b) of this
section, as follows:
[[Page 9731]]
(a)(i) The public housing requires major redesign, reconstruction
or redevelopment, or partial or total demolition, to correct serious
deficiencies in the original design (including inappropriately high
population density), deferred maintenance, physical deterioration or
obsolescence of major systems, and other deficiencies in the physical
plant of the project;
(ii) The condition of the public housing project is a significant
contributing factor to the physical decline of and disinvestment by
public and private entities in the surrounding neighborhood;
(iii)(1) The public housing is occupied predominantly by families
who are very low-income families with children, are unemployed, and are
dependent on various forms of public assistance; or
(2) The public housing has high rates of vandalism and criminal
activity (including drug-related criminal activity) in comparison to
other housing in the area;
(iv) The public housing cannot be revitalized with funds from other
programs because the costs are much greater than the amounts that are
available;
(v) If only individual buildings of the project are targeted for
revitalization, they must be sufficiently separated from the remainder
of the project to make use of the building feasible; or
(b) Public housing that has been legally vacated or demolished is
deemed severely distressed if it met the description in paragraph (a)
of this section, above, and has not yet been replaced other than with
Section 8 certificates.
(c) To demonstrate that the targeted public housing project, or
buildings in a project, meets the severe distress requirement you must:
(i) Sign a certification, included in the HOPE VI Revitalization
Certifications as provided in Appendix A below, that the public housing
targeted in the application meets the definition of severe distress
provided in paragraphs (a) or (b) of this section, above; and
(ii) Include in your application a certification by an independent
engineer, signed on or before the application deadline date, that the
project meets the severe distress requirement in paragraph (a)(1) of
this section, above.
(2) Public Meetings. (a) You must conduct at least one training
session for residents on the HOPE VI development process and at least
three public meetings with residents and community members to involve
them in the process of planning the revitalization and preparing the
application. At least one meeting must be held after the publication
date of this HOPE VI NOFA.
(b) You must cover the following issues in the public meetings:
(i) The HOPE VI planning and implementation process;
(ii) The proposed physical plan, including site and unit design;
(iii) The extent of proposed demolition;
(iv) Community and supportive services;
(v) Relocation issues; and
(vi) Other proposed revitalization activities.
(c) To demonstrate that you have conducted the required public
meetings, you must include the following evidence of each meeting in
your application:
(i) The notices announcing the meetings. In addition to other means
of notification, at least one notice for each meeting must be placed in
a commercial newspaper or journal that serves both the public housing
project and the broader community;
(ii) A copy of the meeting sign-in sheets; and
(iii) A signed and notarized copy of the meeting minutes,
describing in detail the resident training and/or discussion regarding
the proposed plan.
(d) Submission of the documentation required of the meetings is a
curable item and is not rated. If you fail to properly document that
you have conducted all of the required meetings, after being provided
with the opportunity to correct any deficiencies in accordance with
section V of the General Section of this SuperNOFA, your application
cannot be considered for funding. You may not conduct a required
meeting after the application due date in order to cure a deficiency
identified by HUD.
(3) Community and Supportive Services.
(a) Each HOPE VI Revitalization application must propose a program
of Community and Supportive Services that meets the needs of residents,
and self-sufficiency programs that are designed to promote upward
mobility, independence, and improved quality of life for residents of
the targeted public housing development.
(b) Community and Supportive Services must be designed to serve
existing residents of the severely distressed project, residents who
have been displaced by revitalization activities, and new residents of
the revitalized units.
(c) Community and Supportive Services may also be provided to non-
public housing residents, as long as the primary users of the services
are residents as described in paragraph (b) of this section, above.
(d) Community and Supportive Service Programs may include, but are
not limited to:
(i) Substance/alcohol abuse treatment and counseling;
(ii) Health care services;
(iii) Domestic violence prevention;
(iv) Transportation as necessary to enable any participating family
member to receive available services or to commute to his or her place
of employment;
(v) On-site credit unions;
(vi) ``Life skills'' courses on topics such as parenting, family
budgeting, consumer education;
(vii) Child care that provides sufficient hours of operation and
serves appropriate ages as needed to facilitate parental access to
education and job opportunities and that stimulates children to learn
and be responsible citizens;
(viii) Employment training and counseling, such as the Step-Up and
Youthbuild Programs, that includes job training, preparation,
counseling, development, placement, and follow-up assistance after job
placement;
(ix) Motivational and self-empowerment training;
(x) Computer skills training;
(xi) Education, including remedial education, literacy training,
completion of secondary or post-secondary education, assistance in the
attainment of certificates of high school equivalency, and the
integration of modern computer technology into the education program;
(xii) Programs that promote learning for children from infancy,
created with strong partnerships with public and private educational
institutions;
(xiii) Mentoring for children, non-literate adults, potential
entrepreneurs, and English as a Second Language (ESL), as needed;
(xiv) Job placements for residents who complete adult education and
job training programs, as provided through partnerships with local
businesses;
(xv) Services and programs provided through results-oriented
partnerships with Empowerment Zones and Enterprise Community Boards and
economic development agencies and non-profit organizations; and
(xvi) Business development training, with the goal of establishing
resident-owned businesses.
(4) Match.
(a) Overall Match. The HOPE VI Revitalization Applicant
Certifications (Appendix A to this NOFA, below) include a certification
that if you are
[[Page 9732]]
selected for funding, you will provide resources other than HOPE VI
funds in an amount that is at least 5 percent of the HOPE VI grant
amount.
(b) Additional Community and Supportive Services Match. In addition
to the match requirement in paragraph (a) of this section, above, if
you use more than 5 percent of the HOPE VI grant for Community and
Supportive Services programs described in section IV.(B)(3) of this
program section of the SuperNOFA, above, you must certify that you will
provide resources other than HOPE VI funds in an amount that is equal
to the amount used over 5 percent.
(c) Matching Funds. Your matching funds may include amounts from
other Federal sources, any State or local government sources, any
private contributions, the value of any donated material or building,
the value of any lease on a building, the value of the time and
services contributed by volunteers, and the value of any other in-kind
services or administrative costs provided. Active involvement of the
city government in your HOPE VI plan is key to the success of the
program. Providing a strong city match is one way for a city to
demonstrate its commitment to the proposed development.
(5) Replacement Units.
(a) Rental units will be deemed Replacement Units and qualify for
operating subsidy only if they are to be placed under Annual
Contributions Contract and operated as Public Housing.
(b) Homeownership units will be deemed Replacement Units only if
they meet the requirements listed in Section III(C)(1)(f) of this
program section of the SuperNOFA, above.
(c) HOPE VI funds may not directly support mixed-finance units,
including tax credit units, which are not themselves to be placed under
ACC or to be sold as homeownership units as specified above.
(6) Timeliness of Construction. If selected, you will be held to
strict schedules and performance measures. If you fail to obligate
construction funds within the timeframes provided below, HUD may
withdraw grant funds. HUD will take into consideration those delays
caused by factors beyond your control when enforcing these schedules.
(a) You must enter into a binding General Contractor (GC) Contract
within 18 months from the date of HUD's approval of the Revitalization
Plan (RP). In no event may this time period exceed 24 months from the
date the Grant Agreement is executed.
(b) You must complete construction under the GC Contract within 48
months from the date of HUD's approval of the RP. In no event may the
time period for completion exceed 54 months from the date the Grant
Agreement is executed.
(C) Program Requirements--Demolition Applications
(1) Eligible Units. Public housing units to be demolished with HOPE
VI Demolition grant funds must meet one of the following criteria:
(a) The units must be targeted in an approved or submitted
Conversion Plan (i.e., a plan for removal of the obsolete and/or
severely distressed project from the public housing inventory in
accordance with the requirements at 24 CFR 971.7(b)). To meet this
requirement, you must have submitted a Conversion Plan to HUD on or
before the HOPE VI Demolition funding application due date. You must
meet the requirements of 24 CFR part 971 to meet this requirement; or
(b) The units must have been targeted in a HOPE VI Demolition
funding application that you submitted in FY 1998 but that HUD did not
fund solely because of a lack of funds; or
(c) The units must be approved by HUD for demolition in accordance
with 24 CFR part 970 on or before the application due date, but the
approved units have not yet been demolished. The demolition application
must be approved:
(i) If you have merely submitted a demolition application, your
HOPE VI application does not meet this requirement.
(ii) If HUD has approved your demolition application but HUD later
rescinded the approval at your request, your HOPE VI application does
not meet this requirement.
(2) Previous Demolition. You must not have an executed demolition
contract for or have previously demolished any of the targeted units.
(3) Previous Funding. You may not submit a HOPE VI Demolition
application for units that have been previously funded for demolition
with HOPE VI funds. HUD will determine whether the units have been
previously funded by looking at the most recent HUD-approved budget for
any HOPE VI Revitalization or Demolition grant for the same
development. If that grant budget shows that HOPE VI funds have been
budgeted for demolition of the units you have targeted in your HOPE VI
Demolition application, even if you have subsequently made an internal
decision not to fund the demolition with HOPE VI funds, your HOPE VI
Demolition application will not be considered for funding.
(4) Timeliness of Demolition. You must procure a demolition
contractor within six months from the date of ACC Amendment execution,
and complete the demolition within two years from the date of ACC
Amendment execution.
V. Application Selection Process
(A) Revitalization Threshold Criteria
In addition to any applicable threshold requirements listed in the
General Section of this SuperNOFA, your application must meet the
following threshold requirements to be considered for funding.
(1) Eligible Applicant. You must be an eligible Public Housing
Agency, as defined in Section III.(B) of this program section of the
SuperNOFA, above. If HUD has designated your housing authority as
troubled pursuant to section 6(j)(2) of the 1937 Act, HUD's Troubled
Agency Recovery Center will use documents and information available to
it to determine whether you meet the eligibility criteria in this
program section of the SuperNOFA.
(2) Severe Distress. The targeted public housing project, or
buildings in a project must be severely distressed, as defined in
section IV.(B)(1) of this program section of the SuperNOFA, above.
(3) Public Meetings. You must conduct at least one training session
and at least three public meetings in accordance with section IV.(B)(2)
of this program section of the SuperNOFA, above.
(B) Revitalization Application Evaluation
HUD's selection process is designed to ensure that HOPE VI
Revitalization grants are awarded to PHAs with the most meritorious
applications.
(1) Threshold and Completeness Review. HUD will screen each
application to determine if it is complete and meets the Threshold
Criteria in Section V.(A) of this program section of the SuperNOFA,
above. If necessary, HUD will contact you to provide missing
information, in accordance with the provisions of section V. of the
General Section of this SuperNOFA.
(2) Preliminary Rating and Ranking. (a) HUD will preliminarily
review, rate and rank each eligible application on the basis of the
rating factors described in Section V.(C) of this program section of
the SuperNOFA, below.
(b) After preliminary review, the following applications will be
deemed ``competitive:''
(i) Applications with a preliminary score above a base score that
[[Page 9733]]
encompasses all applications that represent approximately twice the
amount of funds available, and
(ii) Applications that propose revitalization of public housing
that was targeted in HOPE VI Revitalization applications submitted to
HUD in both the FY 1997 and 1998 HOPE VI Revitalization competitions
but were not selected for funding.
(3) Final Panel Review. (a) A Final Review Panel will:
(i) Assess each competitive application;
(ii) Assign the final scores; and
(iii) Recommend for funding the most highly-rated eligible
applications up to the amount of available funding.
(b) If two or more applications have the same score and there are
insufficient funds to select all of them, HUD will select for funding
the application(s) with the highest score for Rating Factor 3,
Soundness of Approach. If a tie still remains, HUD will select for
funding the application(s) with the highest score for the Capacity
rating factor. HUD will select further tied applications on the basis
of their scores in the Need, Leveraging Resources, and
Comprehensiveness and Coordination rating factors, in that order.
(c) HUD reserves the right to make adjustments to funding in
accordance with Section III.(E) of the General Section of this
SuperNOFA.
(d) HUD may not give competitive advantage to applications that
propose to use HOPE VI grant funds to pay judgments or undertake HOPE
VI revitalization activities in order to settle litigation.
(C) Revitalization Application Rating Factors.
The following are the factors HUD will use to rate and rank your
HOPE VI Revitalization application and the maximum points for each
factor. The maximum number of points for each Revitalization
application is 102, which includes two Empowerment Zone/Enterprise
Community (EZ/EC) bonus points, in accordance with section III.(C)(1)
of the General Section of this SuperNOFA.
Rating Factor 1: Capacity (20 Points Total)
This factor measures the capability and record of the applicant PHA
or any alternative entity you choose to serve as your representative
for managing large-scale redevelopment or substantial rehabilitation
projects and administering Community and Supportive Services and
management improvements. To ensure that revitalization efforts will
take place without delays due to problems in administration and
management, HUD will award the most points to applications that
demonstrate the highest degree of capacity to implement revitalization
in a timely manner upon grant award.
If you are selected for funding, HUD may require you to use an
outside entity as directed by HUD to carry out the revitalization
activities. HUD does not require you to select a developer and/or
Program Manager, if any, prior to submission of your application,
although you may choose to do so. Rather, you must demonstrate (1) your
current capacity to manage a large scale redevelopment and/or
substantial rehabilitation project, or (2) your ability to identify
needs in your current staffing and fill such gaps in order to
successfully implement your proposed program, and/or (3) your proposed
method for securing a program manager, and/or development partner to
implement your plan. The rating of the ``applicant'' or the
``applicant's organization and staff,'' unless otherwise specified,
will include any sub-contractors, consultants, subrecipients, and
members of consortia that are firmly committed to the project.
HUD will evaluate the information you provide in your application
when rating subfactors (1)-(3) below.
(1) Revitalization Capacity and Experience: 7 Points. To receive
maximum points, you and/or your proposed partners, including the
overall proposed development director and staff of the PHA, the
developer (if any), program manager (if any), consultants, and
contractors, must convincingly demonstrate your team's knowledge and
recent, successful experience in planning, implementing, and managing
large scale revitalization activities as described in the first two
paragraphs above, and meeting construction timetables.
(2) Community and Supportive Services Experience: 5 Points. To
receive maximum points, you and/or your proposed partners, including
the overall proposed development director and staff of the PHA, the
developer (if any), program manager (if any), consultants, and
contractors, must convincingly demonstrate your team's knowledge and
recent, successful experience in planning, implementing, and managing
the Community and Supportive Service Programs proposed in your
application.
(3) Property Management Experience: 5 Points. To receive maximum
points, you and/or your proposed partners, including the overall
proposed development director and staff of the PHA, the developer (if
any), program manager (if any), consultants, and contractors, must
convincingly demonstrate your team's knowledge and recent, successful
experience in property management of public housing. You must
thoroughly evaluate the obstacles, if any, that previously prevented
good management, as well as other problems that contributed to the
severe distress of the targeted project, and develop a new management
plan that will protect against such obstacles and problems in the
future and will improve the efficiency and economy of management.
(4) Obligation of Modernization Funds: 3 Points. To receive maximum
points, you must have obligated at least 90 percent of your FY 1997 and
prior year Modernization (e.g., Comprehensive Improvement Assistance
Program or Comprehensive Grant Program) amounts by the HOPE VI
application submission date. HUD will use the LOCCS disbursement system
as of the application due date to verify your obligation rate.
Rating Factor 2: Need (20 Points Total)
This factor addresses the extent to which you have demonstrated
that the targeted public housing project, or portion of the project, is
severely distressed.
To be considered for funding, your application must earn at least
12 of the 14 points available for elements (1)-(4) of this rating
factor, and your application must earn all 5 points for element (1),
Physical Distress.
For all elements under this factor, HUD will consider the extent to
which the information you provide is documented by objective,
measurable indicators.
In rating this factor, HUD will consider:
(1) Physical Distress: 5 Points. To receive maximum points, the
targeted project or portion of the project must be severely distressed
as defined in Section IV.(B)(1) of this SuperNOFA, above. If a targeted
site has been demolished or approved by HUD for demolition (including
sites approved for demolition under 24 CFR Part 970 (demolition) and 24
CFR Part 971 (Mandatory Conversion)) on or before the HOPE VI
application due date, your application will receive full points for
this subfactor. Indications of physical distress may include:
(a) Major structural deficiencies, including settlement, leaking
roofs, electrical systems not meeting code, high levels of lead based
paint, high levels of deferred maintenance, and
[[Page 9734]]
units that do not meet Housing Quality Standards;
(b) Major site deficiencies, including lack of reliable and
efficient heat and hot water, poor soil conditions, inadequate
drainage, deteriorated laterals and sewers, and inappropriate
topography;
(c) Design deficiencies, including inappropriately high population
density, isolation, indefensible space, inaccessibility for persons
with disabilities with regard to individual units, entrance ways, and/
or common areas;
(d) Environmental conditions that make the current site or a
portion of the site and its housing structures unsuitable for
residential use.
(2) Impact on the Neighborhood: 5 Points. To receive maximum
points, the public housing must be a significant current or potential
contributing factor to the physical decline of and disinvestment by
public and private entities in the surrounding neighborhood. If the
surrounding neighborhood is not currently distressed, you must
demonstrate that the targeted project is causing deterioration in the
neighborhood which will become worse if the project remains in its
current condition and that its revitalization would have a positive
effect on the neighborhood. It is critical to show concretely how the
public housing revitalization through HOPE VI will spur reinvestment in
the surrounding community and/or how the redevelopment will positively
impact and support the surrounding community. You should include a
careful strategy for comprehensive revitalization with housing
redevelopment as the impetus.
(3) Demographic Distress: 3 Points. To receive maximum points, the
public housing must:
(a) Be occupied predominantly by families who are very low-income
families with children, are unemployed and dependent on various forms
of public assistance; or
(b) Have high rates of vandalism and criminal activity (including
drug-related criminal activity) in comparison to other housing in the
area.
(4) Need for Funding: 2 Points. To receive maximum points, the
public housing cannot be revitalized with funds from other programs
because the costs are much greater than available funds. Indications
that you have inadequate funds are:
(a) If you receive Comprehensive Grant Program (CGP) funds and you
will use 50 percent or more of your CGP funds for one year to fund a
combination of emergency needs and critical needs at other public
housing projects. A critical need is defined as a modernization need
that is a threat to health and safety of residents but that does not
qualify as an emergency since there is no immediate threat to resident
health or safety. An example of a critical need is the repair of roofs
and plumbing in cases where failure to repair the problem would result
in a significant increase in the expenditure of funds in the future.
(b) If you receive CIAP funds and you do not have adequate leftover
CIAP funds (i.e., funds remaining from previous modernization programs
that are subject to reprogramming after completion of all approved work
items in the program) to perform the revitalization activities without
affecting current emergency or critical needs.
(5) Need for Affordable Housing in the Community: 2 Points. To
receive maximum points, there must be a need for affordable housing in
the community, and there must be an inadequate supply of other housing
available and affordable to accommodate families receiving tenant-based
assistance under Section 8. HUD will make this determination based on
your analysis of the need for affordable housing in the community on
the basis of the rental apartment listings in a newspaper of general
circulation in the community over the most recent complete month prior
to the HOPE VI application deadline, supplemented by additional
relevant data, if any.
(6) Documentation of Need: 3 Points. To receive maximum points, you
must document the level of need for your proposed activities and the
urgency in meeting the need with statistics and analyses contained in a
data source(s) that is sound and reliable. If your community's
Consolidated Plan and Analysis of Impediments to Fair Housing Choice
identify the level of the problem and the urgency in meeting the need,
you must include references to these documents in your response in
order to receive maximum points. If these documents are not applicable
to your jurisdiction or do not address the level of problem and the
urgency in meeting the need, specifically state as such.
If your proposed activities are not covered under the scope of the
Consolidated Plan and Analysis of Impediments to Fair Housing Choice,
explain why they are not covered and use other sound data sources to
identify the level of need and the urgency in meeting the need. Types
of other sources include, but are not limited to, Census reports,
Continuum of Care gaps analysis, law enforcement agency crime reports,
Public Housing Authorities' Five Year Comprehensive Plan, and other
sound and reliable sources.
Rating Factor 3: Soundness of Approach (40 Points Total)
This factor addresses the quality of your design and planning and
the cost-effectiveness of your proposed revitalization activities; your
plan's appropriateness in the context of the broader community; the
degree to which housing and non-housing aspects of your strategy are
integrated and well-segmented; how your plan fits into needs of the
local housing market; and the likelihood that a HOPE VI grant will
result in a revitalized site that will enhance the neighborhood in
which the project is located and enhance economic opportunities for
residents. HUD will award full points to applications that demonstrate
a clear relationship between the proposed activities, community assets
and needs, and the purpose of HOPE VI funding.
(1) Vision: 5 Points. To receive maximum points, you must present
the most innovative physical, social, and economic development approach
possible given your local conditions, constraints, and opportunities.
HUD will evaluate your Executive Summary to make this determination.
(2) Feasibility: 4 Points Total.
(a) Market. 1 Point. To receive this point there must be a
demonstrated considerable market for the revitalized and/or replacement
units of the type and size proposed. HUD will use a preliminary market
assessment letter prepared by an independent, third party, recognized
market resource firm or professional to make this determination.
(b) Development Costs. 2 Points. To receive maximum points, you
must show that:
(i) Hard costs are comparable to industry standards for the kind of
construction to be performed in the proposed geographic area;
(ii) Soft costs (developers' fees, PHA administration costs, legal
fees, program manager's fees, consultants' fees, etc.) are reasonable,
comparable to industry standards, and justified. HUD is particularly
concerned that soft costs be minimized and will review carefully the
proposed soft cost structure (i.e., is your reliance on outside
entities at an appropriate level given the scope of your project and
your in-house capacity), total soft costs as a percentage of overall
development costs, and any innovative means you propose to keep such
costs at a minimum so that as many HOPE VI resources as possible
[[Page 9735]]
can go into hard development and transforming the lives of the
residents;
(iii) Costs are realistic and developed through the use of
technically competent methodologies; and
(iv) Cost estimates represent a cost-effective plan for designing,
organizing and carrying out your proposed activities.
(c) Coherence and Consistency. 1 Point. To receive this point, the
information and strategies described in the application must be
coherent and internally consistent, particularly the data provided for
types and numbers of units, budgets and other financial estimates, and
other numerical information. It is critical that you carefully review
all numbers for unit mix, costs, etc. to make sure that all numbers are
consistent throughout the application. HUD will make this determination
based on your entire application.
(3) Lessen Concentration: 9 Points Total. The activities you
propose must lessen concentration of low-income households, create
opportunities for desegregation, and offer viable housing choices.
(a) Physical Plan and Design. 6 Points. To receive maximum points,
you must show that:
(i) The physical plan and design of the proposed on-site housing
will significantly reduce the isolation of low-income residents and/or
significantly promote mixed-income communities in well-functioning
neighborhoods;
(ii) Any plans for off-site housing will lessen concentration of
low-income residents and create opportunities for desegregation by
actively ensuring that locations of housing will not be in
neighborhoods with high levels of poverty and/or high concentrations of
minorities. (You do not have to have selected the precise location of
off-site units in your application to receive full points for this
element.);
(iii) For both on-site and any off-site units, the plan will
increase access to municipal services, jobs, mentoring opportunities,
transportation, and educational facilities; i.e., the physical plan and
services strategy are integrated;
(iv) Proposed new units and buildings are designed in a creative
way that ensures that they blend into and enrich the surrounding
neighborhood. Design elements and amenities present in houses in the
broader community are incorporated into the revitalized homes and will
appeal to the market segments for which they are intended.
(b) Section 8. 3 Points. To receive maximum points, you must
propose to provide assistance to residents of the targeted development
receiving Section 8 certificates and vouchers with relocation
assistance and smooth the transition from public to private housing for
relocatees and members of their new communities. Such activities
include:
(i) Helping Section 8 assistance holders find housing in non-
poverty areas;
(ii) Conducting programs designed to prepare residents for the
transition to private rental housing;
(iii) Involving faith-based, non-profit and/or other institutions
and/or individual members of the community that relocatees choose to
move into, in order to ease the transition and minimize the impact on
the neighborhood. HUD will view favorably innovative programs such as
community mentors, support groups, and the like;
(iv) Tracking families receiving Section 8 assistance;
(v) Providing Community and Supportive Service program support to
Section 8 relocatees to achieve self-sufficiency;
(vi) Offering eligible residents who have been given Section 8
relocation assistance as a result of HOPE VI revitalization
opportunities to return to the revitalized units.
(4) Community and Supportive Services: 5 Points
This factor evaluates the quality of your proposed Community and
Supportive Services Programs, as required and described in Section
IV.(B)(3) of this program section of the SuperNOFA, above, and gauges
the probability that the Community and Supportive Services Programs you
propose will result in ``living wage'' jobs, economic development, and
educational advancements which are quantifiable and long-lasting. You
are encouraged to be innovative and to create results-based programs
which break new ground and can serve as national models.
You must implement public housing revitalization in tandem with the
principles of welfare reform, self-sufficiency, and educational
achievement. Not only must the physical environment meet the needs of
residents, but the social environment must encourage and enable low-
income residents to achieve long-term self-sufficiency, particularly
for persons enrolled in welfare-to-work programs. To that end, it is
crucial that local welfare agencies are part of your HOPE VI
partnership. Many HOPE VI residents are directly affected by Temporary
Assistance to Needy Families (TANF), making these self-sufficiency
efforts critical to their success. You must design your Community and
Supportive Services Programs not only for residents remaining on-site,
but also for residents who have relocated to other PHA units or to
Section 8 housing, and for new residents of the revitalized units.
To receive maximum points, your proposed Community and Supportive
Services Programs must:
(a) Identify objectives that are results-oriented, with measurable
goals and outcomes that will result in ``living wage'' jobs and
educational advancements;
(b) Demonstrate consistency with state and local welfare reform
requirements and goals;
(c) Be well integrated with the development process, both in terms
of timing and the provision of facilities to house on-site service
programs;
(d) Be of an appropriate scale, type, and variety of services to
meet the needs of residents remaining on-site, residents who have
relocated to other PHA units or Section 8 housing, and new residents of
the revitalized units;
(e) Demonstrate an effective use of technology;
(f) Incorporate the enforcement of Section 3, both in the area of
hiring residents from the HOPE VI site and in contracting with Section
3 firms;
(g) Be developed in response to a rigorous resident needs
identification process and directly respond to the identified needs;
(h) Be coordinated with the efforts of other service providers and
agencies in your locality; and
(i) Be sustainable after the grant term has expired.
(5) Evaluation: 2 Points
To receive maximum points, you must propose to work with local
universities and other institutions of learning, foundations, and/or
others to evaluate the performance and impact of your proposed HOPE VI
revitalization. Where possible, HUD encourages you to form partnerships
with Historically Black Colleges and Universities (HBCUs) and Hispanic-
Serving Institutions (HBIs), Community Outreach Partnership Centers
(COPCs), others in HUD's University Partnerships Program. Areas for
evaluation might include such issues as:
(a) The impact of your HOPE VI effort on the lives of the
residents;
(b) The nature and extent of economic development generated;
(c) The effect of the revitalization effort on surrounding
communities, including spillover revitalization activities, property
values, etc.;
(d) Your success at integrating physical and non-physical
(Services) aspects of your strategy.
(6) Resident and Community Outreach and Involvement: 5 Points
[[Page 9736]]
In addition to the Threshold requirement for public meetings
provided in Section IV.(B)(2) of this program section of the SuperNOFA,
above, this rating subfactor evaluates the nature, extent, and quality
of the resident and community outreach and involvement you have done by
the time your application is submitted, as well as your plans for
continued and/or additional outreach and involvement. HUD will evaluate
your efforts to include affected residents and members of the
surrounding community in the planning and development of your
application.
To receive maximum points, you must demonstrate that you have:
(a) Communicated regularly with affected residents and members of
the surrounding community about your application and that you have:
(i) Included all interested parties, especially affected residents
and members of the surrounding community, in the development of your
application;
(ii) Developed specific plans for continued or different
involvement and participation in the planning and implementation of
revitalization activities if your application is successful;
(iii) Scheduled informational and planning meetings with affected
residents and other interested parties during the development of your
application at frequent and convenient times; and
(iv) Announced meetings in ways that are designed to generate the
most participation. Methods of announcing upcoming meetings include,
but are not limited to:
(1) Publishing notices of meetings in newspapers of local
distribution;
(2) Hand distributing flyers to residences and locations likely to
attract notice;
(3) Posting meeting information in adequate time to allow
participants to plan to attend;
(4) Addressing the language needs of affected residents;
(5) Making meetings and information available to persons with
disabilities.
(b) Communicated effectively with affected residents and members of
the surrounding community and that you have:
(i) Provided training and technical assistance on the HOPE VI
development process and general principles of development to affected
residents to enable them to participate meaningfully in the development
of your application, and developed plans to provide further training
and technical assistance if your application is successful;
(ii) Provided information to affected residents and other
interested parties about your planned revitalization;
(iii) Provided affected residents with substantive opportunities to
participate in the development of your HOPE VI plan;
(iv) Incorporated input and recommendations of interested parties,
especially affected residents, into your application;
(v) Generated support for your application among interested
parties;
(vi) Recognized and addressed dissenting viewpoints among affected
residents and other interested parties. Your application will not lose
points if there has been opposition to your plan, but may lose points
if you do not demonstrate that any such opposition has been addressed;
and
(vii) Provided status reports on the development of your
application.
(7) Operation and Management Principles and Policies: 5 Points.
(a) Self Sufficiency and Economic Diversity. To receive maximum
points, you must propose operation and management principles and
policies to be applied to on-site public housing and any on-site or
adjacent assisted housing that will encourage residents to move in,
move up, and move on. Such principles must:
(i) Complement self-sufficiency programs and result in a mix of
residents in the revitalized development who have a range of incomes,
including substantial numbers of working residents;
(ii) Reward work and promote family stability by promoting positive
incentives such as income disregards and ceiling rents;
(iii) Promote economic and demographic diversity by instituting a
system of local preferences; and
(iv) Encourage self-sufficiency by including lease requirements
that promote resident involvement in the tenants association, community
service, self-sufficiency, and transition from public housing.
(b) Safety and Security. To receive maximum points, you must
demonstrate that your proposed operation and management principles and
policies will provide greater safety and security by:
(i) Instituting tough screening requirements;
(ii) Enforcing tough lease and eviction provisions;
(iii) Enhancing on-going efforts to eliminate drugs and crime from
neighborhoods through collaborative efforts with local law enforcement
agencies and local United States Attorneys and program policy efforts
such as ``One Strike and You're Out,'' the ``Officer Next Door''
initiative, the Department of Justice ``Weed and Seed'' programs, or
HUD's ``Operation Safe Home'' and Drug Elimination programs;
(iv) Improving the safety and security of residents through the
implementation of defensible space principles, anti-crime measures, and
the installation of physical security systems such as surveillance
equipment, control engineering systems, etc.;
(v) Improving the safety of children by promoting the concept of
healthy homes. Healthy homes activities are described in Section VI(D)
of the General Section of this SuperNOFA.
(8) Affirmatively Furthering Fair Housing: 5 Points. To receive
maximum points, you must affirmatively further fair housing through the
physical design of the revitalized units, the location of new units,
and marketing of housing that will encourage diversity. You are
encouraged to work with local advocacy groups which represent
individuals with disabilities, the elderly, and other special needs
populations to further these goals.
(a) Accessibility. (i) Accessibility Requirements. The design of
your proposed new construction and/or rehabilitation of housing must
conform to the civil rights statutes and regulations required in
Section II.(B) of the General Section of this SuperNOFA.
(ii) Accessibility Priorities. HUD encourages you to promote
greater opportunities for housing choice by implementing the following
accessibility activities:
(1) Make at least 5 percent of for-sale units accessible to
individuals with mobility disabilities and 2 percent of for-sale units
accessible to individuals who have visual or hearing disabilities;
(2) Provide one-bedroom accessible rental units for single
individuals with disabilities so that they too can live in the
revitalized community;
(3) Implement innovative designs and room configurations,
particularly for homeownership housing, which are both accessible to
disabled residents and marketable to non-disabled households;
(4) Provide for accessibility modifications, where necessary, to
Section 8 units of residents who have been relocated out of the
targeted project due to revitalization activities.
(iii) Visitability. HUD encourages you to meet the visitability
standards adopted by HUD that apply to units not otherwise covered by
the accessibility requirements. The elements of visitability are
described in Section VI.(C) of the General Section of this
[[Page 9737]]
SuperNOFA and in the HOPE VI Application Kit Glossary.
(iv) Adaptability. HUD encourages you to meet the adaptability
standards adopted by HUD at 24 CFR 8.3 that apply to those units not
otherwise covered by the accessibility requirements. The elements of
adaptability are included in the HOPE VI Application Kit Glossary.
(b) Diversity. To receive maximum points, program activities must
aid a broad diversity of eligible residents, including the elderly, the
disabled, etc. HUD will also evaluate your efforts to increase
community awareness in a culturally sensitive manner through education
and outreach, as applicable. Describe specific steps to address the
elimination of impediments to fair housing that were identified in your
jurisdiction's Analysis of Impediments to Fair Housing Choice, remedy
discrimination in housing, or promote fair housing rights and fair
housing choice. Your marketing and outreach activities should be
targeted to all segments of the population on a nondiscriminatory
basis, promote housing choice and opportunity throughout your
jurisdiction, and contribute to the deconcentration of minority and
low-income neighborhoods.
Rating Factor 4: Leveraging Resources (10 Points Total)
In accordance with Section IV(B)(4) of this program section of the
SuperNOFA, above, all HOPE VI Revitalization grant funds are subject to
a matching requirement. By signing the HOPE VI Revitalization Applicant
Certifications (Appendix A to this NOFA, below), you are certifying
that, if selected, you will provide matching funds which can be
combined with HUD funds to carry out revitalization activities,
including Community and Supportive Services Programs. Although firm
commitments for these matching resources are not required in your
application, if funded you will be required to show evidence of
matching resources through your quarterly reports as your project
proceeds.
Although you will provide evidence of matching resources during the
course of the grant term, you must provide evidence of any currently-
available funds in order to earn points under this rating factor. Your
application will be rated based on the extent to which you have secured
additional resources now for proposed activities which can be added to
HUD funds to achieve program purposes, and will secure additional
resources. It is important that you do not just seek endorsements from
organizations or describe vendor relationships, but actively enlist
individuals and/or entities who will provide significant financial and/
or other assistance to the revitalization effort.
In rating this factor, HUD will evaluate the strength of your
partnerships and relationships with other entities, and the extent
those other entities will provide significant, firm funding commitments
and other resources if HOPE VI funds are awarded.
In your application, you must provide evidence of each proposed
resource by including letters of firm commitments, memoranda of
understanding, agreements to participate, or letters of support. If you
cannot secure firm commitments, the entity must describe why the firm
commitment cannot be made at the current time and affirm that your PHA
and your HOPE VI project meet all eligibility criteria for receiving
the resource. This is particularly important with regard to Low Income
Housing Tax Credits (LIHTC). All such documentation must include the
donor organization's name, the specific resource proposed, and the
purpose of that resource. Letters providing only general support of the
revitalization effort, and letters offering to provide vendor services
will not count toward this rating factor. The commitment must be signed
by an official of the organization legally authorized to make
commitments on behalf of the organization. HUD will evaluate the
strength of commitment that the letters articulate.
If you propose to use Low Income Housing Tax Credits (LIHTC) as a
part of your financing, provide in your application a letter from your
State Housing Finance Agency that provides information from the state
allocation plan regarding the total amount and type (4 percent vs. 9
percent) of tax credits available, any setasides available for PHAs,
per project funding limits, the schedule of funding rounds,
verification that your project meets eligibility criteria, and other
pertinent information.
(1) Development Resources: 6 Points. HUD seeks to fund mixed-
finance development that will use HOPE VI funds to leverage other
development funds, resulting in revitalized public housing, other types
of assisted and market rate housing, and retail and economic
development. To receive full points, you must actively enlist other
stakeholders who are vested in and can provide significant financial
assistance to your revitalization effort. In rating this factor, HUD
will consider the amount, breadth, and firmness of financial
commitments for development purposes.
Sources of development resources may include public and private
non-profit and for-profit entities with experience in the development
and/or management of low- and moderate-income housing; foundations;
LIHTC syndicators; State Housing Finance Agencies; nonprofit
organizations; private debt and equity; and banks or insured loans. If
your PHA is also a redevelopment agency or otherwise has citywide
responsibilities, HUD will consider the City's housing and/or
redevelopment agency or other functional area to be a separate entity
with which you are partnering.
(2) Community and Supportive Services Program Resources: 4 Points.
It is critical that you form partnerships to achieve quantifiable self-
sufficiency goals and that you leverage scarce HOPE VI self-sufficiency
funds with other funds. It is essential that you provide for the
sustainability of Community and Supportive Services programs so that
they may continue after the HUD funds have been expended.
HUD encourages you to create public/private partnerships with hard
commitments from and accountability to organizations skilled in the
delivery of services to residents of public housing. It is particularly
important to create partnerships with local Boards of Education which
will provide the foundation for young people from infancy through high
school graduation to succeed in academia, the professional world, and
mainstream society. You are encouraged to form partnerships with
organizations such as local businesses, faith-based organizations, non-
profit organizations, foundations, banks, welfare departments, Private
Industry Councils, Departments of Transportation, Police, and economic
development agencies, charitable, fraternal, and business
organizations, Weed and Seed programs, and individual employers.
Identify prospective employers, the number and types of jobs they
propose to make available, the kind and level of training needed to
prepare residents for such jobs and how such training will be provided.
Resources may include financial resources such as Federal, State,
or local government grants or private contributions. Resources may also
include in-kind contributions such as the value of any donated material
or building; the value of any lease on a building; the value of the
time and services contributed by volunteers, staff, supplies, municipal
or county
[[Page 9738]]
government services and infrastructure; and the value of any other in-
kind services or administrative costs provided which are critical to
the successful transformation of the project and the lives of its
residents.
In rating this factor, HUD will consider the amount, breadth and
firmness of financial and in-kind commitments for Community and
Supportive Services Programs, and the sustainability of such programs
during the life of the grant and after HOPE VI funds have been
expended.
Rating Factor 5: Comprehensiveness and Coordination (10 Points Total)
This factor evaluates your efforts to address the need for
revitalized public housing in a holistic and comprehensive manner by
creating linkages with other activities in the community, incorporating
the revitalization of public housing into the overall plans for
revitalization of the broader community, and participating or promoting
participation in the community's Consolidated Planning process.
(1) Coordination: 5 Points. To receive maximum points, you must
indicate that you have and/or will:
(a) Coordinate your proposed activities with related activities of
other groups or organizations prior to submission in order to best
complement, support and coordinate all known related activities. For
example, it is important to know about changes in transportation,
infrastructure, land use, and other revitalization issues when planning
the locations of revitalized housing to prevent future site problems.
(b) Take specific steps to share information about solutions and
outcomes with others.
(c) Take specific steps to develop linkages to coordinate
comprehensive solutions through meetings, information networks,
planning processes or other mechanisms with other HUD-funded projects/
activities outside the scope of those covered by the Consolidated Plan,
such as civil rights organizations; Local Area Agency on Aging, if
applicable; local agencies and organizations serving persons with
disabilities; Local Weed and Seed task force if the targeted project is
located in a designated Weed and Seed area; HUD drug elimination,
welfare-to-work, and self-sufficiency programs; other Federal, State or
locally funded activities, including those proposed or on-going in the
community; and Local law enforcement agencies and the local United
States Attorney.
(d) Forge relationships with local Boards of Education,
institutions of higher learning, non-profit or for-profit educational
institutions and public/private mentoring programs that will lead to
new or improved educational facilities and improved educational
achievement of young people in the revitalized development from birth
through higher education.
(2) Community Planning: 5 points. To receive maximum points, you
must indicate that you have or that you will take specific steps to
become active in the community's Consolidated Planning process
(including the Analysis of Impediments to Fair Housing Choice)
established to identify and address the need for revitalized public
housing, that your plans are tied to revitalization plans for the
broader community and the jurisdiction as a whole, and that your plans
are consistent with plans or organizing efforts in the immediate,
surrounding neighborhoods.
(D) Demolition Application Evaluation
(1) Demolition Funding Categories. HUD will select Demolition
applications on a first-come, first-served basis, by an application's
Funding Tier, Priority Group, and Ordinal. Demolition applications are
not rated.
(a) Funding Tiers. If you wish to request more than $7.5 million
for HOPE VI Demolition grants, you must divide your applications and
identify each of your applications as either Tier 1 or Tier 2. If funds
remain after all Tier 1 applications are funded, HUD will begin to fund
Tier 2 applications, in accordance with the procedures in Section
V.(D)(3) of this program section of the SuperNOFA, below.
(i) The total amount requested in all of your Tier 1 applications
may not equal more than $7.5 million.
(ii) The total amount requested in all of your Tier 2 applications
may not equal more than $5 million.
(iii) The total amount requested in all your applications, both
Tier 1 and Tier 2, may not exceed $12.5 million.
(b) Priority Groups. You must also identify each of your
applications by its appropriate Priority Group, as described below.
Each application must target units of a single Priority Group, e.g., do
not include Priority Group I units in the same application as Priority
Group 2 units.
(i) Priority Group 1: HOPE VI Demolition funding applications that
target units included in a Conversion Plan (i.e., plan for removal of
the obsolete and/or severely distressed development from the public
housing inventory in accordance with the requirements at 24 CFR
971.7(d)) that HUD has approved on or before the HOPE VI Demolition
funding application due date under this program section of the
SuperNOFA. Please note that the term ``Conversion Plan'' used in this
program section NOFA is the plan required by 24 CFR part 971.
(ii) Priority Group 2: HOPE VI Demolition funding applications that
target units that were included in a HOPE VI Demolition funding
application that you submitted in FY 1998 and that HUD deemed eligible
for funding, but could not select for lack of sufficient funds.
(iii) Priority Group 3: (1) HOPE VI Demolition funding applications
that target units included in a Conversion Plan (i.e., plan for removal
of the obsolete and/or severely distressed development from the public
housing inventory in accordance with the requirements at 24 CFR
971.7(d)) that you have submitted to HUD on or before the HOPE VI
Demolition funding application due date under this program section of
the SuperNOFA.
(a) If you submit a HOPE VI Demolition funding application for
units that are targeted in a Conversion Plan that was submitted under
24 CFR Part 971 but not yet approved (Priority Group 3), and the
Conversion Plan is subsequently approved (before the application
deadline), you may revise your application and it will be reclassified
as Priority Group 1. HUD will change the Ordinal to the Ordinal
corresponding to the date that the revised application was received.
(b) If you submit a Conversion Plan but you are not eligible under
24 CFR part 971, your HOPE VI Demolition will not be considered to be
in Priority Group 3. Please check with your local HUD Office before
submitting a HOPE VI Demolition funding application based on submission
of a Conversion Plan.
(2) Applications that target units that you included in a HUD-
approved 24 CFR part 970 Demolition Application. If you have submitted
a Part 970 Demolition Application to HUD's Special Applications Center
(SAC) but it has not yet been approved by HUD, your HOPE VI Demolition
application will not be considered complete and you will not receive an
Ordinal until your Part 970 Demolition application is approved.
(c) Ordinals. Upon receipt, HUD will assign each application an
Ordinal (i.e., ranking number) that reflects the date HUD Headquarters
received the application. Ordinals correspond to business days,
starting with the date HUD receives the first Demolition funding
application and ending on the application due date, as specified in
Section I of this program section of the SuperNOFA, above. HUD will
consider all applications received on the same
[[Page 9739]]
date as received at the same time on that date, and those applications
will all be assigned the same Ordinal.
(2) Demolition Screening. (a) Within a day after HUD receives your
application, HUD will screen the application to ensure that it has met
each HOPE VI Demolition funding program requirement listed in Section
IV.(C) of this program section of the SuperNOFA, above, and that it
includes each application submission requirement listed in Section
VI.(B) of this program section of the SuperNOFA, below.
(b) If HUD determines that an application is not eligible for
funding (e.g., the applicant is not a PHA), HUD will not consider the
application further and will immediately notify the applicant that the
application has been rejected.
(c) If HUD determines that an application is eligible but
incomplete, within one day of receipt of the application, HUD will
contact you in writing by fax (followed up with a hard copy by mail) to
request the missing information. If HUD finds your application and
other applications received on the same day to be incomplete, HUD will
notify all such applicants of their missing items on the same day.
Since Demolition funding applications are not rated, you may submit
information to complete your application at any time before the
Demolition funding application deadline date. However, if your
application is received on the deadline date and it is missing a
required submission, you will have no opportunity to submit any missing
item after the deadline date and your application will be ineligible
for funding.
Please Note: This provision means that the nearer to the
deadline you submit your application, the less time you will have to
correct any deficiencies, and if HUD receives your application ON
the deadline date and there is a deficiency, that application will
NOT be considered for funding. You are advised to submit your
application as soon as possible, in the event that HUD identifies a
deficiency that you need to correct.
(d) When HUD receives information in response to its letter asking
for missing information and determines that it completes the
application, HUD will change the application's Ordinal to the Ordinal
corresponding to the date that HUD received the information. If the
information does not make the application complete, HUD will treat the
submitted information in the same manner as a newly-submitted
application and send you another letter requesting the missing
information, up until the deadline date.
(e) Notwithstanding the above, if HUD approves a demolition
application or a conversion plan on the day before or on the
application deadline date, the requirements to provide evidence of
these approvals will be considered to be met and you will not be
required to submit your approval letters from HUD.
(3) Funding. HUD will award HOPE VI Demolition grants in the
following order, based on fund availability.
(a) HUD will fund eligible Tier 1, Priority Group 1 applications by
Ordinal.
(b) If funds remain after HUD has funded all eligible Tier 1,
Priority Group 1 applications, HUD will fund Tier 1, Priority Group 2
applications by Ordinal.
(c) If funds remain after HUD has funded all eligible Tier 1,
Priority Group 2 applications, HUD will fund Tier 1, Priority Group 3
applications by Ordinal.
(d) If funds remain after HUD has funded all eligible Tier 1 HOPE
VI Demolition funding applications, HUD will fund eligible Tier 2
applications, by Priority Group and Ordinal.
(e) If funds remain after all eligible Tier 1 and Tier 2 HOPE VI
Demolition funding applications have been funded, the remaining funds
will be reallocated for HOPE VI Revitalization grants.
(f) At any stage, if there are insufficient funds to fund all
applications with the next Ordinal, HUD will conduct a lottery among
the applications sharing the Ordinal to determine funding. HUD reserves
the right to partially fund the last lottery winner chosen if
insufficient funds remain to fund the entire amount requested, if HUD
deems such partial funding will be a viable alternative to full
funding.
(E) Grant Award Procedures
(1) Notification of Funding Decisions. (a) The HUD Reform Act
prohibits HUD from notifying you as to whether or not you have been
selected to receive a Revitalization grant until it has announced all
HOPE VI Revitalization grant recipients. If your application has been
found to be ineligible or that it did not receive enough points to be
funded, you will not be notified until the successful applicants have
been notified. HUD will provide written notification to all HOPE VI
applicants, whether or not they have been selected for funding.
(b) HUD notification that you have been selected to receive a HOPE
VI grant constitutes only preliminary approval. Grant funds may not be
released until the following activities have been completed:
(i) You or HUD must complete a subsidy layering review pursuant to
24 CFR 941.10(b), if required by HUD;
(ii) You and HUD must execute a HOPE VI Revitalization Grant
Agreement or Demolition ACC Amendment in accordance with Sections (2)
or (3) below, as applicable; and
(iii) The responsible entity has completed an environmental review
and you have submitted and obtained HUD approval of a request for
release of funds and the responsible entity's environmental
certification in accordance with Section IV(A)(8) of this program
section of the SuperNOFA, above.
(2) Revitalization Grant Agreement. When you are selected to
receive a Revitalization grant, HUD will send you a HOPE VI Grant
Agreement, which constitutes the contract between you and HUD to carry
out and fund public housing revitalization activities. Both you and HUD
will sign the cover sheet of the Grant Agreement, and it is effective
on the date of HUD's signature. The Grant Agreement sets forth:
(a) The amount of the grant;
(b) Applicable rules, terms, and conditions, including sanctions
for violation of the Agreement;
(c) The precise schedules of the HOPE VI Program;
(d) Program requirements;
(e) Requirements for implementation of the proposed plan;
(f) Any applicable special conditions that you must meet;
(g) Certifications in which you will agree to:
(i) Carry out the program in accordance with the provisions of this
program section of the SuperNOFA, applicable law, the approved
application, and all other applicable requirements, including
requirements for mixed finance development;
(ii) Comply with any other terms and conditions, including
recordkeeping and reports, that HUD may establish for the purposes of
administering, monitoring, and evaluating the program in an effective
and efficient manner, including full cooperation with HUD's program
oversight contractor;
(iii) Assemble a team to implement the HOPE VI Program that has a
strong management and development track record and is able to start and
carry out a quality HOPE VI program. If you fail to demonstrate your
ability to assemble a competent team to the satisfaction of HUD and its
program oversight manager, HUD will direct corrective
[[Page 9740]]
actions as a condition of retaining the grant;
(iv) Execute a construction contract within 18 months from the date
of HUD's approval of the revitalization Plan (or a period specified in
the Grant Agreement);
(v) Establish interim performance goals and complete the physical
component of the HOPE VI revitalization within 54 months from the date
that HUD executed the Grant Agreement. If you fail to meet this or
other deadlines established in the Grant Agreement, HUD may enforce
default remedies described in the Grant Agreement, up to and including
the withdrawal of grant funding. HUD will take into consideration those
delays caused by factors beyond your control when enforcing these
schedules;
(vi) Execute an ACC Amendment for Mixed-Finance development with
HUD, if required by HUD; and
(vii) Foster the involvement of and gather input and
recommendations from affected residents throughout the entire
development process.
(3) Demolition ACC Amendment. If you are selected to receive a
Demolition grant, HUD will send you an ACC Amendment setting forth the
amount of the grant. Both you and HUD will sign the ACC Amendment, and
it is effective on the date of HUD's signature.
(a) By signing the ACC Amendment, you will agree that:
(i) You will carry out the demolition and relocation work in
accordance with the requirements of this program section of the
SuperNOFA, applicable law including all HUD regulations, the approved
HOPE VI Demolition Funding Application, applicable Demolition
Application approval, and all other applicable requirements; and
(ii) You will procure a demolition contractor within six months
from the date of ACC Amendment execution, and complete the demolition
within two years from the date of ACC Amendment execution; and
(iii) You will comply with such other terms and conditions,
including recordkeeping and reports, as HUD may establish for the
purposes of administering, monitoring, and evaluating the program in an
effective and efficient manner.
(b) Subject to the provisions of Part A of the ACC, and to assist
in the demolition and relocation, HUD will agree to disburse to the PHA
from time to time as needed, up to the amount of funding assistance
awarded.
VI. Application Submission Requirements
(A) Revitalization Application Exhibits
(1) Application Kit. The HOPE VI Application Kit provides explicit,
specific instructions as to the format of a HOPE VI Revitalization
application. Your application must conform to the requirements of this
program section of the SuperNOFA and follow the format described in the
Kit. In addition to the narratives that respond to the rating criteria
in this program section of this SuperNOFA, your application will also
include submissions that provide HUD with detailed information about
your proposed revitalization, including forms and other documentation.
(2) Submissions Required for Rating. HUD will review the following
application submissions and rate them in accordance with the
Revitalization rating factors in section V.(C) of this program section
of the SuperNOFA, above. Because these submissions are rated, they
cannot be improved after submission of the application, and you may not
submit any missing submissions after the deadline date.
(a) An Executive Summary.
(b) A description of your experience and that of your committed
partners in developing and managing housing and providing Community and
Supportive Services Programs.
(c) A description of existing site conditions, which demonstrates
the extent of need for your proposed revitalization.
(d) A description of all predevelopment activities.
(e) A description of all revitalization activities proposed in your
application and details of how the proposed work will be accomplished.
(f) A description of Community and Supportive Services Programs.
(g) A plan for resident and community outreach and involvement in
the planning process.
(h) A description of current or planned coordination with related
activities of other groups or organizations, including any applicable
EZ/EC local empowerment board.
(i) A description of proposed management principles and policies
which will support revitalization efforts, increase safety and security
for residents, affirmatively further fair housing, lessen concentration
of low-income residents and create desegregation opportunities, and
promote mixed-income communities.
(j) Program Resources and Financing: budget, sources and uses,
documentation of resources.
(k) Photographs of distressed public housing and representative
photographs of the neighborhood.
(l) A current site map showing the various buildings of the project
and identifying the buildings to be demolished and/or disposed of.
(m) A relocation plan for relocation not described in a demolition
application.
(n) A city map which clearly identifies key facilities in the
context of existing city streets, the central business district, other
key city sites, and census tracts and which indicates the existing
project, the planned development, and any off-site housing.
(o) A neighborhood map which clearly shows the distance, and
distance scale, between two projects, if the two projects are being
submitted as a single development for HOPE VI funding, pursuant to
Section II.(A)(2)(b), above, of this NOFA.
(p) A proposed site map which indicates where proposed
construction, rehabilitation acquisition, or disposition activities
will take place.
(q) Site and unit design illustrations.
(3) Submissions Required for Completeness. The following
submissions are required in your application but HUD will not use them
for rating purposes. In accordance with section V. of the General
Section of this SuperNOFA, HUD will give you the opportunity to submit
missing submissions. If, after the cure period, HUD has not received
and accepted the missing submissions, your application will not be
eligible for funding.
(a) A certification by an independent engineer that the targeted
public housing project, or buildings in a project, meets the severe
distress requirement described in Section IV.(B)(1)(a)(i) of this
program section of the SuperNOFA, above.
(b) An Implementation Schedule.
(c) Evidence that at least one training session on the HOPE VI
development process and three public meetings were held in accordance
with the requirements of section IV.(B)(2) of this program section of
the SuperNOFA, above.
(d) The HOPE VI Revitalization Applicant Certifications. The text
of the Revitalization Applicant Certifications is included as Appendix
A below, and the actual form to sign is located in the HOPE VI
Application Kit; and
(e) Signed copies of the standard forms, certifications, and
assurances listed in section II.(G) of the General Section of this
SuperNOFA.
[[Page 9741]]
(B) Demolition Application Requirements
The HOPE VI Application Kit provides explicit, specific
instructions as to the format of a HOPE VI Demolition application. Your
application must conform to the requirements of this program section of
the SuperNOFA and follow the format described in the kit. The following
is a summary of the application information required by this program
section of the SuperNOFA. Demolition grants are awarded on a first-
come, first-served basis and HUD does not rate the applications.
Therefore, any missing information may be submitted after the
application is first submitted in accordance with section V.(D) of this
program section of the SuperNOFA, above. HUD will not consider any
application for funding until you submit each of the following
requirements to HUD's satisfaction.
(1) Standard Form 424, Request for Federal Assistance, signed by a
person legally authorized to enter into an agreement with the
Department.
(2) Site Information and Proposed Activities: information and
description of the proposed demolition and related activities.
(3) Documentation of unit eligibility:
(a) Evidence of HUD approval of a demolition/disposition
application (approval letter); or
(b) Approval by HUD or submission to HUD by the HOPE VI demolition
application due date of an obsolete and/or severely distressed public
housing conversion plan in conformance with the requirements of 24 CFR
part 971.
(4) A description of program financing, including a program budget
submitted on Form HUD-52825-A and third-party certification of
reasonable and accurate costs.
(5) A program schedule which clearly shows that you will complete
the proposed demolition within two years from the date your ACC
Amendment is executed.
(6) The HOPE VI Demolition Applicant Certifications. The text of
the Demolition Applicant Certifications is included in Appendix B
below, and the actual form to execute is located in the HOPE VI
Application Kit; and
(7) Signed copies of the standard forms, certifications, and
assurances listed in Section II.(G) of the General Section of this
SuperNOFA.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Authority
The funding for HOPE VI Revitalization and Demolition grants under
this program section of the SuperNOFA is provided by the FY 1999 HUD
Appropriations Act under the heading ``Revitalization of Severely
Distressed Public Housing (HOPE VI).''
Appendix A--HOPE VI Revitalization Applicant Certifications
The text of the HOPE VI Revitalization Applicant Certifications
is as follows:
Acting on behalf of the Board of Commissioners of the Housing
Authority listed below, as its Chairman, I approve the submission of
the HOPE VI application of which this document is a part and make
the following certifications to and agreements with the Department
of Housing and Urban Development (HUD) in connection with the
application and implementation thereof:
1. The PHA will comply with all policies, procedures, and
requirements prescribed by HUD for the HOPE VI program, including
the implementation of HOPE VI activities in a timely, efficient, and
economical manner.
2. The PHA has not and will not receive assistance from the
Federal government, State, or unit of local government, or any
agency or instrumentality, for the specific activities for which
funding is requested in the application. The PHA has established
controls to ensure that any activity funded by the HOPE VI grant is
not also funded by any other HUD program, thereby preventing
duplicate funding of any activity.
3. The PHA will not provide to any development more assistance
under the HOPE VI Program than is necessary to provide affordable
housing after taking into account other governmental assistance
provided. The PHA could not undertake the activities proposed in the
application without the additional assistance provided by the
requested HOPE VI grant.
4. The PHA will supplement the aggregate amount of the HOPE VI
grant with funds from sources other than HOPE VI in an amount not
less than 5 percent of the amount of HOPE VI grant.
5. In addition to supplemental amounts provided in accordance
with Certification 4 above, if the PHA uses more than 5 percent of
the HOPE VI grant for Community and Supportive Services Programs, it
will provide supplemental funds from sources other than HOPE VI in
an amount equal to the amount used in excess of 5 percent.
6. The PHA has conducted at least one training session for
residents on the HOPE VI development process and three public
meetings with residents and community members to involve them in the
process of planning the revitalization and preparing the
application. At least one meeting was held after the publication
date of the FY 1999 HOPE VI Revitalization NOFA.
7. The PHA does not have any litigation pending which would
preclude timely startup of activities.
8. The application is in full compliance with any desegregation
or other court order related to Fair Housing (e.g., Title VI of the
Civil Rights Act of 1964, the Fair Housing Act, and Section 504 of
the Rehabilitation Act of 1973) that affects the PHA's public
housing program and that is in effect on the date of application
submission.
9. Disposition activity under the grant will be conducted in
accordance with 24 CFR part 970.
10. Acquisition of land, or acquisition of off-site units with
or without rehabilitation to be used as public housing, will be
carried out in accordance with 24 CFR part 941.
11. Major rehabilitation and other physical improvements of
housing and non-dwelling facilities will be carried out in
accordance with 24 CFR 968.112(b), (d), (e), and (g)-(o), 24 CFR
968.130, and 24 CFR 968.135(b) and (d).
12. Construction of replacement rental housing, both on-site and
off-site, economic development, and community facilities, will be
carried out in accordance with 24 CFR part 941, including mixed-
finance development in accordance with subpart F.
13. Replacement housing activity with units acquired or
otherwise provided for homeownership under Section 5(h) of the 1937
Act will be conducted in accordance with 24 CFR part 906.
14. Replacement housing activities provided through housing
opportunity programs of construction or substantial rehabilitation
of homes will meet essentially the same eligibility requirements of
the Nehemiah Program.
15. The administration and operation of units will be in
accordance with all existing public housing rules and regulations.
16. The PHA will comply with the requirements of the Fair
Housing Act (42 U.S.C. 3601-19) and regulations pursuant thereto (24
CFR part 100); Executive Order 11063 (Equal Opportunity in Housing)
and regulations pursuant thereto (24 CFR part 107); the fair housing
poster regulations (24 CFR part 110) and advertising guidelines (24
CFR part 109); Title VI of the Civil Rights Act of 1964 (42 U.S.C.
2000d) and regulations pursuant thereto (24 CFR part 1).
17. The PHA will comply with the prohibitions against
discrimination on the basis of age pursuant to the Age
Discrimination Act of 1975 (42 U.S.C. 6101-07) and regulations
issued pursuant thereto (24 CFR part 146); the prohibitions against
discrimination against, and reasonable modification and
accommodation and accessibility requirements for, handicapped
individuals under Section 504 of the Rehabilitation Act of 1973 (29
U.S.C. 794) and regulations issued pursuant thereto (24 CFR part 8);
the Americans with Disabilities Act (42 U.S.C. 12101 et. seq.) and
regulations issued pursuant thereto (28 CFR Part 36); and the
Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151) and
regulations issued pursuant thereto (24 CFR Part 40).
18. The PHA has adopted the goal of awarding a specified
percentage of the dollar value of the total of the HOPE VI contracts
to be awarded during subsequent fiscal years to minority business
enterprises and will take appropriate affirmative action to assist
resident-controlled and women's business enterprises in accordance
with the requirements of Executive Orders 11246, 11625, 12432, and
12138.
[[Page 9742]]
19. The PHA will comply with the requirements of Section 3 of
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u)
(Employment Opportunities for Lower Income Persons in Connection
with Assisted Projects) and its implementing regulation at 24 CFR
part 135.
20. The PHA will comply with Davis-Bacon or HUD-determined
prevailing wage rate requirements to the extent required under
Section 12 of the U.S. Housing Act of 1937.
21. The PHA will comply with the relocation assistance and real
property acquisition requirements of the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970 and
government-wide implementing regulations at 49 CFR part 24 and will
provide temporary relocation assistance in accordance with 24 CFR
968.108.
22. The PHA will comply with the HOPE VI requirements for
reporting, and for access to records and audits as required in the
HOPE VI Grant Agreement.
23. The PHA will comply with the Lead-Based Paint Poisoning
Prevention Act (42 U.S.C. 4821, et seq.) and is subject to 24 CFR
parts 35 and 965 (subpart H) and Section 968.110(k), as they may be
amended from time to time.
24. The PHA will comply with the policies, guidelines, and
requirements of OMB Circular Nos. A-87 (Cost Principles Applicable
to Grants, Contracts, and Other Agreements with State and Local
Governments) and 24 CFR part 85 (Administrative Requirements for
Grants and Cooperative Agreements to State, Local and Federally
Recognized Indian Tribal Governments), as modified by 24 CFR 941
subpart F relating to the procurement of partners in mixed finance
developments, except when inconsistent with the provisions of the
1998 Appropriations Act or other applicable Federal statutes or the
NOFA pursuant to which the application was submitted.
25. PHA has returned any excess advances received during
development or modernization, or amounts determined by HUD to
constitute excess financing based on a HUD-approved Actual
Development Cost Certificate (ADCC) or Actual Modernization Cost
Certificate (AMCC), or that HUD has approved a pay-back plan.
26. There are no environmental factors, such as sewer
moratoriums, precluding development in the requested locality.
27. The application is consistent with Environmental Justice
Executive Order 12898, in that the proposed public housing will be
developed only in environmentally sound and desirable locations and
will avoid disproportionately high and adverse environmental effects
on minority and low-income communities.
28. The PHA will comply with the provisions of 24 CFR part 24
with regard to the employment, engagement of services, awarding of
contracts, subgrants, or funding of any recipients, or contractors
or subcontractors, during any period of debarment, suspension, or
placement in ineligibility status.
29. The public housing project or building in a project targeted
in this HOPE VI application meets the definition of severe distress
provided in Section IV.(B)(1) of the FY 1999 HOPE VI NOFA.
Appendix B--HOPE VI Demolition Applicant Certifications
The text of the HOPE VI Demolition Applicant Certifications is
as follows:
Acting on behalf of the Board of Commissioners of the Public
Housing Authority (PHA) listed below, as its Chairman, I approve the
submission of the HOPE VI Demolition funding application of which
this document is a part and make the following certifications to and
agreements with the Department of Housing and Urban Development
(HUD) in connection with the application and implementation thereof:
1. The PHA will comply with all policies, procedures, and
requirements prescribed by HUD for the HOPE VI program, including
the implementation of HOPE VI activities in a timely, efficient, and
economical manner.
2. The PHA has not and will not receive assistance from the
Federal government, State, or unit of local government, or any
agency or instrumentality, for the specific activities for which
funding is requested in the application. The PHA has established
controls to ensure that any activity funded by the HOPE VI grant is
not also funded by any other HUD program, thereby preventing
duplicate funding of any activity.
3. The PHA will not provide to any development more assistance
under the HOPE VI Program than is necessary to perform demolition
activities after taking into account other governmental assistance
provided.
4. Disposition activity under the grant will be conducted in
accordance with 24 CFR part 970;
5. The PHA will comply with the requirements of the Fair Housing
Act (42 U.S.C. 3601-19) and regulations pursuant thereto (24 CFR
part 100); Executive Order 11063 (Equal Opportunity in Housing) and
regulations pursuant thereto (24 CFR part 107); the fair housing
poster regulations (24 CFR part 110) and advertising guidelines (24
CFR part 109); Title VI of the Civil Rights Act of 1964 (42 U.S.C.
2000d) and regulations pursuant thereto (24 CFR part 1).
6. The PHA will comply with the prohibitions against
discrimination on the basis of age pursuant to the Age
Discrimination Act of 1975 (42 U.S.C. 6101-07) and regulations
issued pursuant thereto (24 CFR part 146); the prohibitions against
discrimination against, and reasonable modification and
accommodation and accessibility requirements for, handicapped
individuals under Section 504 of the Rehabilitation Act of 1973 (29
U.S.C. 794) and regulations issued pursuant thereto (24 CFR part 8);
the Americans with Disabilities Act (42 U.S.C. 12101 et seq.) and
regulations issued pursuant thereto (28 CFR Part 36); and the
Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151) and
regulations issued pursuant thereto (24 CFR Part 40).
7. The PHA will address the elimination of impediments to fair
housing that were identified in the jurisdiction's Analysis of
Impediments to Fair Housing Choice; remedy discrimination in
housing; and promote fair housing rights and fair housing choice.
8. The PHA has adopted the goal of awarding a specified
percentage of the dollar value of the total of the HOPE VI contracts
to be awarded during subsequent fiscal years to minority business
enterprises and will take appropriate affirmative action to assist
resident-controlled and women's business enterprises in accordance
with the requirements of Executive Orders 11246, 11625, 12432, and
12138.
9. The PHA will comply with the requirements of Section 3 of the
Housing and Urban Development Act of 1968 (12 U.S.C. 1701u)
(Employment Opportunities for Lower Income Persons in Connection
with Assisted Projects) and its implementing regulation at 24 CFR
part 135.
10. The PHA will comply with Davis-Bacon or HUD-determined
prevailing wage rate requirements to the extent required under
Section 12 of the U.S. Housing Act of 1937.
11. The PHA will comply with the relocation assistance and real
property acquisition requirements of 24 CFR 970.5.
12. The PHA will keep records in accordance with 24 CFR 85.20
that facilitate an effective audit to determine compliance with
program requirements.
13. The PHA will comply with the Lead-Based Paint Poisoning
Prevention Act (42 U.S.C. 4821, et seq.) and is subject to 24 CFR
parts 35 and 965 (subpart H) and Section 968.110(k), as they may be
amended from time to time.
14. The PHA will comply with the policies, guidelines, and
requirements of OMB Circular Nos. A-87 (Cost Principles for State,
Local and Indian Tribal Governments) and 24 CFR part 85
(Administrative Requirements for Grants and Cooperative Agreements
to State, Local and Federally Recognized Indian Tribal Governments).
15. The PHA does not have any litigation pending which would
preclude timely startup of activities.
16. PHA has returned any excess advances received during
development or modernization, or amounts determined by HUD to
constitute excess financing based on a HUD-approved Actual
Development Cost Certificate (ADCC) or Actual Modernization Cost
Certificate (AMCC), or that HUD has approved a pay-back plan.
BILLING CODE 4210-32-P
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9743]]
[GRAPHIC] [TIFF OMITTED] TN26FE99.030
BILLING CODE 4210-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9745]]
Funding Availability for the Public and Indian Housing Drug
Elimination Program (PHDEP)
Program Overview
Purpose of the Program. To provide grants to eliminate drugs and
drug-related crime in public housing and Indian communities.
Available Funds. Approximately $242,750,000 is available during FY
99 for PHDEP grants.
Eligible Applicants. Public Housing Authorities (PHAs), Tribes, or
Tribally Designated Housing Entities (TDHEs) on behalf of the Tribe.
Application Deadline. June 16, 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 information.
I. Application Due Date, Application Kits, Further Information and
Technical Assistance
Application Due Date. Applications (an original and two copies) are
due on or before 6:00 pm local time on June 16, 1999 at the address
shown below.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address For Submitting Applications. Submit an original and two
identical copies of the application by the application due date at the
local Field Office with delegated public housing responsibilities:
Attention: Director, Office of Public Housing, or, in the case of the
Tribes or TDHEs, to the local HUD Administrator, Area Office of Native
American Programs (AONAP), as appropriate.
For Application Kits. To receive a copy of the Public Housing Drug
Elimination Program (PHDEP) application kit 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 the Public Housing Drug
Elimination Program (PHDEP). Please provide your name, address
(including zip code, and telephone number (including area code)). The
application kit contains information on all exhibits, forms, and
certifications required for PHDEP.
For Further Information and Technical Assistance. Please call the
local HUD Field Office HUB with delegated housing responsibilities for
your housing agency, the Area Office of Native American Programs
(AONAPs) with jurisdiction over your Tribe or Tribally Designated
Housing Entity (TDHE) preparing your application, HUD's Drug
Information and Strategy Clearinghouse (DISC) at 1-800-952-2232; or
Sonia Burgos in the Community Safety and Conservation Division, Office
of Public and Indian Housing, Department of Housing and Urban
Development, 451 Seventh Street, SW, Room 4206, Washington, DC 20410,
telephone (202) 708-1197, extension 4227; or Tracy C. Outlaw, National
Office of Native American Programs, Department of Housing and Urban
Development, 1999 Broadway, Suite 3390, Denver, CO 80202, telephone
(303) 675-1600. (With the exception of the ``1-800'' telephone number,
these are not toll-free numbers.)
II. Amount Allocated
Public Law 105-276 (the FY 1999 HUD Appropriations Act)
appropriated $310,000,000 for the Public Housing Drug Elimination
Program. Of the total $310,000,000 appropriated, approximately
$242,750,000 is being made available for PHDEP grants. Additionally,
$14,399 in FY 1999 funds is awarded to the Housing Authority of the
City of Cedartown, GA, an FY 1997 PHDEP grantee mistakenly denied this
amount for an eligible law enforcement activity.
III. Program Description; Eligible Applicants; Eligible/Ineligible
Activities
(A) Program Description
Funds are available for Public Housing Authorities (PHAs), Tribes
or Tribally Designated Housing Entities (TDHEs) to develop and finance
drug and drug-related crime elimination efforts in their developments.
You may use funds for enhancing security within your developments,
making physical improvements to enhance security; and/or developing and
implementing prevention, intervention and treatment programs to stop
drug use in public and Indian housing communities.
In FY 1999, HUD is requiring all applicants to establish measurable
baseline information and realistic goals for drug-related crime in
Public Housing and for all major PHDEP activities being proposed. This
information will be reported in a new PHDEP Semi-Annual Reporting
System which will be implemented by July 1999. In addition, HUD is
developing a formula based system for use in awarding PHDEP grants.
(B) Eligible Applicants
Eligible applicants include PHAs, Tribes or TDHEs. (A Tribe can
apply either in its own name or through its TDHE. A TDHE cannot apply
on behalf of a Tribe that is applying on its own behalf.) Resident
Management Corporations (RMCs); and incorporated Resident Councils
(RCs) are eligible for funding from PHAs as sub-grantees. RMCs and ROs
that were operating pursuant to 24 CFR part 950 are eligible for
funding from Tribes or TDHEs as subgrantees to develop security and
substance abuse prevention programs.
(C) Eligible/Ineligible Activities
Under statute, PHDEP grants may be used for seven types of
activities including: Physical improvement specifically designed to
enhance security; Programs designed to reduce use of drugs in and
around public or Indian housing developments including drug-abuse
prevention, intervention, referral, and treatment; Funding for non-
profit public housing resident management corporations (RMCs), Resident
Councils (RCs), and Resident Organizations (ROs) to develop security
and drug abuse prevention programs involving site residents; Employment
of security personnel; Employment of personnel to investigate and
provide evidence in administrative or judicial proceeding;
Reimbursement of local law enforcement agencies for additional security
and protective services; and Training, communications equipment, and
related equipment for use by voluntary tenant patrols.
Following is a discussion by activity type of: what is fundable;
what is not fundable; and specific requirements or items that need to
be discussed in your application if you are including that activity in
your application.
(1) Physical Improvements to Enhance Security. (a) Physical
improvements specifically designed to enhance security may include:
installing barriers, speed bumps, lighting systems, fences,
surveillance equipment (e.g., Closed Circuit Television (CCTV),
computers and software, fax machines, cameras, monitors, and supporting
equipment), bolts, locks, and landscaping or reconfiguring common areas
to discourage drug-related crime.
(i) All physical improvements must be accessible to persons with
disabilities. For example, locks or buzzer systems that are not
accessible to persons with restricted or impaired strength, mobility,
or hearing may not be funded by PHDEP. Defensible space improvements
must comply with civil rights requirements and cannot exclude
[[Page 9746]]
or segregate people because of their race, color, or national origin
from benefits, services, or other terms or conditions of housing. All
physical improvements must meet the accessibility requirements of 24
CFR part 8.
(ii) Funding is permitted for the purchase or lease of house
trailers of any type that are not designated as a building if they are
used for eligible community policing, educational, employment, and
youth activities. A justification of purchase versus lease must be
supported by your cost-benefit analysis.
(b) Ineligible Improvements. (i) Physical improvements that involve
demolishing any units in a development.
(ii) Physical improvements that would displace persons are
ineligible.
(iii) Acquiring real property.
(2) Programs to Reduce Drug Use (Prevention, Intervention,
Treatment, Structured Aftercare and Support Systems). (a) General
Requirements and Strategies. HUD is looking for you to structure your
substance abuse prevention, intervention, treatment, and aftercare
program using a ``continuum of care'' approach. A ``continuum of care''
approach includes not just treating the addiction or dependency but
providing aftercare, mentoring, and support services such as day care,
family counseling, education, training, employment development
opportunities, and other activities.
You must develop a substance abuse/sobriety (remission)/treatment
(dependency) strategy to adequately plan your substance abuse
prevention, intervention, treatment, and structured aftercare efforts.
In many cases, you may want to include education, training, and
employment opportunities for residents; and support Welfare to Work
initiatives. When undertaking these activities, you should be
leveraging your PHDEP resources with other Federal, State, local and
Tribal resources. For example, your application may propose providing
space and other infrastructure for these efforts with several public
agencies providing staff and other resources at limited or no cost.
Your application should also discuss how your strategy incorporates
existing community resources and how they will be used in your program.
The strategy should also document how community resources will be
provided on-site, or how participants will be referred and transported
to treatment programs that are not on-site.
A community-based approach also requires you to develop a
culturally appropriate strategy. Curricula, activities, and staff
should address the cultural issues of the local community, which
requires your application to indicate your familiarity and facility
with the language and cultural norms of the community. As applicable,
your strategy should discuss cultural competencies associated with
Hispanic, African-American, Asian, Native American or other racial or
ethnic communities.
Your activities should focus resources directly to housing
authority residents and families.
For all activities involving education, training and employment,
you should demonstrate efforts to coordinate with Federal, Tribal,
State and local employment training and development services, ``welfare
to work'' efforts, or other new ``welfare reform'' efforts.
The current Diagnostic and Statistical Manual (DSM) of Mental
Disorders of the American Psychiatric Association dated May 1994,
contains information on substance abuse, dependency and structured
aftercare. For more information about this reference, contact: APPI,
1400 K. Street, NW, Suite 1100, Washington, DC 20005 on 1(800) 368-5777
or World Wide Web site at http://www.appi.org.
Eligible activities may include:
(i) Substance abuse prevention, intervention, and referral
programs;
(ii) Programs of local social, faith-based and/or other
organizations that provide treatment services (contractual or
otherwise) for dependency/remission; and
(iii) Structured aftercare/support system programs.
(b) Activities must be ``in and around''. PHDEP funding is
permitted for programs that reduce/eliminate drug-related crime ``in
and around'' the premises of the housing authority/development(s). HUD
has defined the term ``in and around'' to mean within, or adjacent to,
the physical boundaries of a public or Indian housing development. This
ensures that program funds and activities are targeted to benefit, as
directly as possible, public and Indian housing developments and their
residents.
(c) Eligible cost. (i) Funding is permitted for reasonable,
necessary, and justified purchasing or leasing (whichever is documented
as the most cost effective) of vehicles for transporting adult and
youth residents for education, job training, and off-site treatment
programs directly related to reducing drugs and drug-related crime. The
cost reasonableness can be determined by a comparison of the number of
participants in and anticipated costs of these programs compared to the
purchase or lease cost of the vehicles. If these costs are included in
your application, you must include a description of why the expenses
are necessary. Under no circumstances are these vehicles to be used for
other than their intended purpose under your grant.
(ii) Funding is permitted for reasonable, necessary and justified
program costs, such as meals and beverages incurred only for training,
education and employment activities, and youth services directly
related to reducing drugs and drug-related crime. Refer to Office of
Management and Budget (OMB) Circular A-87, Cost Principles for State,
Local and Indian Tribal Governments.
(d) Prevention. Prevention programs must demonstrate that they will
provide directly, or otherwise make available, services designed to
distribute substance/drug education information, to foster effective
parenting skills, and to provide referrals for treatment and other
available support services in the housing development or the community
for housing authority families.
Prevention programs should provide a comprehensive prevention
approach for residents that address the individual resident and his or
her relationship to family, peers, and the community. Your prevention
programs activities should identify and change the causal factors
present in housing authorities that lead to drug-related crime thereby
lowering the risk of drug usage. Many components of a comprehensive
approach, including refusal and restraint skills training programs or
drug, substance abuse/dependency and family counseling, may already be
available in the community of your housing developments and should be
included to the maximum extent possible in your proposed program of
activities.
The following eligible activities under a prevention program are
discussed in more detail below: educational opportunities; family and
other support services; youth services; and economic and educational
opportunities for resident adult and youth activities.
(i) Educational Opportunities. The causes and effects of illegal
drug/substance abuse must be discussed in a culturally appropriate and
structured setting. You may contract (in accordance with 24 CFR 85.36)
to provide such knowledge and skills through training programs. The
professionals contracted to provide these services are required to base
their services on your needs assessment and program plan. These
educational opportunities may be a part of resident
[[Page 9747]]
meetings, youth activities, or other gatherings of public and Indian
housing residents.
(ii) Family and Other Support Services. ``Supportive services'' are
services that allow housing authority families to have access to
prevention, educational and employment opportunities. Supportive
services may include: child care; employment training; computer skills
training; remedial education; substance abuse counseling; help in
getting a high school equivalency certificate; and other services to
reduce drug-related crime.
(iii) Youth Services. ``Educating and enabling America's youth to
reject illegal drugs'' is Goal #1 of the Office of National Drug
Control Policy (ONDCP) top five goals in the Nation's Drug Control
Strategy. Activities that target youth further this goal. Proposed
youth prevention programs must demonstrate that they have included
groups composed of young people ages 16 through 18. Your youth
prevention activities should be coordinated by adults but have housing
authority youth actively involved in organizing youth leadership,
sports, recreational, cultural and other activities. Eligible youth
services may include: youth sports; youth leadership skills training;
cultural and recreational activities. These youth services provide an
alternative to drugs and drug-related criminal activity for public
housing and Native American youth. Youth leadership skills training may
include training in leadership, peer pressure reversal, resistance or
refusal skills, life skills, goal planning, parenting skills, and other
relevant topics. Youth leadership training should be designed to place
youth in leadership roles including: mentors to younger program
participants, assistant coaches, managers, and team captains. Cultural
and recreational activities may include ethnic heritage classes, art,
dance, drama and music appreciation.
The following are eligible youth services activities:
(1) Salaries and expenses for staff for youth sports programs and
cultural activities and leadership training;
(2) Sports and recreation equipment to be used by participants;
(3) Non-profit subgrantees that provide scheduled organized sports
competitions, cultural, educational, recreational or other activities,
including: Boys and Girls Clubs, YMCAs, YWCAs, the Inner City Games,
Association of Midnight Basketball Leagues.
(4) Liability insurance costs for youth sports activities.
(iv) Economic and Educational Opportunities for Resident Adult and
Youth. Your proposed economic and educational activities must provide
residents opportunities for interaction with, or referral to,
established higher education, vocational institutions and/or private
sector businesses in the immediate surrounding communities with the
goal of developing or building on the residents' skills to pursue
educational, vocational and economic goals and become self-sufficient.
You should discuss your economic and educational opportunities for
residents and youth activities in the context of ``welfare to work''
and related Federal, Tribal, State and local government efforts for
employment training, education and employment opportunities related to
``welfare to work'' goals. Establishing or referring adults and youth
to computer learning centers, employment service centers (coordinated
with Federal, Tribal, State and local employment offices), and micro-
business centers are eligible.
Limited educational scholarships are permitted under this section.
No one individual award may exceed $500.00, and there is a total
maximum scholarship program cap of $10,000. Educational scholarship FY
1999 PHDEP funds must be obligated and expended during the term of your
grant. You must demonstrate in your plan and timetable the scholarship
strategy; the financial and management controls that will be used; and
projected outcomes.
(e) Intervention. The aim of intervention is to identify or detect
residents with substance abuse issues, assist them in modifying their
behavior, and in getting early treatment, and structured aftercare.
(f) Substance Abuse/Dependency Treatment. (i) Treatment funded
under this program should be ``in and around'' the premises of the
housing authority/development(s) you proposed for funding. In
undertaking substance abuse/dependency treatment programs, you must
establish a confidentiality policy regarding medical and disability
related information.
(ii) Funds awarded for substance abuse/dependency treatment must be
targeted towards developing and implementing, or expanding and
improving sobriety maintenance, substance-free maintenance support
groups, substance abuse counseling, referral treatment services, and
short or long range structured aftercare for residents.
(iii) Your proposed drug program must address the following goals
for residents:
(1) Increasing accessibility of treatment services;
(2) Decreasing drug-related crime ``in and around'' your housing
authority/development(s) by reducing and/or eliminating drug use; and
(3) Providing services designed for youth and/or adult drug abusers
and recovering addicts (e.g., prenatal and postpartum care, specialized
family and parental counseling, parenting classes, domestic or youth
violence counseling).
(iv) Approaches that have proven effective with similar populations
will be considered for funding. You must discuss in your overall
strategy the following factors:
(1) Formal referral arrangements to other treatment programs in
cases where the resident is able to obtain treatment costs from sources
other than this program.
(2) Family/youth counseling.
(3) Linkages to educational and vocational training and employment
counseling.
(4) Coordination of services from and to appropriate local
substance abuse/treatment agencies, HIV-related service agencies,
mental health and public health programs.
(v) As applicable, you must demonstrate a working partnership with
the Single State Agency or local, Tribal or State license provider or
authority with substance abuse program(s) coordination responsibilities
to coordinate, develop and implement your substance dependency
treatment proposal.
(vi) You must demonstrate that counselors (contractual or
otherwise) meet Federal, State, Tribal, and local government licensing,
bonding, training, certification and continuing training re-
certification requirements.
(vii) You must get certification from the Single State Agency or
authority with substance abuse and dependency programs coordination
responsibilities that your proposed program is consistent with the
State plan; and that the service(s) meets all Federal, State, Tribal
and local government medical licensing, training, bonding, and
certification requirements.
(viii) Funding is permitted for drug treatment of housing authority
residents at local in-patient medical treatment programs and
facilities. PHDEP funding for structured in-patient drug treatment
under PHDEP funds is limited to 60 days, and structured drug out-
patient treatment, which includes individual/family aftercare, is
limited to 6 months. If you are undertaking drug treatment programs,
your proposal must demonstrate how individuals that complete drug
treatment will be provided employment training, education and
employment
[[Page 9748]]
opportunities related to ``welfare to work.''
(ix) Funding is permitted for detoxification procedures designed to
reduce or eliminate the short-term presence of toxic substances in the
body tissues of a patient.
(x) Funding is not permitted for maintenance drug programs.
Maintenance drugs are medications that are prescribed regularly for a
short/long period of supportive therapy (e.g. methadone maintenance),
rather than for immediate control of a disorder.
(3) Resident Management Corporations (RMCs), Resident Councils
(RCs), and Resident Organizations (ROs). RMCs, and incorporated RCs and
ROs, may be a subcontractor to their housing authorities, or Tribe/
TDHE, to develop security and substance abuse prevention programs for
residents. Such programs may include voluntary tenant patrol
activities, substance abuse education, intervention, and referral
programs, youth programs, and outreach efforts. The elimination of
drug-related crime within housing authorities/developments must have
the active involvement and commitment of public and Indian housing
residents and their organizations. Active involvement requires that
residents be involved in the planning process and implementation.
To enhance the ability of housing authorities, and Tribes/TDHEs, to
combat drug-related crime within their developments, Resident Councils
(RCs), Resident Management Corporations (RMCs), and Resident
Organizations (ROs) may undertake program management functions,
notwithstanding the otherwise applicable requirements of 24 CFR part
964. Subcontracts with the RMC/RC/RO must include the amount of
funding, applicable terms, conditions, financial controls, payment
mechanism schedule, performance and financial report requirements,
special conditions, including sanctions for violating the agreement,
and monitoring requirements.
Costs must not be incurred until a written contract is executed.
(4) Employment of HA Security Personnel. You may employ HA security
personnel. Employment of security personnel is divided into two
categories: security personnel services, and housing authority police
departments. You are encouraged to involve police officials residing in
public housing to partake in PHDEP security-related programs. The
following specific requirements apply to all employment of security
personnel activities funded under PHDEP:
(a) Compliance. Security guard personnel and public housing
authority police departments must meet; and demonstrate compliance
with, all relevant Federal, State, Tribal or local government
insurance, licensing, certification, training, bonding, or other law
enforcement requirements.
(b) Law Enforcement Service Agreement. You must enter into a law
enforcement service agreement with the local law enforcement agency and
if applicable, the contract provider of security. Your service
agreement must include:
(i) The activities security guard personnel or the public housing
authority police department (HAPD) will perform; the scope of
authority; written policies, procedures, and practices that will govern
security personnel or HAPD performance (i.e., a policy manual and how
security guard personnel or the HAPD shall coordinate activities with
your local law enforcement agency);
(ii) The types of activities that your approved security guard
personnel or the HAPD are expressly prohibited from undertaking.
(c) Policy Manual. Security guard personnel services and PHPDs must
be guided by a policy manual that directs the activities of its
personnel and contains the policies, procedures, and general orders
that regulate conduct and describes in detail how jobs are to be
performed. The policy manual must exist before HUD will execute your
grant agreement. To comply with State police department standards and/
or Commission on Accreditation Law Enforcement Agencies (CALEA), you
must also ensure all security guard personnel and housing authority
police officers are trained in the following areas. These areas must
also be covered in your policy manual:
(i) Use of force;
(ii) Resident contacts;
(iii) Enforcement of HA rules;
(iv) Response criteria to calls;
(v) Pursuits;
(vi) Arrest procedures;
(vii) Reporting of crimes and workload;
(viii) Feedback procedures to victims;
(ix) Citizens' complaint procedures;
(x) Internal affairs investigations;
(xi) Towing of vehicles;
(xii) Authorized weapons and other equipment;
(xiii) Radio procedures internally and with local police;
(xiv) Training requirements;
(xv) Patrol procedures;
(xvi) Scheduling of meetings with residents;
(xvii) Reports to be completed;
(xviii) Record keeping and position descriptions on all
personnel;
(xix) Post assignments;
(xx) Monitoring;
(xxi) Self-evaluation program requirements; and
(xxii) First aid training.
(d) Data Management. A daily activity and incident complaint form
approved by the housing authority must be used by security personnel
and officers for the collection and analysis of criminal incidents and
responses to service calls. Security guard personnel and HAPDs must
establish and maintain a system of records management for the daily
activity and incident complaint forms that appropriately ensures the
confidentially of personal criminal information. Management
Informational Systems (MIS) (computers, software, and associated
equipment) and management personnel. Costs in support of these
activities are eligible for funding.
(5) Security Personnel Services. Contracting for, or direct housing
authority employment of, security personnel services in and around
housing development(s) is permitted under this program. However,
contracts for security personnel services must be awarded on a
competitive basis.
(a) Eligible Services--Over and Above. Security guard personnel
funded by this program must perform services that are over and above
those usually performed by local municipal law enforcement agencies on
a routine basis. Eligible services may include patrolling inside
buildings, providing personnel services at building entrances to check
for proper identification, or patrolling and checking car parking lots
for appropriate parking decals.
(b) Employment of Residents. HUD encourages you to employ qualified
resident(s) as security guard personnel, and/or to contract with
security guard personnel firms that demonstrate a program to employ
qualified residents as security guard personnel. Since your program of
eliminating drug-related crime should promote ``welfare to work'' an
excellent way to implement this is to employ residents.
(6) Employment of Personnel and Equipment for HUD Authorized
Housing Authority Police Departments. Funding equipment and employment
of housing authority police department (HAPD) personnel is permitted
for housing authorities that already have HAPDs. The following 12
housing authorities are approved by HUD as being eligible under the FY
1999 PHDEP for these activities:
Baltimore Housing Authority and Community Development, Baltimore, MD
Boston Housing Authority, Boston, MA
Buffalo Housing Authority, Buffalo, NY
[[Page 9749]]
Chicago Housing Authority, Chicago, IL
Cuyahoga Metropolitan Housing Authority, Cleveland, OH
Housing Authority of the City of Los Angeles, Los Angeles, CA
Housing Authority of the City of Oakland, Oakland, CA
Philadelphia Housing Authority, Philadelphia, PA
Housing Authority of the City of Pittsburgh, Pittsburgh, PA
Waterbury Housing Authority, Waterbury, CT
Virgin Islands Housing Authority, Virgin Islands
District of Columbia Housing Authority, Washington, DC
(a) Notice PIH 98-16, issued March 11, 1998, reinstated PIH 95-58
(PHA) ``Guidelines for Creating, Implementing and Managing Public
Housing Authority Police Departments in Public Housing Authorities).''
This Notice identifies prerequisites for creating HAPDs and provides
guidance to assist housing authorities in making decisions about public
housing security, analysis of security needs, and performance measures
and outcomes.
(b) Housing authorities with their own HAPDs, but that are not
included in the list above, shall request (in writing) to be recognized
by HUD as a HAPD. The written request must be sent to the Office of the
Deputy Assistant Secretary for Public and Assisted Housing Delivery,
Public and Indian Housing, Department of Housing and Urban Development,
Room 4204, 451 Seventh Street, SW, Washington, D.C. 20410. This request
must be approved by HUD before you submit your FY 1999 PHDEP
application.
(c)(i) HAPDs funded under this program that are not nationally or
state accredited must submit a plan and timetable for such
accreditation. Housing authorities may use either their State
accreditation program, if one exists, or the Commission on
Accreditation for Law Enforcement Agencies (CALEA) for this purpose.
Use of grant funds for HAPD accreditation activities is permitted.
(ii) Housing authorities receiving grants for funding HAPDs are
required to hire an HAPD accreditation specialist to manage the
accreditation program. HAPDs must submit a plan and timetable to be
funded for this activity. If you have a public housing police
department funded under the FY 1996, 1997, or 1998 PHDEP you must
demonstrate in your plan what progress you made in implementing your
accreditation program and the projected date of accreditation. HUD will
monitor results of your plan and timetable. HAPDs not meeting their
timetables will be ineligible for funding in FY 2000.
(d) If you are an applicant seeking funding for this activity, you
must describe the current level of local law enforcement agency
baseline services being provided to the housing authority/
development(s) proposed for assistance. Local law enforcement baseline
services are defined as ordinary and routine services provided to the
residents as part of the overall city and/or county-wide deployment of
police resources to respond to crime and other public safety incidents
including: 911 communications, processing calls for service, routine
patrol officer responses to calls for service, and investigative
follow-up of criminal activity.
(e) If you are requesting funding for housing authority public
housing authority police department officers, you must have car-to-car
(or other vehicles) and portable-to-portable radio communications links
between public housing authority police officers and local law
enforcement officers to assure a coordinated and safe response to
crimes or calls for services. The use of scanners (radio monitors) is
not sufficient to meet the requirements of this section. If you do not
have such links you must submit a plan and timetable for the
implementation of such communications links. This activity is eligible
for funding. If you were a housing authority funded under the FY 1994,
1995, 1996, 1997, and/or 1998 PHDEP for public housing police
departments, you must demonstrate what progress has been made in
implementing its planned communications links.
(f) HAPDs funded under this program that are not employing a
community policing concept must submit a plan and timetable for the
implementation of community policing with their application for
funding. If you were a housing authority funded under the FY 1994,
1995, 1996, 1997, or 1998 PHDEP for HAPDs shall demonstrate what
progress they have made in implementing a community policing program.
(g) Community policing under PHDEP is defined as a method of
providing law enforcement services partnership among residents, police,
schools, churches, government services, the private sector, and other
local, State, Tribal, and Federal law enforcement agencies to prevent
crime and improve the quality of life by addressing the conditions and
problems that lead to crime and fear of crime. Community policing uses
proactive measures including foot patrols, bicycle patrols, and motor
scooters patrols. It also includes KOBAN activities where police
officers operate out of police mini-stations, and other community-based
facilities in housing authorities providing human resource activities
with youth), and citizen contacts. This concept empowers police
officers at the beat and zone level and residents in neighborhoods to:
(i) Reduce crime and fear of crime;
(ii) Ensure the maintenance of order;
(iii) Provide referrals of residents, victims, and homeless persons
to social services and government agencies;
(iv) Ensure feedback of police actions to victims of crime; and
(v) Promote a law enforcement value system based on the needs and
rights of residents.
For additional information regarding KOBAN community policing
contact Cedric Brown, (202) 708-1197, extension 4057.
(h) Authorized PHPDs can purchase or lease law enforcement clothing
or equipment. Eligible law enforcement clothing or equipment may
include uniforms and protective vests; firearms/weapons and ammunition;
police vehicles including cars, vans, buses; or other equipment
supporting PHPDs crime prevention and security mission. If you have not
been identified by HUD as having an authorized PHPD, you are not
permitted to use PHDEP funds to purchase any clothing or equipment for
use by local municipal police departments and/or other law enforcement
agencies.
(7) Reimbursement of Local Law Enforcement Agencies for Additional
(Supplemental--Over and Above Local Law Enforcement Baseline Services)
Security and Protective Services. Additional security and protective
services are permitted if services are over and above the local police
department's current level of baseline services. Housing authorities,
Tribes, and TDHEs are required to identify the level of local law
enforcement services received and the increased level of services to be
received in their local Cooperation Agreement.
(8) Employment of Investigators. Employment of, and equipment for,
one or more individuals to investigate drug-related crime ``in and
around'' the real property comprising your development(s) and providing
evidence relating to such crime in any administrative or judicial
proceedings is permitted. Under this section, reimbursable costs
associated with the investigation of drug-related crimes (e.g., travel
directly related to the investigator's activities, or costs associated
with the investigator's testimony at judicial or administrative
proceedings) may only be those directly incurred by the investigator.
[[Page 9750]]
(a) If you are a housing authority that employs investigators
funded by this program, you must demonstrate compliance with all
relevant Federal, Tribal, State or local government insurance,
licensing, certification, training, bonding, or other similar law
enforcement requirements.
(b) Both you and the provider of the investigative services are
required to execute a written agreement that describes the following:
(i) The activities that your investigators will perform, their
scope of authority, reports to be completed, established investigative
policies, procedures, and practices that will govern their performance
(i.e., a Policy Manual; and how your investigators will coordinate
their activities with local, State, Tribal, and Federal law enforcement
agencies); and prohibited activities.
(ii) The activities the housing authority/Tribal investigators are
expressly prohibited from undertaking.
(c) Your investigator(s) may use PHDEP funds to purchase or lease
any law enforcement clothing or equipment, such as vehicles, uniforms,
ammunition, firearms/weapons, or vehicles; including cars, vans, buses,
protective vests, and any other supportive equipment.
(d) Your investigator(s) shall report on drug-related crime in your
developments. You must establish, implement and maintain a system of
records management that ensures confidentiality of criminal records and
information. Housing authority-approved activity forms must be used for
collection, analysis and reporting of activities by your investigators.
You are encouraged to develop and use Management Information Systems
(MIS) (Computers, software, hardware, and associated equipment) and
hire management personnel for crime and workload reporting in support
of your crime prevention and security activities.
(e) You may not expend funds and funds will not be released by the
local HUD Field Office/AONAP until you have met the requirements of
(6)(i)(d).
(9) Voluntary Tenant Patrols. HUD believes the elimination of drug-
related crime within and around the housing authority/development(s)
requires the active involvement and commitment of residents and their
organizations. Members of tenant patrols must be volunteers and must be
residents of the housing authority's development(s). Voluntary tenant
patrols are expected to patrol in your development(s) proposed for
assistance, and to report illegal activities to appropriate housing
authority staff, and local, State, Tribal, and Federal law enforcement
agencies, as appropriate.
(a) Training equipment, uniforms) for use by voluntary tenant
patrols acting in cooperation with officials of local law enforcement
agencies is permitted. All costs must be reasonable, necessary and
justified. Bicycles, motor scooters, all season uniforms and associated
equipment to be used, exclusively, by the members of your voluntary
tenant patrol are eligible items. Voluntary tenant patrol uniforms and
equipment must be identified with your specific housing authority/
development(s) identification and markings.
(b) Housing authorities are required to obtain liability insurance
to protect themselves and the members of the voluntary tenant patrol
against potential liability for the activities of the patrol under this
program. The cost of this insurance is eligible.
(c) If you are funding voluntary tenant patrol activities, you,
your local law enforcement agency, and the tenant patrol, before
expending grant funds, are required to execute a written agreement that
includes:
(i) The nature of the activities to be performed by your voluntary
tenant patrol, the patrol's scope of authority, assignment, policies,
procedures, and practices that will govern the voluntary tenant
patrol's performance and how the patrol will coordinate its activities
with the law enforcement agency;
(ii) The activities the voluntary tenant patrol is expressly
prohibited from undertaking and that the carrying or use of
firearms,weapons, nightsticks, clubs, handcuffs, or mace is prohibited;
(iii) Required initial and on-going voluntary tenant patrol
training members will receive from the local law enforcement agency;
(Please note that training by HUD-approved trainers and/or the local
law enforcement agency is required before putting a voluntary tenant
patrol into effect); and
(iv) Voluntary tenant patrol members will be subject to individual
or collective liability for any actions undertaken outside the scope of
their authority (described in paragraph (ii) above) and that such acts
are not covered under your housing authority liability insurance.
(d) PHDEP grant funds must not be used for any type of financial
compensation, such as full-time wages or salaries for voluntary tenant
and/or patrol participants. Funding for housing authority personnel or
resident(s) to be hired to coordinate this activity is permitted.
Excessive staffing is not submitted.
(10) Evaluation of PHDEP Activities. Funding is permitted to
contractually hire organizations and/or consultant(s) to conduct an
independent assessment and evaluation of the effectiveness of your
PHDEP program. You should include in your plan and budget contracting
with an independent survey organization to conduct an annual resident
survey in your targeted developments/areas. The amount of funding
proposed for conducting assessments or evaluations should be necessary,
reasonable, and justified. However, even except if adequately
justified, HUD would not expect that this cost should exceed ten (10)
percent of the total grant amount requested.
(11) High Intensity Drug Trafficking Areas (HIDTAs). Funding may be
used for activities to eliminate drug-related crime in housing owned by
a public housing agency that is not public housing assisted under the
United States Housing Act of 1937 and is not otherwise federally
assisted. For example, housing that receives tenant subsidies under
Section 8 is federally assisted and would not qualify, but housing that
receives only State, Tribal, or local assistance would qualify if it
meets the following two requirements:
(a) The housing is located in a high intensity drug trafficking
area designated pursuant to Section 1005 of the Anti-Drug Abuse Act of
1988 (see Appendix A); and
(b) The PHA owning the housing demonstrates, on the basis of
information submitted, that the drug-related crime at the housing
authority project has a detrimental affect in or around the housing.
The High Intensity Drug Trafficking Areas (HIDTAs) are areas
identified as having problems that adversely impact the rest of the
country.
(D) Ineligible Activities.
PHDEP funding is not permitted for any of the activities listed
below, unless otherwise specified in this PHDEP section of the
SuperNOFA.
(1) Costs incurred before the effective date of your grant
agreement (Form HUD-1044), including, but not limited to, consultant
fees related to the development of your application or the actual
writing of your application.
(2) The purchase of controlled substances for any purpose.
Controlled substance shall have the meaning provided in section 102 of
the Controlled Substance Act (21 U.S.C. 802).
(3) Compensation of informants, including confidential informants.
These should be part of the baseline services provided and budgeted by
local law enforcement agencies.
[[Page 9751]]
(4) Direct purchase or lease of clothing or equipment, vehicles
(including cars, vans, and buses), uniforms, ammunition, firearms/
weapons, protective vests, and any other supportive equipment for use
in law enforcement or military enforcement except for HAPDs and
investigator activities listed in this program section of the
SuperNOFA.
(5) Construction of facility space in a building or unit, and the
costs of retrofitting/modifying existing buildings owned by the housing
authorities and TDHEs for purposes other than: community policing mini-
station operations, adult/youth education, employment training
facilities, and drug abuse treatment activities.
(6) Organized fund raising, advertising, financial campaigns,
endowment drives, solicitation of gifts and bequests, rallies, marches,
community celebrations, stipends and similar expenses.
(7) Court costs and attorneys fees related to screening or evicting
residents for drug-related crime are not allowable.
(8) PHDEP grant funds cannot be transferred to any Federal agency.
(9) Costs to establish councils, resident associations, resident
organizations, and resident corporations are not allowable.
(10) Indirect costs are not allowable.
(11) Supplant existing positions/activities. For purposes of the
PHDEP, supplanting is defined as ``taking the place of or to
supersede''.
(12) Alcohol-exclusive activities and programs are not eligible for
funding under this program section of the SuperNOFA, although
activities and programs may address situations of multiple abuse
involving controlled substances and alcohol. This is because under law,
PHDEP is limited to only controlled substances.
IV. Program Requirements
Your application must meet all the applicable threshold
requirements described in Section II.B. of the General Section of this
SuperNOFA. In addition to the program requirements listed in the
General Section of this SuperNOFA, the following are requirements
specific to PHDEP:
(A) Maximum Grant Award Amounts
HUD is distributing grant funds for PHDEP under this SuperNOFA on a
national competition basis. Maximum grant award amounts are computed
for PHDEP on a sliding scale, using an overall maximum cap, depending
upon the number of housing authority, tribe or TDHE units eligible for
funding.
(1) PHAs. (a) The unit count includes rental, Turnkey III
Homeownership, and Section 23 leased housing bond-financed projects.
Eligible units are those that are under management and fully developed,
and must be covered by an ACC during the period of grant award. In
determining unit count for PHA-Owned Rental Housing, a long-term
vacancy unit as defined in 24 CFR 990.102 is included in the count.
(b) PHAs preparing PHDEP applications are required to confirm/
validate the unit count with the local Field Office (Office of Public
Housing) before you submit your application. Field Offices shall not
include non-Federally Assisted Housing located in High Intensity Drug-
Trafficking Areas in the unit count. Confirmation/Validation may be
given if the unit count to be used for a particular program (e.g., PHA-
Owned Rental) is the same as the unit count reflected on a PHA's most
recently approved Operating Budget (Form HUD-52564) and/or subsidy
calculation (Form HUD-52723) submitted for that program. Field Offices
that have PHAs that are not required to submit either of these forms
may confirm/validate the PHDEP unit count if it is the same as the most
recently submitted Form HUD-51234. Field Offices in validating the unit
count shall not include Non-Federally Assisted Housing units located in
High Intensity Drug-Trafficking Areas.
(2) Tribes and TDHEs. (a) The unit count includes rental, Turnkey
III and Mutual Help Homeownership units which have not been conveyed to
a homebuyer, and Section 23 lease housing bond-financed projects. Such
units must be counted as Current Assisted Stock under the Indian
Housing Block Grant Program.
(b) Eligible units are those units which are under management and
fully developed. However, you should note that in determining the unit
count for PHA-owned or Native American rental housing, a long-term
vacancy unit, as defined in 990.102 or 24 CFR 950.102 (as revised May
1, 1996), is still included in the count. If you are an applicant for
Native American housing developments, you must certify that the
targeted units were covered by an Annual Contributions Contract (ACC)
on September 30, 1997.
(c) Use the number of units counted as Formula Current Assisted
Stock for Fiscal Year 1999 as defined in 24 CFR 1000.316.
(3) FY 1999 grant award amounts. (i) If you are a PHA, Tribe, or
TDHE with 1-1,250 units: The maximum grant award cap is $300.00
multiplied by the number of eligible units.
(ii) If you are a PHA, Tribe, or TDHE with 1,251-24,999 units: The
maximum grant award is $260.00 multiplied by the number of eligible
units.
(iii) If you are a PHA, Tribe, or TDHE with 25,000-49,999 units:
The maximum grant award is $230.00 multiplied by the number of eligible
units.
(iv) If you are a PHA, Tribe, or TDHE with 50,000 or more units:
The grant award is $200.00 multiplied by the number of eligible units;
up to, but not to exceed, a maximum grant award of $35 million.
You can not apply for more funding than is permitted in accordance
with the maximum grant award amounts described above. If you request
funding that exceeds the maximum grant award amount permitted your
application will be rejected and you will not be eligible for any
funding, unless a computational error was involved in the funding
request.
(B) Complying With Civil Rights Requirements
To protect and insure the civil rights of occupants of HUD-
sponsored housing and residents around that housing, your proposed
strategies should ensure that you do not undertake crime-fighting and
drug prevention activities that violate civil rights and fair housing
statutes. You may not use race, color, sex, religion, national origin,
disability or familial status to profile persons as suspects or
otherwise target them in conducting these activities. You are
encouraged to involve as many segments of your intended population as
possible in developing and implementing your strategies.
(C) Section 3 Economic Opportunity
Please see Section II of the General Section of this SuperNOFA.
Section 3 may be applicable to some of your activities funded by this
PHDEP NOFA.
(D) Confidentiality of Records Requirements
You must establish a confidentiality policy regarding medical and
disability-related information for programs involving prevention,
intervention, or substance abuse/dependency treatment and aftercare.
(E) Commingling of Funds
Housing authorities must not co-mingle funds of multiple HUD
programs including: CIAP; CGP; OTAR; EDSS; TOP; IHBG; HOPE projects;
Family Investment; Elderly Service Coordinator; and Operating Subsidy.
[[Page 9752]]
(F) Term of Grant
Your grant funds must be expended within 24 months after HUD
executes a Grant Agreement. There will be no extensions of this grant
term and at the end of the grant term all unspent funds will be
returned to HUD.
(G) Reports and Closeout
(1) In accordance with 24 CFR 761.35, if funded, you are required
to submit semiannually a PHDEP Semi-Annual Performance Report and the
Semi-Annual Financial Status Report (SF-269A) to the appropriate HUD
Field Office.
(2) In the past, the PHDEP Semi-Annual Performance report was often
referred to as the ``narrative'' report. For FY 1999 PHDEP grants, HUD
will be requiring more specific data to facilitate providing more
meaningful performance information to comply with the requirements of
the Government Performance and Results Act (GPRA), and to provide
greater assurance that the program activities undertaken are effective
in reducing drugs and drug-related or violent crime in areas targeted
by PHDEP funds. These reports will evaluate your overall performance
under the grant, against the baselines and goals and objectives
contained in your approved FY 99 application.
(3) For FY 1999 grants, HUD will require selected applicants to
report semiannually on their progress in reducing drugs and drug-
related crime using the objective Part I and Part II crime data as a
baseline and the specific percentage reduction goals within targeted
areas over the 24 month grant period as stated in your application. HUD
will also be requiring you to report the number of full-time equivalent
positions for law enforcement and security services. Thirdly, you will
be reporting on PHDEP-supported activities for residents broken out by:
(1) youth; and (2) adults, families, or communities. For each category
of PHDEP-supported activities, other than law enforcement, you will be
required to report program or activity goals that are specific,
measurable and were contained in your application, the results achieved
and the total hours of participation in the activity. Lastly, you will
be required to have an independent survey organization conduct an
annual resident survey within the PHDEP targeted developments to
determine if residents feel safer than before PHDEP activities began.
(4) These PHDEP Semi-Annual Performance Reports shall cover the
periods ending June 30 and December 31, and must be submitted to HUD by
July 30 and January 31 of each year. You must submit these reports
electronically. Access to grants funds will be denied if these reports
are not received on a timely basis.
(5) At grant completion, you must comply with the closeout
requirements described in Public Housing Notice PIH 98-60 (HA),
entitled ``Grant Closeout Procedures,'' and, when appropriate, in the
return of grant funds not expended according to applicable
requirements.
(H) Affirmatively Furthering Fair Housing
The first two sentences of the requirement in Section II.(D) of the
General Section of this SuperNOFA do not apply to this program.
V. Application Selection Process
(A) Rating and Ranking
(1) General. HUD will rate and rank applications based on the 5
rating factors listed in Section V(B) of this PHDEP section of the
SuperNOFA, below. HUD will select and fund the highest ranking
applications based on total score, and continue the process until all
funds allocated to it have been awarded or to the point where there are
insufficient acceptable applications for to award funds. The maximum
number of points for this program is 102. This includes two EZ/EC bonus
points, as described in the General Section of the SuperNOFA, and
included under Rating Factor 3.
(2) Tiebreakers. In the event of a tie, HUD will select the highest
ranking application that can be fully funded. In the event that two
eligible applications receive the same score, and neither can be funded
because of insufficient funds, the applicant with the highest score in
rating factor two will be funded. If rating factor two is scored
identically, the scores in rating factors one and four will be compared
in that order, until one of the applications receives a higher score.
If both applications still score the same then the application which
requests the least funding will be selected in order to promote the
more efficient use of resources.
(B) Factors For Award to Evaluate and Rank Applications. Your
application must address the five (5) factors, and subfactors listed
below. The maximum number of points for this program is 102. This
includes the two bonus points for EZ/EC. Your application must receive
a score of at least 70 points to be eligible for funding.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
This factor addresses the extent to which you have the capacity,
the proper organizational experience and resources to implement the
proposed activities in a timely and effective manner. The rating of the
``applicant'' or the ``applicant's organization and staff'' for
technical merit, unless otherwise specified, includes any
subcontractors, consultants, subrecipients, and members of consortia
which are firmly committed to your project. In rating this factor, HUD
will consider the following:
(1) (10 points.) The knowledge and experience of your staff and
your administrative capability to manage grants of this size and type.
This includes your administrative support and procurement entities,
defined organizational lines of authority, and demonstrated fiscal
management capacity.
(2) (10 points.) Past performance in administering Drug Elimination
grants and/or other Federal, state or local grants of similar size and
complexity during the last 3 years.
You must identify your participation in HUD grant programs within
the last three years and discuss the degree of your success in
implementing planned activities, achieving program goals and
objectives, timely drawdown of funds, timely submission of required
reports with satisfactory outcomes within budget and schedule, audit
compliance, whether there are, and the extent of any, unresolved
findings and/or outstanding recommendations from prior HUD reviews or
audits undertaken by HUD, HUD-Office of Inspector General, the General
Accounting Office (GAO) or independent public accountants (IPAs). For
PHAs (and TDHEs that had previously applied as IHAs), HUD will consider
the results of: PHMAP and more specifically Security Indicator #8,
physical inspections, agency monitoring of records, Line of Credit
Control System Reports (LOCCS) on the status of prior grants, audits
and other relevant information available to HUD on your capacity to
undertake this grant.
In response to HUD-OIG audit findings concerning outstanding,
unexpended PHDEP funds remaining from prior grants, HUD will reduce
your score by two (2) points for every open PHDEP grant for FY 91
through FY 95 without HUD approved extensions or waivers. HUD will use
the LOCCS disbursement system as of the date the application is
received to verify grant status.
[[Page 9753]]
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor examines the extent to which there is a need for
funding the proposed program activities to address a documented problem
in your proposed target area (i.e., the degree of the severity of the
drug-related crime problem in the project proposed for funding). In
responding to this factor, you will be evaluated on: (1) the extent to
which a critical level of need for your proposed activities is
explained; and (2) the urgency of meeting the need in the target area.
You must include in your response a description of the extent and
nature of drug-related crime ``in or around'' the housing units or
developments proposed for funding.
Applicants will be evaluated on the following:
(1) (20 points) ``Objective Crime Data'' relevant to your target
area. To the extent that you can provide objective drug-related crime
data specific to the community or targeted development proposed for
funding, you will be awarded up to 20 points. Objective crime data must
include the most current and specific Part I Crime data and relevant
Part II Crime data available from the FBI's Uniform Crime Reporting
Program (UCR) system or the local law enforcement's crime statistics.
Part I Crimes include: homicide; rape; robbery; aggravated assault;
burglary; larceny; auto theft; and arson. Part II drug-related crimes
include: drug abuse violations; simple assault; vandalism; weapons
violations; and other crimes which you are proposing to be targeted as
part of your grant. In assessing this subfactor, HUD will consider the
extent of specificity that the statistical data is provided and the
data's specificity to the targeted sites (e.g., data specific to those
targeted developments proposed for funding by Part I crime type versus
HA/TDHE-wide data by aggregated Part I crimes).
The objective crime data provided in your application will become a
``baseline'' against which the success of your grant activities will be
measured if funded. You will also be required to report not only this
objective crime data in your first PHDEP Semiannual Performance Report
but your goal(s) for reducing drug-related crime in the developments
targeted under your grant. Your grant will be measured against these
targets. This information will also support the ONDCP's National Drug
Control Strategy's Goal 2 to, ``increase the safety of America's
citizens by substantially reducing drug-related crime and violence.''
If you can not provide objective crime data, you will receive 5
points for including:
(a) The reasons why objective crime data can not be obtained;
(b) The efforts being made to obtain it;
(c) What efforts will be made during the grant period to begin
obtaining the data; and
(d) An explanation of how you plan to measure how grant activities
will result in reducing drug-related crime in the targeted developments
and what will be used as a baseline. If you can not provide objective
crime data and are awarded an FY 99 PHDEP grant, you will be required
to provide baseline objective crime data in your first PHDEP semi-
annual report. Such data may include police records or other verifiable
information from records on the types or sources of drug related crime
in the targeted developments and surrounding area, PHA/Tribe or TDHE
wide, or at jurisdictional level.
(2) (5 Points) Other Data Supporting the extent of Drug and Drug-
related Crime. You must identify supporting data indicating the extent
of drugs and drug-related crime problems in the developments proposed
for assistance under your program. HUD will consider the extent and
quality of the data provided. Examples of the data include:
(a) Surveys of residents and staff in your targeted developments
about drugs and drug-related crime or on-site reviews to determine
drug/crime activity;
(b) Government or scholarly studies or other research in the past
year that analyze drug-related crime activity in your targeted
developments.
(c) Annual vandalism cost at your targeted developments, to include
elevator vandalism (where appropriate) and other vandalism attributable
to drug-related crime as a ratio to total annual approved budget for
the targeted developments.
(d) Information from schools, health service providers, residents
and Federal, State, local, and Tribal officials, and the verifiable
opinions and observations of individuals having direct knowledge of
drug-related crime and the nature and frequency of these problems in
developments proposed for assistance. (These individuals may include
Federal, State, Tribal, and local government law enforcement officials,
resident or community leaders, school officials, community medical
officials, substance abuse, treatment (dependency/remission) or
counseling professionals, or other social service providers).
(e) The school dropout rate and level of absenteeism for youth that
you can relate to drug-related crime as a percentage or ratio of the
rate outside the area.
(f) To the extent that your community's Consolidated Plan
identifies the level of the problem and the urgency in meeting the
need, references to these documents should be included in your
response. The Department will review more favorably applicants who used
these documents to identify need, when applicable.
(g) The number of lease terminations or evictions for drug-related
crime at the targeted developments; and
(h) The number of emergency room admissions for drug use or that
result from drug-related crime. Such information may be obtained from
police Departments and/or fire departments, emergency medical service
agencies and hospitals.
(i) The number of police calls for service from housing authority
developments that include resident initiated calls, officer-initiated
calls, domestic violence calls, drug distribution complaints, found
drug paraphernalia, gang activity, graffiti that reflects drugs or
gang-related activity, vandalism, drug arrests, and abandoned vehicles.
You should show these as a ratio of calls for service to calls in the
community as a whole.
Rating Factor 3: Soundness of Approach--(Quality of the Plan) (35
Points)
This factor examines the quality and effectiveness of your proposed
work plan. In rating this factor, HUD will consider the impact of your
activities on the drug and drug-related crime problems identified in
Factor 2 and the extent to which you identify attainable goals,
objectives, and performance measures to ensure that; tangible benefits
can be attained by the community and by your target population.
Your application must include a detailed narrative describing: each
proposed activity for your developments proposed for assistance; the
amount and extent of resources committed to each activity or service
proposed; measurable goals and objectives for all major program
activities that focus on outcome and results; and the process used to
collect the data needed to report progress made against these goals.
In evaluating this factor, HUD will consider the following:
(1) The quality of your plan to address the drug-related crime
problem, and the problems associated with drug-related crime in your
developments proposed for funding, the resources allocated, and how
well the proposed activities fit with the plan, including:
[[Page 9754]]
(a) The extent to which you have stated:
(i) Performance goals that will measure program outcomes;
(ii) The actual baseline data which will establish a starting point
against which program outcomes will be measured and stated expected
results for all major grant activities proposed in your application;
(iii) What performance measurement system exists for providing
information to HUD semi-annually on progress made in achieving the
established outcome goals. Please note: If your application is funded,
this information will be the basis for required semi-annual reporting
throughout your grant period.
(b) The extent to which you have designed your major activities to
meet stated, measurable goals and objectives for drug and drug-related
crime reduction. The extent to which your goals and objectives focus on
program outcomes and results in addition to ``process or output'' data
measures. While measures of process or outputs (number of residents
trained) are important, they do not measure program outcomes. Outcomes
include accomplishments, results, impact, and the ultimate effects of
your program on the drug or crime problem in your target/project area.
The goals must be objective, quantifiable, and/or qualitative and they
must be stated in such a way that at the end of the 24 month grant, one
can determine if the activities were effective.
(c) The extent and quality of your plan in defining specific crime
reduction goals that are specific and measurable, and defining
``baselines from objective crime'' data in Factor 2. For example,
eliminate or reduce crime and drug-related crime is not specific nor
measurable, whereas a goal of, ``reducing Part 1 reported homicides or
Part II drug abuse, etc. by 5% in development X by the end of the 24
month grant period based on measurements against the baseline year
crime selection rate in the targeted development X as stated in the
application,'' is specific and measurable.
(d) The rationale for your proposed activities and methods used
including evidence that proposed activities have been effective in
similar circumstances in controlling drug-related crime. If you are
proposing new methods for which there is limited knowledge of the
effectiveness, you should provide the basis for modifying past
practices and rationale for why you believe the modification will yield
more effective results.
If you are proposing PHDEP supported activities for residents, HUD
will evaluate the quality and extent to which you provide measurable,
specific and objective goals and objectives for your major activities
and programs; and how the data to measure success against your goals
will be obtained. HUD will award greater points if you report youth
activities separately from activities for families, adults, or
communities.
(2) Two bonus points will be awarded for EZs/ECs as described in
the General Section of this SuperNOFA. For bonus points related to
activities located in Empowerment Zones or Enterprise Communities, the
applicant must demonstrate that there is a connection between such EZ
or EC and tenant, local government, and local community support and
participation in the design and implementation of the proposed
activities to be funded under this program.
Rating Factor 4: Leveraging Resources--(Support of Residents, the Local
Government and the Community in Planning and Implementing the Proposed
Activities) (10 Points)
This factor addresses your ability to secure community and
government resources that can be combined with HUD's program resources
to achieve program purposes.
(1) In assessing this factor, HUD will consider the following:
(a) Evidence of commitment of funding, staff, or in-kind resources,
partnership agreements, and on-going or planned cooperative efforts
with law enforcement agencies, memoranda of understanding, or
agreements to participate. Such commitments must be signed by an
official of the organization legally able to make commitments for the
organization.
(b) This evidence of commitment must include organization name,
resources, and responsibilities of each participant. This also includes
interagency activities already undertaken, participation in local,
state, Tribal or Federal anti-drug related crime efforts such as:
education, training and employment provision components of Welfare
Reform efforts, ``One Strike and You're Out,'' Operation Weed and Seed,
Neighborhood Networks, Campus of Learners, Computerized Community
Connections, Operation Safe Home, Safe Neighborhood Anti-drug Program
(SNAP), local law enforcement initiatives and/or successful
coordination of its law enforcement, or other activities with local,
state, Tribal or Federal law enforcement agencies. Additional points
will be given if your activities supporting these efforts extend beyond
the 24 month grant period.
(2) In evaluating this factor, HUD will also consider the extent to
which these initiatives are used to leverage resources for your housing
authority community, and are part of the comprehensive plan and
performance measures outlines in Rating Factor 3, Soundness of
Approach--Quality of the Plan.
(a) Your application must describe what role residents in your
targeted developments, applicable community leaders and organizations,
and law enforcement agencies have had in planning the activities
described in your application and what role they will have in carrying
out such activities.
(b) Your application must include a discussion of the extent to
which community representatives and Tribal, local, state and Federal
Government officials, including law enforcement agency officials were
actively involved in the design and implementation of your plan and
will continue to be involved in implementing such activities during and
after the period of your PHDEP funding.
(c) Your application must demonstrate the extent to which the
relevant governmental jurisdiction has met its local law enforcement
obligations under the Cooperation Agreement with your organization (as
required by the Annual Contributions Contract with HUD). You must
describe the current level of baseline local law enforcement services
being provided to your housing authority/developments proposed for
assistance.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you have coordinated your
activities with other known organizations, participate or promote
participation in your Community's Consolidated Planning Process, and is
working towards addressing a need in a holistic and comprehensive
manner through linkages with other activities in your community. In
evaluating this factor, HUD will consider the extent to which you can
demonstrate 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 you will take to share information on solutions and outcomes with
others. Any written agreements, memoranda of understanding in place, or
that will be in place after award should be described.
[[Page 9755]]
(2) Taken or will take specific steps to become active in your
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 you propose.
(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
(A) You must comply with the submission requirements described in
the General Section of the SuperNOFA. To qualify for a grant under this
program, your application submitted to HUD must also include those
requirements listed under Section V., above, of the PHDEP section of
this SuperNOFA, including the plan to address the problem of drug-
related crime in the developments proposed for funding. You must
accurately complete the form for HUD's application database entry. The
form, with examples, is provided in the application kit.
(B) You must submit no more than one application per housing
authority (or per Tribe or TDHE on behalf of the Tribe) for each drug
elimination program contained in this PHDEP section of the SuperNOFA.
In addition, joint applications that include more than one housing
authority (or TDHE representing the Tribe) are permitted only in those
cases where the HAs have a single administration (such as HAs managing
another HA under contract or HAs sharing a common executive director).
In those cases, a separate budget, plan and timetable, and unit count
shall be supplied in the application. In addition, you must respond to
the factors for award for each HA for which you are acting as
administrator and requesting funds, if your responses would be
different (e.g., the HAs are in different jurisdictions and, therefore,
the Consolidated Plans, crime data, etc. would all be different). The
application kit includes the forms, certifications and assurances
listed in the General Section of the SuperNOFA.
(C) Each PHDEP application must conform to the requirements of this
PHDEP section of the SuperNOFA and the PHDEP application kit, both in
format and content. Each PHDEP application must include the following
items:
(1) An application cover letter.
(2) A summary of the proposed program activities in five (5)
sentences or less.
(3) A description of the subgrantees, if applicable. The
description must include the names of the subgrantees, as well as the
relative roles and contributions of each subgrantee in implementing the
PHDEP grant activities.
(4) An overall budget and timetable that includes separate budgets,
goals, and timetables for each activity, and addresses milestones
towards achieving each described goal. You must also describe the
contributions and implementation responsibilities of each partner for
each activity, goal, and milestone.
(5) A description of the number of staff, the titles, professional
qualifications, and respective roles of the staff assigned full or
part-time to grant implementation.
(6) Your plan and lines of accountability (including an
organization chart) for implementing the grant activity, coordinating
the partnership, and assuring that the commitment made by you and your
subgrantees will be met.
VII. Corrections to Deficient Applications
The General Section of this SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
It is anticipated that activities under the PHDEP will be
categorically excluded under 24 CFR 50.19(b)(4), (b)(12), or (b)(13).
If grant funds will be used to cover the cost of any non-exempt
activities, HUD will perform an environmental review to the extent
required by 24 CFR part 50, prior to grant awards.
IX. Authority
Chapter 2, Subtitle C, Title V of the Anti-Drug Abuse Act of 1988
(42 U.S.C. 11901 et. seq), as amended by section 581 of the National
Affordable Housing Act of 1990 (Pub.L. 101-625, approved November 28,
1990) (NAHA), and section 161 of the Housing and Community Development
Act of 1992 (Pub.L. 102-550, approved October 28, 1992 (HCDA 1992). The
regulations for this program are found in 24 CFR part 761, Drug
Elimination Programs.
Appendix A
Additional Information on High Intensity Drug Trafficking Areas
(HIDTAs). These areas are designated as HIDTAs by the Director,
Office of National Drug Control Policy (ONDCP), pursuant to the
Anti-Drug Abuse Act of 1988. As of October 30, 1998, the following
areas were confirmed by the ONDCP as designated HIDTAs:
--New York/New Jersey HIDTA consists of the city of New York and all
the municipalities therein and Nassau, Suffolk, and Westchester
Counties (in New York), and Union, Hudson, Essex, Bergen, and
Passaic Counties (in New Jersey) and all municipalities therein.
--Washington, DC/Baltimore HIDTA consists of Washington, DC; the
City of Baltimore, and Baltimore, Howard, Anne Arundel, Prince
George's, Montgomery and Charles Counties (in Maryland); and the
City of Alexandria, and Arlington, Fairfax, Prince William, and
Loudoun Counties (in Virginia) and all municipalities therein.
--South Florida HIDTA consists of the city of Miami and the
surrounding areas of Broward, Dade, and Monroe Counties and all
municipalities therein.
--Houston HIDTA consists of the city of Houston and surrounding
areas of Harris, and Galveston Counties, and Aransas, Brooks, Jim
Wells, Kenedy, Kleberg, Nueces, Refugio, San Patricio, and Victoria
counties, and all municipalities therein;
--Lake County HIDTA consists of Lake County, Indiana, and all
municipalities therein.
--Gulf Coast HIDTA consist of Baldwin, Jefferson, Mobile, and
Montgomery Counties (in Alabama); Caddo, East Baton Rouge,
Jefferson, and Orleans Parishes (in Louisiana); and Hancock,
Harrison, Hinds, and Jackson Counties (in Mississippi) and all the
municipalities therein.
--Midwest HIDTA consists of Muscatine, Polk, Pottawattamie, Scott
and Woodbury Counties (in Iowa); Cherokee, Crawford, Johnson,
Labette, Leavenworth, Saline, Seward, and Wyandotte Counties (in
Kansas); Cape Garardeau, Christian, Clay, Jackson, Lafayette,
Lawrence, Ray, Scott, and St. Charles Counties, and the City of St.
Louis (in Missouri); Dakota, Dawson, Douglas, Hall, Lancaster,
Sarpy, and Scott's Bluff Counties (in Nebraska); Clay, Codington,
Custer, Fall River, Lawrence, Lincoln, Meade, Minnehaha, Pennington,
Union, and Yankton Counties (in South Dakota); and all
municipalities therein.
--Rocky Mountains HIDTA consists of Adams, Arapahoe, Denver,
Douglas, Eagle, El Paso, Garfield, Jefferson, La Plata, and Mesa
Counties (in Colorado); Davis, Salt Lake, Summit, Utah, and Weber
Counties (in Utah); and Laramie, Natrona, and Sweetwater Counties
(in Wyoming) and all municipalities therein.
--Southwest Border HIDTA consists of San Diego and Imperial Counties
(in California), and all municipalities therein; Yuma, Maricopa,
Pinal, Pima, Santa Cruz, and Cochise Counties, (in Arizona) and all
municipalities therein; Bernalillo, Hidalgo, Grant, Luna, Dona Ana,
Eddy, Lea, and Otero, Chaves, and Lincoln counties, (in New Mexico)
and all municipalities therein; El Paso, Hudspeth, Culberson, Jeff
Davis, Presidio, Brewster, Pecos, Terrell, Crockett Counties (in
West Texas) and all
[[Page 9756]]
municipalities therein; Bexar, Val Verde, Kinney, Maverick, Zavala,
Dimmit, La Salle, Webb, Zapata, Jim Hogg, Starr, Hildago, Willacy
and Cameron Counties (in South Texas) and all municipalities
therein.
--Northwest HIDTA consists of King, Pierce, Skagit, Snohomish,
Thurston, Whatcom and Yakima Counties (in the State of Washington)
and all municipalities therein.
--Los Angeles HIDTA consists of the city of Los Angeles and
surrounding areas of Los Angeles, Orange, Riverside, and San
Bernadino Counties, and all municipalities therein.
--Puerto Rico/U.S. Virgin Islands HIDTA consists of the U.S.
territories of Puerto Rico and the Virgin Islands.
--San Francisco Bay Area HIDTA consists of Alameda, Contra Costa,
Lake, Marin, Monterey, San Francisco, San Mateo, Santa Clara, Santa
Cruz, Sonoma counties and all the municipalities therein.
--Appalachia HIDTA consist of Adair, Bell, Breathitt, Clay, Clinton,
Cumberland, Floyd, Harlan, Jackson, Knott, Knox, Laurel, Lee,
Leslie, McCreary, Magoffin, Marion, Monroe, Owsley, Perry, Pike,
Pulaski, Rockcastle, Taylor, Wayne, and Whitley counties in
Kentucky; Boone, Braxton, Cabell, Gilmer, Lewis, Lincoln, Logan,
Mason, McDowell, Mingo and Wayne Counties in West Virginia, Bledsoe,
Campbell, Claiborne, Clay, Cocke, Cumberland, Fentress, Franklin,
Grainger, Greene, Grundy, Hamblen, Hancock, Hawkins, Jackson,
Jefferson, Macon, Marion, Overton, Pickett, Putnam, Rhea, Scott,
Sequatchie, Sevier, Unicoi, Van Buren and White Counties in
Tennessee and all the municipalities therein.
--Central Florida HIDTA consists of Hillsborough, Orange, Osceola,
Pinellas, Polk, Seminole, and Volusia counties and all the
municipalities therein.
--Chicago HIDTA consists of Cook County, incorporating the City of
Chicago.
--Atlanta HIDTA consists of Fulton, Dekalb counties and the City of
Atlanta.
--Milwaukee HIDTA consists of Milwaukee county and all the
municipalities therein.
--Southeastern Michigan HIDTA consists of Wayne, Oakland, Macomb,
and Washtenaw counties and all the municipalities therein.
--Philadelphia/Camden HIDTA: consists of the Cities of Philadelphia
and Camden.
--North Texas HIDTA consists of the cities of Dallas and Fort Worth,
the surrounding counties of Collin, Dallas, Ellis, Henderson, Hood,
Hunt, Johnson, Lubbock, Kaufman, Parker, Rockwall and Tarrant, Texas
and all the municipalities therein.
For further information on HIDTAs contact Rich Yamamoto, at the
ONDCP, Executive Office of the President, Washington, DC 20500 on
(202) 395-6755 and/or Catherine S. Barker on (202) 395-6603, fax
(202) 395-6841.
BILLING CODE 4210-32-P
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9757]]
[GRAPHIC] [TIFF OMITTED] TN26FE99.031
BILLING CODE 4210-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9759]]
Funding Availability for the New Approach Anti-Drug Program
(Formerly Known as the Safe Neighborhood Grant Program)
Program Overview
Purpose of the Program. The purpose of this program is to provide
funding to owners or managers of certain housing developments to: (1)
augment security; (2) assist in the investigation and prosecution of
drug-related criminal activity in and around the housing developments;
and (3) provide for the development of capital improvements directly
relating to the security of the developments. With these grants, HUD is
taking a comprehensive neighborhood/community-based approach to crime
prevention. In applying, you will be required to demonstrate that you
have formed a partnership with units of general local government,
including with the local law enforcement agency to play key roles in
this partnership.
Available Funds. Approximately $28.3 million, which includes FY
1998 carryover funds.
Eligible Applicants. Eligible applicants include: units of general
local government, public housing agencies (PHAs), Indian tribes or
Tribally Designated Housing Entities (TDHEs), and owners of assisted
housing developments. To be an eligible applicant you must be an owner
of an assisted housing development, as defined in this program section
of the SuperNOFA, except a unit of general local government may qualify
if it operates an assisted housing development. The assisted housing
development that makes a PHA eligible may not be assisted under the
United States Housing Act of 1937 with the exception of project-based
Section 8 assistance. Similarly, for an Indian tribe or a TDHE, the
development may not be formerly assisted under those programs.
Application Deadline. July 1, 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.
Application Due Date. Your application must be physically received
on or before 6:00 pm, local time on July 1, 1999 at the address shown
below.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. An original and two copies of
your application must be physically received on or before the
application deadline at the local HUD Field Office, Attention: Director
of Multifamily Housing Programs or, in the case of the Native American
population, to the local HUD Administrator, Area Offices of Native
American Programs (AONAPs), as appropriate. See Appendix A to this NOFA
for a list of local HUD Field Offices, AONAPs, and their respective
jurisdictions.
For Application Kits. For an application kit and any supplemental
information, please call the SuperNOFA Information Center at 1-800-HUD-
8929. When requesting an application kit, please refer to the New
Approach Anti-Drug Program, and provide your name, address (including
zip code) and telephone number (including area code). Persons with
hearing or speech impairments may call the Center's TTY number at 1-
800-483-2209. An application kit also will be available on the Internet
through the HUD web site at http://www.HUD.gov.
For Further Information and Technical Assistance. For program,
policy, and other guidance, contact Henry Colonna, Department of
Housing and Urban Development, Virginia State Office, 3600 West Broad
Street, Richmond, VA 23230-4920, telephone (804) 278-4500, x 3027, or
(804) 278-4501 (the TTY number).
II. Amount Allocated
(A) Available Funding
Approximately $28.3 million is available for funding under the New
Approach Anti-Drug Program, as provided in the FY 1999 Appropriations
Act, including FY 1998 carryover funding.
(B) Maximum Grant Award
The maximum grant award amount is limited to $250,000 per
application.
(C) Reduction of Requested Grant Amounts
You may be awarded an amount less than requested if:
(1) HUD determines that some elements of the proposed action plan
are ineligible for funding;
(2) HUD determines the amount requested for an eligible activity
and/or any budget line item is not cost effective;
(3) Insufficient amounts remain under the allocation to fund the
full amount you requested, and HUD determines that partial funding is a
viable option; or
(4) HUD determines that a reduced grant would prevent duplicative
Federal funding.
III. Definitions, Program Description; Eligible Applicants;
Eligible Activities
(A) Definitions
(1) Assisted Housing Development. For purposes of this program, the
term ``assisted housing development'' means five or more dwelling units
in a building or five or more adjoining, adjacent, or scattered site
(within a single neighborhood) dwelling units, having common ownership
and project identity. Some or all of the units must be receiving a
project-based subsidy from a unit of government at the Federal, State,
or local level, or from a private nonprofit entity. This subsidy must
be associated with a requirement and/or contractual agreement that all
or a portion of the units be occupied by households with incomes at or
below those of families at the low-income limit as defined by the
United States Housing Act of 1937.
(2) Assisted Housing Unit. For purposes of this program, the term
``assisted housing unit'' means a unit within an assisted housing
development for which occupancy is restricted to households with
incomes at or below that of ``low-income families'' as defined by the
U.S. Housing Act of 1937 or to households meeting an income standard
below that defined as ``low-income;'' and rents are restricted to
amounts that the public or nonprofit entity determines to be
affordable.
(3) Augmented Services. For purposes of this program, augmented
services are activities which exceed current levels of services or
``baseline'' services provided by any other parties signing the
memorandum of understanding required for this program.
(4) Drug-related crime. For purposes of this New Approach Anti-Drug
Program, the term ``drug-related crime'' means drug-related crime as
defined in 42 U.S.C. 11905(2) and Part I Crime and Part II Crime as
defined by the Uniform Crime Reporting System.
(5) Eligible project area. For purposes of the New Approach Anti-
Drug Program, the term ``neighborhood'' means a geographic area within
a jurisdiction of a unit of general local government designated in
comprehensive plans, ordinances, or other local documents as a
neighborhood, village, or similar geographical designation. If,
however, the unit of general local government has a population of less
than 25,000 persons, then ``neighborhood'' means
[[Page 9760]]
the entire jurisdiction of the unit of general local government.
(c) A project area must include at least one assisted housing
development under:
(i) Section 221(d)(3), section 221(d)(4), or section 236 of the
National Housing Act (12 U.S.C. 1715l, 1715z-1), provided that such
development has been provided a Below Market Interest Rate mortgage,
interest reduction payments, or project-based assistance under Rent
Supplement, Rental Assistance Payments (RAP) or Section 8 programs. An
FHA-insured project that has no project-based subsidy does not qualify
as an area for eligibility even though it houses tenants receiving
tenant-based assistance, such as Section 8 rental vouchers or
certificates.
(ii) Section 101 of the Housing and Urban Development Act of 1965
(12 U.S.C. 1701s); or
(iii) Section 8 of the United States Housing Act of 1937 (42 U.S.C.
1437f). This includes housing with project-based Section 8 assistance,
whether or not the mortgage was insured by HUD-FHA, but does not
include projects which receive only Section 8 tenant-based assistance
(i.e., certificates or vouchers).
(5) Project-based Subsidies. For purposes of this program, the term
``project-based subsidies'' means financial assistance that is
initially designated and assigned by the funding source specifically
for the project rather than to eligible assisted resident households
which might also benefit from these subsidies, and provided on a one
time up-front or on a periodic basis to the project or its owner to
write down, subsidize, or waive: project development costs; costs of
financing; project operating costs (including but are not limited to:
utilities, taxes, fees, maintenance and debt service payments); owner
taxes; unit rent levels; or tenant rent payments.
(B) Program description
(1) Purpose. The purpose of these competitive grants is to assist
entities managing or operating Federally assisted multifamily housing
developments, public and Indian housing developments (including those
Indian housing units formerly defined as public housing under section 3
of the U.S. Housing Act of 1937 and now counted as current assisted
stock under the Indian Housing Block Grant Program), or other
multifamily-housing developments for low-income families supported by
non-Federal governmental housing entities or similar housing
developments supported by nonprofit private sources, to augment
security (including personnel costs); assist in the investigation and/
or prosecution of drug-related criminal activity in and around such
developments, and provide for capital improvements that enhance
security at these developments.
Drug- and crime-fighting activities, if only directed to a single
assisted housing development, may have the unfortunate effect of simply
moving the problem to nearby housing and businesses. The long term
solution to the crime problems of assisted housing developments and
their surrounding neighborhoods rest in a comprehensive approach that
changes the conditions--and the culture that exists. HUD believes that
crime fighting efforts are most effective when partnering takes place
with law-enforcement agencies at various levels and with a full range
of community stakeholders (such as PHAs and TDHEs). Therefore, to
address crime in a comprehensive manner to receive funding, you must
take the following actions:
(a) Have a subgrantee or subrecipient relationship with the local
police department and the local district attorney or prosecutor's
office. If the local police department, local district attorney or
prosecutor's office does not have the legal authority to accept program
funds or enter into a binding agreement with you, then you must provide
funds through the unit of general local government--city or county.
(b) Enter into Memorandums of Understanding with the owners of, and
resident organizations in, assisted housing developments that receive
grant funds from you.
(c) Encourage other neighborhood based entities to participate in
your program of activities through partnership arrangements. Such
entities are community residents; neighborhood businesses; and non-
profit providers of support services, including spiritually-based
organizations and their affiliates.
(2) Implementation Principles. HUD has established the following
principles in implementing the New Approach Anti-Drug Program Grants:
(a) Comprehensive Approach. With these grants, HUD is taking a
comprehensive neighborhood/community-based approach to crime. The long
term solution to the crime problems of assisted housing developments
and their surrounding neighborhoods rests in changing the conditions--
and the culture that exists.
(b) Required Partnerships. You will be required to demonstrate that
you have formed a partnership with units of general local government,
with the local police department and the local district attorney or
prosecutor's office playing key roles in this partnership. You must
also form partnerships with the following entities, if they will
receive funding from you:
(i) All owners of assisted housing developments in the targeted
neighborhood; and
(ii) Resident organizations of these assisted housing developments.
(c) Encouraging Partnerships. (i) HUD encourages the use of
effective working partnerships in new locations to leverage the many
Federal resources that are available to eliminate crime in and around
public and assisted housing developments through the Drug Elimination
Grant, Operation Safe Home, and Weed and Seed programs; and partnering
with the U.S. Attorney's Office, the Federal Bureau of Investigation,
and the Drug Enforcement Agency. HUD now wishes to encourage these
successful partnerships to address similar problems in and around
privately-owned, Federally assisted housing. In addition to providing
points for applications with these partnerships, HUD is requiring that
at least one project in each targeted neighborhood be multifamily
housing with either:
(A) A HUD-insured, held, or direct mortgage and Rental Assistance
Payments (RAP), Rent Supplement, or interest reduction payments; or
(B) Section 8 project-based assistance with or without HUD interest
in the project mortgage.
(ii) This emphasis on HUD assisted privately-owned housing does not
negate the eligibility of other low-income housing developments
assisted by Federal, State, and local government, and not-for-profit
sources to apply for the New Approach Anti-Drug Program. By awarding
points for neighborhoods with high concentrations of assisted housing,
HUD is encouraging you to address the needs of multiple assisted
housing developments which may feature a mix of ownership types and
subsidy sources.
(d) Complying with Civil Rights Requirements. With the very real
need to protect occupants of HUD-sponsored housing and the areas around
the housing, the civil rights of all citizens must be protected. Your
proposed strategies should be developed to ensure that crime-fighting
and drug prevention activities are not undertaken in such a manner that
civil rights or fair housing statutes are violated. Profiling on any
prohibited basis is not allowed. In addition, all segments of the
population should be represented in developing and implementing crime-
fighting strategies.
[[Page 9761]]
(e) Coordination with Other Law Enforcement Efforts. In addition to
working closely with residents and local governing bodies, it is
critically important that owners establish ongoing working
relationships with Federal, State, and local law enforcement agencies
in their efforts to address crime and violence in and around their
housing developments. HUD firmly believes that the war on crime and
violence in assisted housing can only be won through the concerted and
cooperative efforts of owners and law enforcement agencies working
together in cooperation with residents and local governing bodies. HUD
encourages owners to participate in Departmental and other Federal law
enforcement agencies' programs such as: Operation Safe Home, Operation
Weed and Seed through the Department of Justice and the Safe
Neighborhood Action Program (SNAP). The use of New Approach Anti-Drug
funds, however, is to be part of a comprehensive approach. These funds
may indirectly support other Federal law enforcement activities
provided that use is consistent with the comprehensive approach.
(f) Safe Neighborhood Action Program (SNAP) Grants. (i) The New
Approach Anti-Drug Program was formerly known as the Safe Neighborhood
Action Program, announced June 12, 1994 by HUD, the National Assisted
Housing Management Association (NAHMA), and the U.S. Conference of
Mayors (USCM). The New Approach Anti-Drug Program was expanded from the
SNAP Program to include funds to augment security; assist in the
investigation and prosecution of drug related criminal activity in and
around the housing developments; and provide for the development of
capital improvements directly related to the security of the
developments. SNAP is an anti-crime and empowerment strategies
initiative in HUD assisted housing neighborhoods in 14 SNAP cities. The
major thrust of SNAP is the formation of local partnerships in 14
targeted cities where ideas and resources from government, owners and
managers of assisted housing, residents, service providers, law
enforcement officials, and other community groups meet to work on
innovative, neighborhood anti-crime strategies.
(ii) There is no funding associated with SNAP, which relies on
existing ideas and resources of the participants. Some common
initiatives from these SNAP teams have included the following:
community policing; crime watch programs; tenant selection policies;
leadership training; individual development or job skills training;
expansion of youth activities; police tip line or form; community
centers; anti-gang initiatives; police training for security officers;
environmental improvements; and a needs assessment survey to determine
community needs.
(iii) In addition, a HUD-sponsored initiative to increase the
presence of AmeriCorps' VISTAs in assisted housing units has led to the
placement of 25 VISTAs on 12 SNAP teams. The AmeriCorps VISTA program,
which incorporates a theme of working within the community to find
solutions to community needs, has provided additional technical
assistance to the SNAP teams.
(iv) The cities participating in the SNAP initiative include:
Atlanta, Ga; Boston, Mass; Denver, Co; Houston, TX; Newark, NJ;
Philadelphia, PA; Baltimore, MD; Columbus, OH; Detroit, MI; Los
Angeles, CA; New Orleans, LA; Little Rock, AR; Richmond, VA; and
Washington, DC.
(v) For more information on SNAP, contact Henry Colonna, National
SNAP Coordinator, Virginia State Office, 3600 West Broad Street,
Richmond, VA 23230-4920; telephone (804) 278-4500, extension 3027; or
(804) 278-4501 (TTY). For more information on AmeriCorps' VISTAs in
Assisted Housing, contact Deanna E. Beaudoin, National VISTAs in
Assisted Housing Coordinator, Colorado State Office, First Interstate
Tower North, 633 17th Street, Denver, CO 80202; telephone (303) 672-
5291, extension 1068; or (303) 672-5248 (TTY). These numbers are not
toll-free.
(C) Eligible Applicants
(1) General. To be an eligible applicant:
(a) You must be:
(i) The owner of a federally-assisted housing development. If you
are a unit of general local government you do not need to be the owner,
but must be the operator of such housing. (A TDHE is not a unit of
general local government.);
(ii) The owner of an assisted housing development that is assisted
by a non-Federal governmental entity or similar housing development
supported by nonprofit sources. If you are a unit of general local
government, you do not need to be the owner, but must be the operator
of such housing;
(iii) A PHA. To be eligible to apply you must own an assisted
housing development that is not assisted under the United States
Housing Act of 1937, with the exception of project-based assistance
under section 8 of the Act. If you do not own such an assisted housing
development, you may still participate in the New Approach Anti-Drug
Program as a subgrantee or subrecipient of an eligible applicant; or
(iv) An Indian tribe or TDHE. To be eligible to apply you must own
an assisted housing development that was not formerly assisted under
the United States Housing Act of 1937, with the exception of project-
based assistance under section 8 of the Act. If you do not own such an
assisted housing development, you may still participate in the New
Approach Anti-Drug Program as a subgrantee or subrecipient of an
eligible applicant;
(b) The property that makes you eligible must be in the
neighborhood to be assisted; and
(c) You may not have any outstanding findings of civil rights
violations. (See Section II(B) of the General Section of this
SuperNOFA.)
(2) Lead Applicant. Two or more eligible applicants may file a
joint application. If filing jointly, you must designate one entity to
be the lead applicant. The lead applicant will be the grantee if HUD
funds your application.
(D) Memorandum of Understanding
You must include with your application Memorandums of Understanding
(MOU) that you have entered with each required party. (See Section
III(B) of this program section of the SuperNOFA). The MOU may indicate
the agreement is subject to the actual receipt of funds from HUD.
(1) Required Parties to the MOU. (a) You must sign a MOU that
provides funds through a subgrantee or subrecipient relationship with
the following entities:
(i) The local police department; and
(ii) The local district attorney's office or the local prosecutor's
office.
(b) If you provide funds to an owner or entity participating in the
program, you also must sign a MOU with that owner or other entity; and
(c) You also must sign an MOU with each resident organization that
will receive grant funding through you. The resident organization must
have been established by, and have a governing board consisting of,
tenants in an assisted housing development in the neighborhood. The
resident organization's commitment must describe the extent to which it
is involved in the planning, and will be participating in, and
supporting, your action plan.
(d) All parties signing the MOU must have the legal authority to
enter into a binding agreement with you.
(2) Content of MOU. This MOU must commit these entities to actively
support the grant project in partnership with you. The MOU must also
describe:
[[Page 9762]]
(a) The level of current services (baseline) being provided by
these entities;
(b) The level of services above this baseline which the entities
are committed to providing in support of your grant;
(c) The amount of time to be devoted to the activities by each
party;
(d) The skills each party brings to assist in implementation of
your specific action plan activities.
Your MOU will be taken into account in reviewing and rating your
application, so you should strive to be as specific as possible in your
MOU document.
(3) Encourage Partnerships. We encourage you to partner with other
appropriate neighborhood and community stakeholders, including:
neighborhood businesses and business associations; nonprofit service
providers; neighborhood resident associations; and faith communities or
religious institutions. You are encouraged to enter into MOUs with
these entities but an MOU is not required.
(E) Eligible Project Areas
(1) HUD will award one grant per project neighborhood. The project
area must be a ``neighborhood.''
(2) The project area must include at least one assisted housing
development. See definition in Section III(A)(1) of this program
section of the SuperNOFA.
(3) You must provide documentation of the population used to define
eligibility as a neighborhood. The documentation may include census
data or documentation provided by local government officials.
(F) Eligible Activities
The following is a listing of eligible activities under this
program and guidance as to their parameters:
(1) Augmenting Security (Including Personnel).
(a) General. You must document in your MOU(s) all security services
above baseline established in your MOU. Anyone providing augmented
security services must have liability insurance.
(b) Baseline Services. Additional security services are permitted
but must be over and above the local police department's current level
of baseline services. If you are seeking funding for augmenting
security, you must describe the local police department's current level
of baseline services to the neighborhood (including ordinary and
routine services, patrols, police officer responses to 911
communications and other calls for services, and investigative follow-
up of criminal activity). Your description of baseline services must
include the number of officers and the actual percent of their time
assigned to the development(s) proposed for funding. For a proposed
activity to be considered eligible as an augmented security activity,
you must demonstrate to what extent the proposed funded activity will
represent an increase over and above the baseline.
(c) Police Presence. You may reimburse local law enforcement
entities for the costs of additional police presence (police salaries
and other expenses directly related to additional police presence or
security that is over and above baseline services) in and around
assisted housing developments in the neighborhood. Of the funds devoted
to additional police presence, at least 70 percent of such reimbursed
costs must be for police presence in assisted housing developments
served and the remaining 30 percent must be for police presence within
the project area.
HUD is strongly encouraging that additional law enforcement in the
assisted housing developments and surrounding neighborhoods be targeted
to implementing an overall crime fighting strategy, rather than merely
responding to crime emergencies. Two potentially effective anti-crime
strategies that can benefit from additional police presence are:
(i) Combined multi-agency task force initiatives, in which local
and Federal law enforcement agencies pool resources, first, to
infiltrate organizations that promote violent and/or drug-related crime
in the neighborhood and, second, to initiate strategic and coordinated
mass arrests to break up these organizations; and
(ii) Community policing (i.e., sustained proactive police presence
in the development or neighborhood, often conducted from an on site
substation or mini-station, that involves crime prevention, citizen
involvement, and other community service activities, as well as
traditional law enforcement).
If reimbursement is provided for community policing activities that
are committed to occur over a period of at least 3 years and/or are
conducted from a police substation or administration within the
neighborhood, the costs during the grant period of constructing such a
station or of equipping the substation with communications and security
equipment to improve the collection, analysis and use of information
about criminal activities in the properties and the neighborhood may be
reimbursed.
(d) Security Services Provided by Other Entities (such as the Owner
of an Assisted Housing Development). (i) The activities of any contract
security personnel funded under this Program must be coordinated with
other law enforcement and crime prevention efforts under your proposed
action plan. You must describe in your action plan your efforts to
achieve this coordination. The coordination efforts must include
frequent periodic scheduled meetings of security personnel with housing
project management and residents, local police and, as appropriate,
with other public law enforcement personnel, neighboring residents,
landlords, and other neighborhood stakeholders. Any contract security
personnel funded under this Program must meet State and local licensing
requirements.
(ii) You may only contract with a security service provider that
has a policy manual that directs the activities of its personnel and
contains the policies, procedures, and general orders that regulate
conduct and describe in detail how jobs are to be performed. If you use
your own staff to provide security services, then you must have such a
policy manual.
(2) Enhancing the Investigation and Prosecution of Drug-Related
Crime.
(a) Reimbursement of State and Local Law Enforcement Agencies.
As the grantee, you may reimburse local or State prosecuting
offices and related public agencies for activities, other than salaries
or ineligible activities in Section III(G) of this program section of
the SuperNOFA, related to the prosecution or investigation of crime
committed in the neighborhood identified in your application. These
costs are subject to a cost reimbursement agreement. Reimbursement must
be for costs over and above what the office or agency incurred for such
purposes for crimes committed in the same neighborhood during the
period equal in length and immediately before the period of
reimbursement. For any grant, at least 70 percent of reimbursed costs
must be in connection with crimes committed in and around the assisted
housing developments and the remainder of reimbursed costs directly
related to crime committed within the neighborhood.
(b) Hiring of Private Investigator Services. You may use grant
funds to hire private investigator services to investigate crime in and
around an assisted housing development and the surrounding
neighborhood. You must explain why local law enforcement services are
inadequate and justify the need for hiring private investigator
services.
[[Page 9763]]
(3) Capital Improvements to Enhance Security. You may use grant
funds for capital improvements to enhance security. You should,
however, consider using other sources of funding for this purpose.
These improvements must be accessible to persons with disabilities. For
example, locks or buzzer systems that are not accessible to people with
restricted or impaired strength, mobility, or hearing may not be funded
by your grant. Capital improvements to implement defensible space
concepts in the design and implementation of your enhanced security
measures are eligible provided such design elements permit
accessibility and visitability by persons with disabilities. Capital
improvements to enhance security must comply with civil rights
requirements and cannot exclude or segregate persons based upon their
race, color, or national origin from benefits, services, and other
terms and conditions of housing. Under the selection criterion entitled
``Quality of Plan,'' HUD will reward capital improvements to enhance
the security of an entire neighborhood as opposed to specific projects
at the expense of other dwellings in the neighborhood. The capital
improvements may include, but are not limited to:
(a) New construction or rehabilitation of structures housing police
substations or mini-stations;
(b) Installation of barriers (including speed bumps and fences) and
appropriate use of close circuit television (CCTV), provided any
barriers make reasonable accommodations for persons with disabilities;
(c) Improved door or window security such as locks, bolts, or bars;
and
(d) Landscaping or other reconfiguration of common areas to
discourage drug-related criminal activities.
(G) Ineligible Activities
In addition to the ineligible activities mentioned elsewhere in
this program section of the SuperNOFA, New Approach Anti-Drug Program
Grant funding is not permitted for any of the activities listed below,
unless otherwise specified in this program section of the SuperNOFA:
(1) Crime prevention, treatment, or intervention activities;
(2) Costs incurred before the effective date of the grant
agreement, including but not limited to consultant fees related to the
development of your application or the actual writing of your
application;
(3) Purchase of controlled substances for any purpose. Controlled
substance has the meaning provided in section 102 of the Controlled
Substance Act (21 U.S.C. 802);
(4) Compensating informants, including confidential informants.
These should be part of the baseline services provided and budgeted by
local law enforcement agencies; or
(5) Although participation in activities with Federal drug
interdiction or drug enforcement agencies is encouraged, these grant
funds may not be transferred to any Federal agency.
Profiling on any prohibited basis is not allowed.
(H) Threshold Requirements
In addition to requirements listed in Section II of the General
Section of the SuperNOFA, you are subject to the following:
(a) You must show how you meet the eligibility requirements; and
(b) The amount of funding requested must be within the maximum
grant award amount.
IV. Program Requirements
The following requirements apply to all activities, programs, or
functions used to plan, budget, implement, and evaluate the work funded
under this program.
(A) Grant Agreement
After applications have been ranked and selected, HUD and a
successful applicant will enter into a grant agreement setting forth
the amount of the grant, the physical improvements or other eligible
activities to be undertaken, financial controls, and special
conditions, including sanctions for violation of the agreement. The
Grant Agreement will incorporate your HUD approved application as may
be amended by any special condition in the Grant Agreement. HUD will
monitor your grant using your Grant Agreement to ensure that you have
achieved commitments set out in your approved grant agreement. Failure
to honor such commitments would be the basis for HUD determining your
default of the Grant Agreement, and exercising available sanctions,
including grant suspension, termination, and/or the recapture of your
grant funds.
(B) Requirements Governing Grant Administration, Audits and Cost
Principles
The policies, guidelines, and requirements of this NOFA, 48 CFR
part 31, 24 CFR parts 44, 45, 84 and/or 85, OMB Circulars A-87 and/or
A-122, other applicable administrative, audit, and cost principles and
requirements, and the terms of grant/special conditions and subgrant
agreements apply to your acceptance and use of funds. The requirements
cited above, as applicable, must be followed in determining procedures
and practices related to the separate accounting of grant funds from
other grant sources, personnel compensation, travel, procurement, the
timing of drawdowns, the reasonableness and allocation of costs,
audits, reporting and closeout, budgeting, and preventing conflict of
interests or duplicative charging of identical costs to two different
funding sources. All costs must be reasonable and necessary.
(C) Term of Grant
Your grant funds must be expended within 24 months after HUD
executes a Grant Agreement with you. There will be no extensions or
waivers of this grant term.
(D) Subgrants and Subcontracting
(1) In accordance with your approved grant agreement, you may
directly undertake any of the eligible activities under this NOFA, you
may contract with a qualified third party, or you may make a subgrant
to any entity approved by HUD as a member of the partnership, provided
such entity is a unit of government, a prosecutor's office, a police
department or a TDHE; is incorporated as a not-for-profit organization;
or is an incorporated for-profit entity that owns and/or manages an
assisted housing project benefiting from the grant. Resident groups
that are not incorporated may participate in the implementation of the
program, but may not receive funds as subgrantees. For-profit
organizations other than owners or managers of an assisted housing
development benefiting from the grant that have been approved by HUD as
part of the partnership may only receive grant funds subject to the
applicable Federal procurement procedures (See 24 CFR parts 84 or 85).
(2) Subgrants may be made only under a written agreement executed
between you, the grantee, and your subgrantee. The agreement must
include a program budget that is acceptable to you, and that is
consistent with the eligible activities and requirements. The agreement
must require the subgrantee to permit you to inspect your subgrantee's
work and to follow applicable OMB and HUD administrative requirements,
audit requirements, and cost principles, including those related to
procurement, drawdown of funds for immediate use only, and accounting
for the use of grant funds and implementation of program activities. In
addition, your subgrant must describe the nature of the activities to
be undertaken by the subgrantee, the scope of the subgrantee's
authority, and
[[Page 9764]]
the amount of any insurance to be carried by you and the subgrantee to
protect your respective interests.
(3) You are responsible for monitoring, and for providing technical
assistance to, any subgrantee to ensure compliance with applicable HUD
and OMB requirements. You must also ensure that subgrantees have
appropriate insurance liability coverage.
(E) Ineligible Contractors
The provisions of 24 CFR part 24 relating to the employment,
engagement of services, awarding of contracts or funding of any
contractors or subcontractors during any period of debarment,
suspension, or placement in ineligibility status apply to this grant.
(F) Section 3 Economic Opportunity
See Section II(E) of the General Section of the SuperNOFA. The
requirements of Section 3 apply to some of the activities that may be
funded by this NOFA.
(G) Drawdown of Grant Funds
You will be required to access your grant funds through HUD's Line
of Credit Control System-Voice Response System in accordance with
procedures for minimizing the time lapsing between drawdowns and use of
funds for eligible purposes as described in 24 CFR parts 84 and/or 85,
as applicable. If HUD changes the procedures for the draw of grant
funds, HUD will notify you through the issuance of a grant amendment.
(H) Reports and Closeout
If you receive a grant, you will be required to submit to HUD a
semi-annual progress report (Form 269). The narrative of the Form 269
must be sent in a format prescribed by HUD that indicates program
expenditures and measures performance in achieving goals. At grant
completion, you will be required to participate in a closeout process
which shall include a final report in a format prescribed by HUD that
reports final program expenditures and measures performance in
achieving program goals. Closeout will culminate in a closeout
agreement between you and HUD and, when appropriate, in the return of
grant funds which have not been expended in accordance with applicable
requirements, or which may be remaining after all activities have been
completed and paid for.
(I) Suspension or Termination of Funding
HUD may suspend or terminate funding if you fail to undertake the
approved program activities on a timely basis in accordance with your
grant agreement, adhere to grant agreement requirements or special
conditions, or submit timely and accurate reports.
(J) Affirmatively Furthering Fair Housing
You do not have to address Section II(D) of the General Section of
the SuperNOFA.
V. Application Selection Process
(A) Rating and Ranking
(1) HUD will evaluate all eligible applications based on the
factors for award identified in this Section V.
(2) After the applications have been scored, HUD will rank them on
a national basis. An application must receive a score of at least 70
points, excluding the EZ/EC and Dallas bonus points, to be eligible for
funding. Awards will be made in ranked order until all funds are
expended.
(3) In the event of a tie, HUD will select the applicant with the
highest score in Rating Factor 1. If Rating Factor 1 is scored
identically, the scores in Rating Factors 2, 3 and 4 will be compared
in that order, until one of the applications receives a higher score.
If both applications still score the same then the application which
requests the least funding will be selected to promote the more
efficient use of resources.
(B) Factors for Award To Evaluate and Rank Applications
The maximum number of points for this program is 102 (except for an
application submitted by the City of Dallas, Texas which would be
eligible for a maximum of 104 points in accordance with Rating Factor
3, paragraph (7), below. This includes two EZ/EC bonus points, as
described in the General Section of the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
This factor addresses the extent to which you have proper
organizational resources necessary to successfully implement the
proposed New Approach Anti-Drug Program activities in an effective,
efficient, and timely manner. In rating this factor, HUD will consider
the extent to which the application demonstrates the capabilities
described below:
(1) (5 Points) The applicants' administrative capacity to implement
the grant. HUD will award points based on the quality and amount of
staff allocated to the grant activity by you; the anticipated
effectiveness of your systems for budgeting, procurement, drawdown,
allocation, and accounting for grant funds and matching resources in
accordance with OMB administrative requirements; and the lines of
accountability for implementing your grant activity, coordinating your
partnerships, and ensuring that you and your MOU partners' commitments
will be met. You must include in your narrative a discussion of
financial capacity, staff resources, and prior experience that will
enable you to effectively administer the grant and meet reporting
requirements. This narrative must not exceed five pages. For an owner
of an assisted housing development that is HUD-insured, HUD will
consider the most recent Management Review (including Rural Housing
Management Review), Housing Quality Standards (HQS) review, State
Agency review and such other relevant information available to HUD on
the capacity of the owner and manager to undertake the grant; you must
include a copy of the most recent management review (not a physical
inspection report) for the property to be served by your grant. These
documents will not be counted against your 5 page narrative limitation.
(2) The applicant's performance in administering Drug Elimination
grants and/or other Federal, state or local grants of similar size and
complexity during the last 3 years. In assessing this factor, HUD will
verify you and your partners' successful experience and performance
based on information on file with the Department and will consider the
following factors with the indicated total available points:
(a) (5 Points) Your successful experience combined with your MOU
partners' successful experience in utilizing similar strategies to
alleviate crime. You must identify your participation in HUD grant
programs within the last three years and discuss the degree of your
success in implementing planned activities; achieving program goals and
objectives; timely drawdown of funds; timely submission of required
reports and ability to complete activities on time and within budget;
what if any audit findings were noted; whether there was audit
compliance; whether there are and the extent of any unresolved findings
and/or outstanding recommendations from prior HUD reviews or audits
undertaken by HUD, HUD-Office of Inspector General, the General
Accounting Office (GAO) or independent public accountants (IPAs). To
receive maximum points under this section, you must have worked in
partnership with one or more of your MOU partners (or two or more of
your
[[Page 9765]]
MOU partners may have worked together in partnership) using similar
strategies to reduce crime in and around assisted housing developments.
To demonstrate success in implementing past projects, you must identify
the reduction in the occurrence of the types of crime as indicated in
Rating Factor 2 of this NOFA. In the absence of previous partnerships,
your capacity will weigh more heavily than the experience of any of
your partners, in HUD's assignment of points under this subfactor.
(b) (4 Points) Your performance in administering other Federal,
State or local grant programs. You must identify your participation in
HUD grant programs within the preceding three years, and discuss the
degree of your success in implementing and managing (program
implementation, timely drawdown of funds, timely submission of required
drawdown of funds, timely submission of required reports with
satisfactory outcomes related to the plan and timetable, audit
compliance and other HUD reviews) these grant programs.
(3) (6 Points) The strength of the applicants' partnership as it
relates to eliminating the crime problem identified in Rating Factor 2.
HUD will award points in this area based on the strength of resource
commitments identified in your MOUs in terms of the amount of staff,
time, money, or other assets committed by each MOU party toward
implementing your program. Your description should identify what skill
each party will bring to help successfully implement your program, and
the firmness of the commitments); evidence of your MOU partners' (and
project tenants') pre-application role in developing the plan and
prospective role in program implementation; indications of the capacity
of the assisted housing developments' ownership and management (based
on available management reviews by governing public entities) to
undertake their share of responsibilities in the partnership (including
evidence of whether management carefully screens applicants for units
and takes appropriate steps to deal with tenants known to exhibit or
suspected of exhibiting criminal behavior) and to cooperate with law
enforcement actions on their project premises; the willingness of the
unit of general local government to use its prosecutor's office as its
lead agency in implementing the grant; participation of additional
partners other than those required to sign MOUs (for example,
neighborhood business organizations); and the effectiveness of the
partnership structure.
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor addresses the extent to which there is a need for
funding your proposed program activities to address the documented
degree of the severity of the drug-related crime problem in the project
area proposed for funding. In responding to this factor, HUD will
evaluate the extent to which you have explained a critical level of
need for your proposed activities and have indicated the urgency of
meeting the need in the target area. You must include a description of
the extent and nature of drug-related crime ``in and around'' the
housing units or developments proposed for funding.
You will be evaluated on the following:
(1) (15 points) ``Objective Crime Data'' relevant to the target
area. To the extent that you can provide objective crime data specific
to the community or targeted development proposed for funding, your
application will be awarded up to 15 points. Your application must
include the most current and specific Part I Crime data and relevant
Part II Crime data available from the FBI's Uniform Crime Reporting
Program (UCR) system or the local law enforcement's crime statistics.
Part I Crimes include: homicide; rape; robbery; aggravated assault;
burglary; larceny; auto theft; and arson. Part II drug-related crimes
include: drug abuse violations; simple assault; vandalism; weapons
violations; and other crimes which you are proposing to be targeted as
part of your grant. In assessing this subfactor, HUD will consider the
extent of specificity that the statistical data is provided (e.g., data
specific to the neighborhood covered by your application). These data
must consist of verifiable records and not anecdotal reports. Where
appropriate, the statistics should be reported both in real numbers and
as an annual percentage of the residents in each development (e.g., 20
arrests in a two-year period for distribution of heroin in a
development with 100 residents reflects a 20% occurrence rate). These
data may include:
(a) Police records or other verifiable information from records on
the types or sources of drug related crime in your targeted
developments and surrounding area;
(b) The number of lease terminations or evictions for drug-related
crime at your targeted developments; and
(c) The number of emergency room admissions for drug use or that
result from drug-related crime. Such information may be obtained from
police departments and/or fire departments, emergency medical service
agencies and hospitals. The number of police calls for service from
housing authority developments that include resident initiated calls,
officer-initiated calls, domestic violence calls, drug distribution
complaints, found drug paraphernalia, gang activity, graffiti that
reflects drugs or gang-related activity, vandalism, drug arrests, and
abandoned vehicles.
For PHAs, such data should include housing authority police records
on the types and sources of drug related crime ``in and around''
developments as reflected in crime statistics or other supporting data
from Federal, State, Tribal or local law enforcement agencies.
(2) (10 Points) Other Crime Data: Other supporting data on the
extent of drug-related crime. For this element, you can receive up to
10 points. To the extent that objective data as described above may not
be available, or to complement that data, your assessment must use data
from other verifiable sources that have a direct bearing on drug-
related crime in the developments proposed for assistance under this
program. If you are using other relevant information in place of
objective data, however, your application must indicate the reasons why
you could not obtain objective data and what efforts you made to obtain
it and what efforts you will make during the grant period to begin
obtaining the data. Examples of the data should include (but are not
necessarily limited to):
(a) Surveys of residents and staff in your targeted developments
surveyed on drug-related crime or on-site reviews to determine drug/
crime activity; and government or scholarly studies or other research
in the past year that analyze drug-related crime activity in the
targeted developments.
(b) Vandalism cost at your targeted developments, including
elevator vandalism (where appropriate) and other vandalism attributable
to drug-related crime.
(c) Information from schools, health service providers, residents
and Federal, State, local, and Tribal officials, and the verifiable
opinions and observations of individuals having direct knowledge of
drug-related crime and the nature and frequency of these problems in
developments proposed for assistance. (These individuals may include
Federal, State, Tribal, and local government law enforcement officials,
resident or community leaders, school officials, community medical
officials, substance abuse, treatment (dependency/
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remission) or counseling professionals, or other social service
providers.)
(d) The school dropout rate and level of absenteeism for youth that
you can relate to drug-related crime. If crime or other statistics are
not available at the development or precinct level, you must use other
verifiable, reliable and objective data.
(e) To the extent that the community's Consolidated Plan identifies
the level of the problem and the urgency in meeting the need,
references to the Consolidated Plan should be included in your
response. The Department will review more favorably those applicants
who used the Consolidated Plan to identify need, when applicable.
Rating Factor 3: Soundness of Approach (Quality of the Plan) (35
Points)
This factor addresses the quality and anticipated effectiveness of
your proposed action plan in taking a comprehensive community-based
approach toward the problem of drugs and drug-related crime in the
neighborhood identified in your application.
Your application must include an action plan for crime reduction
and elimination efforts, describing in detail: the specific activities
to be under taken; the parties responsible for or involved in the
activities for each development proposed for assistance; and the dollar
amount and extent of resources committed to each activity or service
proposed.
In evaluating this factor, HUD will consider the following:
(1) (25 Points) The quality, comprehensiveness of your action plan
to address the drug-related crime problem, and the problems associated
with drug-related crime in the developments proposed for funding,
including its anticipated effectiveness in reducing or eliminating
drug-related crime problems immediately and over an extended period, as
evidenced by:
(a) The extent to which your proposed activities provide services
over the existing baseline of services currently provided to the
project area;
(b) The extent of the commitment of the partners, as described and
documented in the MOU in implementing your plan. HUD will evaluate the
extent to which the activities are comprehensive and result of
collective actions that effectively work together. If you provide for a
comprehensive approach, you will receive a higher number of rating
points. HUD will provide no points under this subfactor if your
application does not include an MOU with the local law enforcement
entity with jurisdiction over the neighborhood identified in your
application;
(c) The extent to which you have partnered with appropriate
neighborhood and community stakeholders;
(d) The extent to which the resources allocated and the budget
proposed are adequate to conduct the work plan as proposed; and
(e) Your rationale for the proposed activities and methods and why
you believe the activities will be effective in reducing drug use and
drug-related crime. If you are proposing new methods for which there is
limited knowledge of the effectiveness, you should provide the basis
for modifying past practices and rationale for why you believe the
modification will yield more effective results.
(2) (10 Points) The adequacy of the process you will use to
collect, maintain, analyze and report Part I and II crimes as defined
by the Uniform Crime Reporting (UCR System), as well as police workload
data. The process must include the collection of police workload data
such as, but not limited to, all calls for service at the housing
authority by individual development, patterns over a period of time,
type of crime, and plans to improve data collection and reporting. Your
proposed analysis of the data collected should include a method for
assessing the impact of grant activities on the collected crime
statistics on an on-going basis during the award period.
(3) Up to two (2) additional points will be awarded to any
application submitted by the City of Dallas, Texas, to the extent this
subfactor is addressed. Due to an order of the U.S. District Court for
the Northern District of Texas, Dallas Division, with respect to any
application submitted by the City of Dallas, Texas, HUD's consideration
of this subfactor will consider the extent to which the applicant's
plan for the use of New Approach Anti-Drug funds will be used to
eradicate the vestiges of racial segregation in the Dallas Housing
Authority's programs consistent with the Court's order.
Rating Factor 4: Leveraging Resources (Support of Residents, the Local
Government and the Community in Planning and Implementing the Proposed
Activities and Interagency Activities) (10 Points)
This factor addresses your ability to secure community and
government resources, in-kind services from local governments, non-
profit entities, including resident organizations, for-profit entities,
or private organizations to be combined with HUD's program resources to
achieve program purposes. To be considered as documented evidence of
leveraging, you must submit a letter signed by the organization head
authorized to commit the organization which details the amount of funds
or type of services to be provided. The letter also must identify the
dollar value of any services or goods in lieu of a cash contribution.
Therefore, in responding to the factor you must equate the time or
services provided into a dollar value. This dollar value will be added
to any cash funding commitments identified as part of your leveraging
of funds. For example, if you are receiving a donation of security
alarm systems, you should indicate the number of security systems to be
provided and give a dollar value for those alarm systems. The value
will be added to any cash contributions you have noted from others. The
letter may indicate that the commitment is predicated on the applicant
receiving the grant from HUD. In assessing this factor, HUD will
consider the following:
(1) Evidence of the extent and amount of the commitment of funding,
staff, or in-kind resources, partnership agreements, and on-going or
planned cooperative efforts with law enforcement agencies, memoranda of
understanding, or agreements to participate. Such commitments must be
signed by an official of the organization legally able to make
commitments for the organization. This evidence of commitment must
include organization name, resources, and responsibilities of each
participant. This also includes interagency activities already
undertaken, participation in local, state, Tribal or Federal anti-drug
related crime efforts such as: education, training and employment
provision components of Welfare Reform efforts, Operation Weed and
Seed, Operation Safe Home, local law enforcement initiatives and/or
successful coordination of its law enforcement, or other activities
with local, state, Tribal or Federal law enforcement agencies.
(2) HUD may award more points for applications with a higher
percentage of these resources as compared to Anti-Drug New Approach
funds requested.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you have coordinated your
activities with other known organizations, participants or have
promoted participation in a community's Consolidated Planning process,
and are working towards addressing a need in a holistic and
comprehensive manner through
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linkages with other activities in the community.
In evaluating this factor, HUD will consider the extent to which:
(1) You have 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 you will take to share information on solutions and
outcomes with others. Any written agreements, memoranda of
understanding in place, or that will be in place after award should be
described.
(2) You have taken or will take specific steps to become active in
the community's Consolidated Planning process (including the Analysis
of Impediments to Fair Housing Choice) established to identify and
address a need/problem that is related to the activities the applicant
proposes.
(3) You have shared and coordinated information on solutions and
outcomes with other law-enforcement and governmental agencies, and a
description of any written agreements in place or that will be put in
place.
(4) You have 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 project/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
Each New Approach Anti-Drug application must conform to the
requirements of the applicable application kit, both in format and
content. Each New Approach Anti-Drug application must provide the
following items in addition to the submission requirements listed in
Section VI of this program section of the SuperNOFA:
(A) Application Cover Letter;
(B) Congressional Summary--Summary of your proposed program
activities in five (5) sentences or less:
(C) A neighborhood description. The neighborhood description must
include a basic description (e.g., boundaries and size), population,
number of housing units in the neighborhood, a map, a population
profile (e.g., relevant census data on the socio-economic, ethnic and
family makeup of neighborhood residents), and the basis on which the
area meets the definition of ``neighborhood'' as described in this
notice (i.e., describe and include a copy of the comprehensive plan,
ordinance or other official local document which defines the area as a
neighborhood, village, or similar geographical designation). If the
entire jurisdiction is defined as a neighborhood by virtue of having a
population at less than 25,000, indicate the jurisdiction's population
under the 1990 census and describe/include more recent information
which gives the best indication as to the current population.
(D) The description of the assisted housing development(s) in the
neighborhood. This must include the name of the project; the name of
the project owner; the nature, sources, and program titles of all
project-based subsidies or other assistance provided to the project by
units of government or private nonprofit entities (any names of public
or nonprofit programs other than programs sponsored by HUD should be
accompanied by a description of the program and the name and business
phone number of a contact person responsible for administering the
program for the subsidy provider); the number of housing units in the
project; and the number of housing units in the project that meet the
definition of ``assisted housing units'' in this notice, and a
description of the restrictions on rents and resident incomes that, in
combination with the subsidy provided to the project, qualify the units
as assisted/affordable in accordance with the definition in this NOFA;
and the number, geographic proximity (adjoining, adjacent, or scattered
site, and if scattered site, the distance between the two buildings
which are furthest apart), and type (single family detached, townhouse,
garden, elevator) of buildings in the project.
(E) Application for Federal Assistance form (Standard Form SF-424)
signed by the chief executive officer of your organization.
(F) An action plan which describes the activities and roles to be
undertaken by you and each subgrantee or subrecipient of program funds.
This action plan may be attached to and referenced in your MOU.
(G) Narrative responses to the factors for award including any
required documentation identified under each factor.
(H) A line item budget which identifies salaries, fringe benefits,
consultants or subgrantees, equipment, supplies, travel, and general
and administrative expenses; as well as an estimated dollar amount for
each activity to be undertaken as part of your action plan.
(I) Overall budget and timetable that includes separate budgets,
goals, milestones, and timetables for each activity and addresses
milestones towards achieving the goals described above; and indicates
the contributions and implementation responsibilities of each partner
for each activity, goal, and milestone.
(J) The number of staff years, the titles and professional
qualifications, and respective roles of staff assigned full or part-
time to grant implementation by the applicant/grantee.
(K) Your plan and lines of accountability (including an
organization chart) for implementing your grant activity, coordinating
the partnership, and assuring that your and your subgrantees'
commitments will be met. There must be a discussion of the various
agencies of the unit of government that will participate in grant
implementation (which must include the prosecutor's office and at least
one, but preferably both, of the following: the police department and
an agency dealing with community development), their respective roles
(i.e., which has the lead), and their lines of communication.
VII. Corrections to Deficient Applications
The General Section of this SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
Prior to the award of grant funds under the program, HUD will
perform an environmental review to the extent required under the
provisions of 24 CFR part 50. Should the environmental review indicate
adverse environmental impacts, your application may be downgraded or
rejected.
The General Section of this SuperNOFA provides additional guidance
on Environmental Reviews.
IX. Authority
This program is authorized under the Departments of Veterans
Affairs and Housing and Urban Development, and Independent Agencies
Appropriations Act, 1999 (Pub.L. 105-276, approved October 21, 1998),
under the heading ``Drug Elimination Grants for Low-Income Housing.''
Appendix A--Office of Public Housing, Field Office Directory
New England Region
Boston (Hub)
Donna Ayala, Deputy Director, Office of Public Housing, DHUD--
Massachusetts State Office, Thomas P. O'Neill, Jr. Federal Building,
10 Causeway Street, Room 553, Boston, MA 02222-1092, (617) 565-5197,
(617) 565-7305 (FAX)
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Hartford (Program Center)
Sonia D. Samuels, Program Center Coordinator, Office of Public
Housing, DHUD--Connecticut State Office, One Corporate Center, 19th
Floor, Hartford, CT 06103-3220, (860) 240-4800, (860) 240-4854 (FAX)
New York/NJ Region
New York (Hub)
Mirza Del Rosario, Director, Office of Public Housing, DHUD--New
York State Office, 26 Federal Plaza, Suite 32-116, New York, New
York 10278-0068, (212) 264-8931, (212) 264-9834 (FAX)
Buffalo (Hub)
Joan Spilman, Director, Office of Public Housing, DHUD--Buffalo
State Office, Lafayette Court, 465 Main Street, Fifth Floor,
Buffalo, New York 14203-1780, DIRECT NUMBER: (716) 551-5719, (716)
551-5755, (716) 551-4789 (FAX)
Newark (Hub)
Carmen Valenti, Director, Office of Public Housing, DHUD--New Jersey
State Office, One Newark Center, 13th Floor, Newark, NJ 07102-5260,
(973) 622-7900, Ext. 3600, (973) 645-2270 (FAX)
Mid-Atlantic Region
Philadelphia (Hub)
Malinda Roberts, Director, Office of Public Housing, DHUD--
Pennsylvania State Office, The Wanamaker Building, 100 Penn Square
East, Philadelphia, PA 19107-3390, (215) 656-0576, ext. 3308, (215)
656-3424 (FAX)
Baltimore (Hub)
William Tamburrino, Director, Office of Public Housing, DHUD--
Maryland State Office, City Crescent Building, 10 South Howard
Street, 5th Floor, Baltimore, Maryland 21201-2505, (410) 962-2520,
ext. 3102, (410) 962-4378 (FAX)
Pittsburgh (Hub)
Paul LaMarca, Director, Office of Public Housing, DHUD--Pittsburgh
Area Office, 339 Sixth Avenue, Sixth Floor, Pittsburgh, PA 15222-
2515, (412) 644-6571, (412) 644-5486 (FAX)
Richmond (Program Center)
Pat Anderson, Program Center Coordinator, Office of Public Housing,
DHUD--Virginia State Office, The 3600 Centre, 3600 West Broad
Street, P.O. Box 90331, Richmond, VA 23230-0331, (804) 278-4500,
X3217, (804) 278-4636 (FAX)
Washington, DC (Program Center)
Lee Palman, Program Center Coordinator, DHUD--District of Columbia
Office, 820 First Street, NE; Suite 450, Washington, DC 20002-4205,
(202) 275-7965, ext 3175, (202) 275-6690 (FAX)
Southeast Region
Atlanta (Hub)
Boyce Norris, Deputy Director, Office of Public Housing, DHUD--
Georgia State Office, Richard B. Russell Federal Building, 75 Spring
Street, SW, Atlanta, GA 30303-3388, (404) 331-4766, (404) 331-1022
(FAX)
Birmingham (Hub)
Mack Heaton, Director, Office of Public Housing, DHUD--Alabama State
Office, Beacon Ridge Tower, 600 Beacon Parkway West, #300,
Birmingham, AL 35209-4144, (205) 290-7601, ext 1101, (205) 290-7502
(FAX)
Columbia (Program Center)
Larry Knighter, Program Center Coordinator, Office of Public
Housing, DHUD--South Carolina State Office, Strom Thurmond Federal
Building, 1835 Assembly Street, Columbia, SC 29201-2480, (803) 765-
5831, (803) 765-5515 (FAX), (806) 253-3428
Greensboro (Hub)
Ledford Austin, Director, Office of Public Housing, DHUD--North
Carolina State Office, Koger Building, 2306 West Meadowview Road,
Greensboro, NC 27407-3707, (336) 547-4038, (336) 547-4129 (FAX)
Jackson (Program Center)
George Smith, Program Center Coordinator, Office of Public Housing,
DHUD--Mississippi State Office, Doctor A.H. McCoy Federal Building,
100 West Capitol Street, Room 910, Jackson, MS 39269-1016, (601)
965-4761, (601) 965-4733 (FAX)
Coral Gables (Hub)
Karen Cato-Turner, Director, Office of Public Housing, DHUD--Florida
State Office, Gables I Towers, Suite 501, 1320 South Dixie Highway,
Coral Gables, FL 33146-2911, (305) 662-4589, X2270, (305) 662-4537
(FAX)
Jacksonville (Hub)
John Niesz, Director, Office of Public Housing, DHUD--Jacksonville
Area Office, Southern Bell Tower, 301 West Bay Street, Suite 2200,
Jacksonville, FL 32202-5121, (904) 232-1777, X2142, (904) 232-1721
(FAX)
Louisville (Hub)
Arthur Wasson, Director, Office of Public Housing, DHUD--Kentucky
State Office, 601 West Broadway, Post Office Box 1044, Louisville,
KY 40201-1044, (502) 582-6163, ext 370, (502) 582-6558 (FAX)
Knoxville (Program Center)
Sidney McBee, Program Center Coordinator, Office of Public Housing,
DHUD--Knoxville Area Office, John J. Duncan Federal Building, 710
Locust Street, Third Floor, Knoxville, TN 37902-2526, (423) 545-
4402, X4, (423) 545-4558 (FAX)
Nashville (Program Center)
Karen Gill, Acting Program Center Coordinator, Office of Public
Housing, DHUD--Tennessee State Office, 251 Cumberland Bend Drive,
Suite 200, Nashville, TN 37228-1803, (615) 736-5063, ext. 6132,
(615) 736-2385 (FAX)
San Juan (Hub)
Hildamar Ortiz, Director, Office of Public Housing, DHUD--Caribbean
Office, Administracion de Terrenos Building, 171 Carlos E. Chardon
Avenue, Suite 301, San Juan, PR 00918-0903, (787) 766-5400, X2031,
(787) 766-6504 (FAX)
Mid-West Region
Chicago (Hub)
Debra Torres, Director, Office of Public Housing, DHUD--Illinois
State Office, Ralph H. Metcalf Federal Building, 77 West Jackson
Boulevard, Chicago, IL 60604-3507, (312) 353-1915, (312) 353-6236,
x2302, (312) 886-4060 (FAX)
Cleveland (Hub)
Thomas Marshall, Director, Office of Public Housing, DHUD--Cleveland
Area Office, Renaissance Building, 1350 Euclid Avenue, Suite 500,
Cleveland, OH 44115-1815, (216) 522-2700, (216) 522-7100 (FAX)
Columbus (Program Center)
David Kellner, Program Center Coordinator, Office of Public Housing,
DHUD--Ohio State Office, 200 North High Street, Columbus, OH 43215-
2499, (614) 469-5787, X8224, (614) 469-5123 (FAX)
Detroit (Hub)
Joann L. Adams, Director, Office of Public Housing, DHUD--Michigan
State Office, Patrick V. McNamara Federal Building, 477 Michigan
Avenue, Detroit, MI 48226-2592, (313) 226-6880, X8111, (313) 226-
6160 (FAX)
Indianapolis (Program Center)
Forrest Jones, Program Center Coordinator, Office of Public Housing,
DHUD--Indiana State Office, 151 North Delaware Street, Suite 1200,
Indianapolis, IN 46204-2556, (317) 226-6557, (317) 226-5594 (FAX)
Milwaukee (Program Center)
John Finger, Program Center Coordinator, DHUD--Wisconsin State
Office, Henry S. Reuss Federal Plaza, 310 West Wisconsin Avenue,
Suite 1380, Milwaukee, WI 53203-2289, (414) 297-1029, Ext. 8212,
(414) 297-1180 (FAX)
Minneapolis (Hub)
Daniel Larson, Director, Office of Public Housing, DHUD--Minnesota
State Office, 220 South Second Street, Minneapolis, Minnesota 55401-
2195, (612) 370-3135, Ext. 2220, (612) 370-3003 (FAX)
Southwest Region
Fort Worth (Hub)
Eileen Rogers, Director, Office of Public Housing, DHUD--Texas State
Office, 1600 Throckmorton, Post Office Box 2905, Fort Worth, TX
76113-2905, (817) 978-9325, X3332, (817) 978-9382 (FAX)
Albuquerque (Program Center)
Dolly A. Clark, Acting Program Center Coordinator, Office of Public
Housing, DHUD--New Mexico State Office, 625 Truman Street, N.E.,
Albuquerque, N.M. 87110-6443, (505) 346-7303, ext. 271, (505) 346-
6604 (FAX)
Houston (Program Center)
Raynold Richardson, Program Center Coordinator, Office of Public
Housing, DHUD--Houston Area Office, Norfolk Tower, 2211 Norfolk,
Suite 200, Houston, TX 77098-4096, (713) 313-2274/2280, (713) 313-
2371 (FAX)
[[Page 9769]]
Little Rock (Hub)
Catherine Lamberg, Director, Office of Public Housing, DHUD--
Arkansas State Office, TCBY Tower, 425 West Capitol Avenue, Suite
900, Little Rock, AR 72201-3488, (501) 324-5933, (501) 324-5448
(FAX)
New Orleans (Hub)
Chester Drozdowski, Director, Office of Public Housing, DHUD--
Louisiana State Office, 501 Magazine Street, Ninth Floor, New
Orleans, LA 70130, (504) 589-7235, (504) 589-6177 (FAX)
Oklahoma City (Program Center)
Robert Vasquez, Program Center Coordinator, Office of Public
Housing, DHUD--Oklahoma State Office, 500 West Main Street, Oklahoma
City, OK 73102, (405) 553-7454, (405) 552-7530 (FAX)
San Antonio (Hub)
Diana Armstrong, Director, Office of Public Housing, DHUD--San
Antonio Area Office, Washington Square, 800 Dolorosa Street, San
Antonio, TX 78207-4563, (210) 475-6865, (210) 472-6816 (FAX)
Great Plains Region
Kansas City (Hub)
Andrew Boeddeker, Director, Office of Public Housing, DHUD--Kansas/
Missouri State Office, Gateway Tower II, 400 State Avenue, Kansas
City, KS 66101-2406, (913) 551-5582, (913) 551-6981 (FAX)
Omaha (Program Center)
Charlie D. Hill, Program Center Coordinator, Office of Public
Housing, DHUD--Nebraska State Office, Executive Tower Centre, 10909
Mill Valley Road, Omaha, NE 68154-3955, (402) 492-3137, (402) 492-
3163 (FAX)
St. Louis (Program Center)
Patricia Straussner, Program Center Coordinator, Office of Public
Housing, DHUD--St. Louis Area Office, Robert A. Young Federal
Building, 1222 Spruce Street, St. Louis, MO 63103, (314) 539-6505,
(314) 539-6508 (FAX)
Rocky Mountain Region
Denver (Hub)
John Dibella, Director, Office of Public Housing, DHUD--Colorado
State Office, First Interstate Tower North, 633--17th Street, 12th
Floor, Denver, CO 80202-3607, (303) 672-5380, ext 1244, (303) 672-
5065 (FAX)
Pacific/Hawaii Region
San Francisco (Hub)
Joyce Lee, Director, Office of Public Housing, DHUD--California
State Office, Phillip Burton Federal Building/Courthouse, 450 Golden
Gate Avenue, Ninth Floor, San Francisco, CA 94102-3448, (415) 436-
8375, (415) 436-6440 (FAX)
Los Angeles (Hub)
Bob Cook, Director, Office of Public Housing, DHUD--Los Angeles Area
Office, AT&T Center, 611 West 6th Street, Suite 800, Los Angeles, CA
90017-3127, (213) 894-8000, ext 3500, (213) 894-8125 (FAX)
NW/Alaska Region
Seattle (Hub)
Lynn Martin, Director, Office of Public Housing, DHUD--Washington
State Office, Seattle Federal Office Building, 909--1st Avenue,
Suite 360, Seattle, WA 98104-1000, (206) 220-5290, Ext 3694, (206)
220-5255 (FAX)
Portland (Program Center)
Elizabeth Santone, Program Center Coordinator, DHUD--Oregon State
Office, 400 Southwest Sixth Avenue, Suite 700, Portland, OR 97204-
1596, (503) 326-2619, (503) 326-4065 (FAX)
BILLING CODE 4210-32-P
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9771]]
[GRAPHIC] [TIFF OMITTED] TN26FE99.032
BILLING CODE 4210-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9773]]
Funding Availability for Public and Indian Housing Drug Elimination
Technical Assistance Program
Program Overview
Purpose of the Program. The purpose of the Public and Indian
Housing Drug Elimination Technical Assistance Program (PHDE-TA) is to
provide no more than 30 billable days of technical assistance (TA)
consultant services to assist public housing agencies (PHAs), Indian
tribes and Tribally Designated Housing Entities (TDHEs), Resident
Management Corporations (RMCs), incorporated Resident Councils (RCs),
and Resident Organizations (ROs) in responding immediately to drug and
drug-related crime in public and Tribal housing communities. The TA
services may be conducted over a period of not more than 90 days.
Available Funds. Approximately $2 million (which includes Fiscal
Year 1997 carryover) is available for funding short-term technical
assistance.
Eligible Applicants. Public Housing Authorities (PHAs), Indian
tribes and Tribally Designated Housing Entities (TDHEs); incorporated
Resident Management Corporations (RMCs), incorporated Resident Councils
(RCs), and Resident Organizations (ROs).
Application Deadline. June 16, 1999.
Match. None.
Additional Information
If you are interested in applying for Public Housing Drug
Elimination Technical Assistance funding, 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 one original application and one copy
to the Community Safety and Conservation Division (CSCD), Room 4206 at
the HUD Headquarters Building located at 451 Seventh Street, SW,
Washington, DC, 20410, on or before 12:00 midnight on June 16, 1999.
The only exception to this deadline is for HUD-Initiated Public Housing
Drug Elimination Technical Assistance, for which there is no
application deadline. See the General Section of this SuperNOFA for
specific procedures governing the form of application submission (e.g.,
mail applications, express mail, overnight delivery, or hand-carried).
Submit a copy of your application to the appropriate HUD Field
Office or HUB with delegated public housing responsibilities for your
organization. See Appendix I for a list of HUD offices with delegated
responsibilities. You may also call the SuperNOFA Information Center at
1-800-HUD-8929 if you have a question regarding where you should submit
your application (persons with hearing or speech impairments may call
the Center's TTY number at 1-800-843-2209).
You must submit with your application(s) to CSCD, a Confirmation
Form documenting that the appropriate HUD Field Office or HUB received
your TA application (this form is a threshold requirement).
HUD will review PHDE-TA applications on a continuing basis until
June 15, 1999, or until funds available under this program are
expended. Due to the reduced availability of funds in FY 1999, HUD
encourages you to submit early.
For Application Kits. For an application kit and any supplemental
information, please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's
TTY number at 1-800-843-2209. When requesting an application kit,
please refer to the Public Housing Drug Elimination Technical
Assistance Program, and provide your name, address (including zip code)
and telephone number (including area code). An application kit is also
available on the Internet through the HUD web site at http://
www.hud.gov.
For Further Information and Technical Assistance. For answers to
your questions please call the local HUD Field Office or HUB where you
will be submitting your application or you may call the Public Housing
Drug Elimination TA Support Center at the 1-800-578-3472.
II. Amount Allocated
For FY 1999, approximately $2 million is available for Public
Housing Drug Elimination Technical Assistance.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description
(1) The purpose of this program is to provide not more than 30
billable days of technical assistance (TA) consultant services to
assist public housing agencies (PHAs), Indian tribes and Tribally
Designated Housing Entities (TDHEs), Resident Management Corporations
(RMCs), incorporated Resident Councils (RCs) and Resident Organizations
(ROs) in responding immediately to drug and drug-related crime in
public and Tribal housing communities. The TA services may be conducted
over a period not to exceed 90 days. Housing Authorities are encouraged
to use this program as a tool to evaluate and monitor the Public
Housing Drug Elimination Program grants.
(2) HUD may also initiate TA under this program. HUD initiated TA
does not require an application but is also short term assistance.
(3) The program will fund the use of consultants who can provide
the necessary consultation and/or training for the types of activities
outlined below. HUD will fund the use of consultants to assist the
applicant undertaking tasks including preparing a proposed strategic or
long-range plan for reducing drugs and drug-related crime, or
conducting a needs assessment or comprehensive crime survey. The PHDE-
TA program also funds efforts in:
(a) Assessing, quantifying and establishing performance measurement
systems (including gathering baseline statistics) relating to drug and
drug-related crime problems in public or Tribal housing development(s)
and surrounding community(ies);
(b) Training for housing authority staff and residents in anti-
crime and anti-drug prevention practices and programs;
(c) Evaluating current anti-crime and anti-drug-related crime
programs.
(d) Designing and identifying appropriate anti-crime and anti-drug-
related practices and programs in the following areas:
(i) Law enforcement strategies, including negotiating with the
local police, working with Federal law enforcement, Operation Safe
Home, Weed and Seed, and other Federal anti-crime efforts;
(ii) Crime data collection for establishing baseline performance
measurements;
(iii) Youth leadership development; youth anti-gang, anti-violence,
anti-drug initiatives; youth peer mediation and conflict resolution to
deal directly with anger/violence to prevent future violent episodes;
(iv) Resident patrols; and
(v) Security and physical design.
(B) Eligible Applicants
PHAs, Indian tribes and TDHEs, RCs, ROs in the case of Indian
tribes and TDHEs, and RMCs are eligible to receive short-term technical
assistance services under this PHDE-TA Program. Specific eligibility
requirements are:
(1) If you are an RC or RO, you must be an incorporated nonprofit
organization or association that meets all seven of the following
requirements:
(a) You must be representative of the residents you purport to
represent.
(b) You may represent residents in more than one development or in
all of
[[Page 9774]]
the developments of a PHA or Indian tribe or TDHE, but you must fairly
represent residents from each development that you represent.
(c) You must adopt written procedures providing for the election of
specific officers on a regular basis, but at least once every 3 years.
(d) You must have a democratically elected governing board. The
voting membership of your board must consist of residents of the
development or developments that you represent.
(e) You must be supported in your application by a PHA or an Indian
tribe or TDHE.
(f) You must provide evidence of incorporation.
(g) You must provide evidence of adopted written procedures for
electing officers.
(2) If you are an RMC, you must be an entity that proposes to enter
into, or that enters into, a management contract with a PHA under 24
CFR part 964, or a management contract with an Indian tribe or TDHE.
You must have all seven of the following characteristics:
(a) You must be a nonprofit organization incorporated under the
laws of the State or Indian tribe where you are located.
(b) You may be established by more than one RO or RC, so long as
each: approves the establishment of your corporation; and has
representation on the Board of Directors of your corporation.
(c) You must have an elected Board of Directors.
(d) Your by-laws must require the Board of Directors to include
representatives of each RO or RC involved in establishing the
corporation.
(e) Your voting members must be residents of the development or
developments you manage.
(f) You must be approved by the RC. If there is no council, a
majority of the households of the development must approve the
establishment of your organization to determine the feasibility of
establishing a corporation to manage the development.
(g) You may serve as both the RMC and the RC, so long as your
corporation meets the requirements of 24 CFR part 964 for a RC. (In the
case of a RMC for an Indian tribe or TDHE, you may serve as both the
RMC and the RO, so long as your corporation meets the requirements of
this program for a RO.)
(3) You can only submit one application per award period. A PHA and
its eligible resident groups, and an Indian tribe and its TDHE may
apply during the same award period as long as there is no conflict or
overlap in your proposed activities. You are eligible to apply to
receive technical assistance even if you are already receiving
technical assistance under this program, as long as your request
creates no scheduling conflict with other PHDE-TA requests. If HUD
Initiates TA with your organization, you may not receive more than one
type of technical assistance concurrently unless HUD, in consultation
with your organization, determines that the TA will not negatively
affect the quality of the PHDE-TA.
(4) You are eligible to apply to receive technical assistance
whether or not you are already receiving drug elimination funds under
the Public and Indian Housing Drug Elimination Program.
(5) You must comply with the laws, regulations, and Executive
Orders applicable to the Drug Elimination TA Program, including
applicable civil rights laws.
(C) Eligible Activities
(1) Funding is limited to technical assistance for carrying out
activities authorized under Chapter 2, Subtitle C, Title V of the Anti-
Drug Abuse Act of 1988 (42 U.S.C. 11901 et. seq.), as amended by
section 581 of the National Affordable Housing Act of 1990 (Pub.L. 101-
625, approved November 28, 1990) (NAHA), and section 161 of the Housing
and Community Development Act of 1992 (Pub.L. 102-550, approved October
28, 1992) (HCDA 1992).
(2) The following circumstances are eligible for HUD-Initiated
Technical Assistance under the Public and Indian Housing Drug
Elimination Technical Assistance Program. Eligible parties may receive
technical assistance initiated and approved by HUD due to drug- and/or
crime-related circumstances that require immediate attention. HUD-
Initiated technical assistance may be requested by HUD staff for one or
more of the following circumstances:
(a) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs
that applied, but did not receive a Public Housing Drug Elimination
Program Grant;
(b) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs
that are unable to document their drug and/or crime problems through
crime statistics;
(c) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs
that do not have the expertise to develop effective drug and crime
prevention programs;
(d) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs
that have difficulty developing and/or maintaining partnerships within
the community;
(e) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs
that have difficulty developing and/or fostering a sense of partnership
regarding drug- and/or crime-related problems with residents;
(f) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs
that need assistance in developing evaluation mechanisms for drug
elimination programs and strategies to include ``One Strike and You're
Out'' and the Public Housing Drug Elimination Program; and
(g) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs
with special circumstances whose needs fit under the scope of this
program section of the SuperNOFA.
(4) Ineligible Activities. Funding is not permitted for:
(a) Any type of monetary compensation for residents.
(b) Any activity that is funded under any other HUD program,
including TA and training for the incorporation of RCs or RMCs, and
other management activities.
(c) Any type of resident training that does not relate to or result
in crime and drug reduction or elimination.
(d) Salary or fees to your staff, or your former staff within a
year of their employment.
(e) Underwriting conferences.
(f) Conference speakers.
(g) Program implementation, proposal writing, financial support for
existing programs, or efforts requiring more than 30 billable days of
technical assistance over a 90 day period or assistance that will
require more than 90 days to complete; the purchase of hardware or
equipment, or any activities deemed ineligible in the Drug Elimination
Program, excluding consultant's fees.
IV. Program Requirements
Except as stated below in this section, you must meet the
requirements listed in Section II of the General Section of this
SuperNOFA. You must also meet these additional requirements:
(A) Individual Award Amounts. You may not submit an application for
more than $15,000.
(1) Applications for short-term technical assistance may be funded
up to $15,000, with HUD providing payment directly to your authorized
consultant for the consultant's fee, travel, room and board, and other
approved costs at the government rate approved by HUD.
(2) Technical assistance initiated by HUD may be for any amount up
to $25,000 when HUD staff determine that more than 30 billable days of
technical assistance over a 90-day period is justified.
(B) Receipt of More than One Application. If HUD receives more than
[[Page 9775]]
one application from a HA, or a group of RCs, ROs, or RMCs, or an
Indian tribe and a TDHE, in proximity to one another, HUD may exercise
discretion to consider any two or more applications as one,
recommending one or more consultants and executing contracts for any
combination of applications.
(C) Affirmatively Furthering Fair Housing. Section II.(D) of the
General Section does not apply to this technical assistance program.
(D) Eligible Consultants. HUD is seeking individuals or entities
who have experience working with public or Tribal housing or other low-
income populations to provide short-term technical assistance under
this PHDE-TA Program section of the SuperNOFA. Consultants who have
previously been deemed eligible and are part of HUD's TA Consultant
Database need not reapply, but are encouraged to update their file with
more recent experience and rate justification.
(1) To qualify as an eligible consultant, you should have
experience in one or more of the following general areas:
(a) PHA/Indian tribe or TDHE-related experience with: agency
organization and management; facility operations; program development;
and experience working with residents and community organizations.
(b) Anti-crime and anti-drug-related experience with: prevention/
intervention programs; and enforcement strategies.
(c) Experience as an independent consultant, or as a consultant
working with a firm with related experience and understanding of on-
site work requirements, contractual, reporting and billing
requirements.
(2) HUD is especially interested in encouraging TA consultant
applications from persons who are qualified and have extensive
experience planning, implementing, and/or evaluating the following
professional areas:
(a) Lease, screening and grievance procedures;
(b) Defensible space, security and environmental design;
(c) Parenting, peer support groups and youth leadership;
(d) Career planning, job training, tutoring and entrepreneurship;
(e) Community policing, neighborhood watch and anti-gang work;
(f) Strengthening resident organizing, involvement, and relations
with management; and
(g) ``One Strike You're Out'' programs.
(3) Additional requirements for consultants include the following:
(a) In addition to the conflict of interest requirements in 24 CFR
part 85, no person who is an employee, agent, officer, or appointed
official of an eligible applicant may be funded as a consultant to that
organization by this Drug Elimination Technical Assistance Program.
(b) If you are a consultant who wishes to provide drug elimination
technical assistance services through this program, you must not have
had any involvement in the preparation or submission of any PHDE-TA
proposal. Your involvement will be considered a conflict of interest,
making you ineligible for providing consulting services to the eligible
applicant and will disqualify you from future consideration. This
prohibition shall also be invoked for preparing and distributing
prepared generic or sample applications to entities eligible to apply
for funding under this program. If HUD determines that any application
submitted by a PHA, Indian tribe or TDHE, RC, RO or RMC duplicates a
sufficient amount of any prepared sample to raise issues of possible
conflict of interest, and HUD determines you provided and distributed
the sample, you will be disqualified from receiving HUD funds.
(4) HUD-registered consultants are eligible to receive funds to be
reimbursed for up to $15,000 for conducting short-term technical
assistance. Long-term results are expected from each job. After your
work is completed, evaluations from recipients of the technical
assistance services will be submitted to HUD on your work performance.
The evaluations will be carefully reviewed to make sure the recipients
of TA are satisfied with your services. If your performance receives a
satisfactory rating, you will be reimbursed by HUD. In extreme cases of
technical assistance needs, staff members of HUD Headquarters and field
offices may recommend specialized technical assistance for which you
can receive up to $25,000 in funds.
(E) Ineligible Consultants. Consultants and/or companies currently
debarred or suspended by HUD are not eligible to perform services under
this program. Also, consultants that are not in the official Consultant
database are considered ineligible for this program.
(F) Application Process for Consultants. (1) If you are an
individual or entity interested in being listed in the PHDE-TA
Consultant Database, you must prepare your application and send it to
the address specified in the application kit. Before you can be entered
into the Consultant Database, you must submit an application that
includes the following information:
(a) The Consultant Resource Inventory Questionnaire, including at
least three written references, all related to the general areas listed
in this PHDE-TA Program section of the SuperNOFA. One or two of the
written references must relate to work for a PHA, Indian tribe or TDHE,
RC, RO or RMC;
(b) A resume;
(c) Documented evidence of the standard daily fee previously paid
to you for technical assistance services similar to eligible activities
under this PHDE-TA Program. If you can justify up to the equivalent of
ES-IV, or $462.00 per day, your evidence must include an accountant's
statement, W-2 Wage Statements, or payment statements, supplemented
with a signed statement or other evidence from the employer of days
worked in the course of the particular project (for a payment
statement) or the tax year (for a W-2 Statement).
(2) You may not have any more than two contracts or purchase orders
at one time nor be involved with more than one company at a time that
has active Technical Assistance contracts. If you are working as a
member of a multi-person firm, the key individual for the specific
contract must be listed on each contract as the point of contact. The
point of contact must be on-site more hours than any other contracted
staff billing to the purchase order, and that individual may have no
more than two purchase orders active at the same time.
(3) HUD will determine your specific fee based upon the evidence
you submitted under this PHDE-TA Program.
(4) If you are an employee of a housing agency (HA), Indian tribe,
or TDHE, you may not serve as a consultant to your employer. If you
serve as a consultant to other than your employer, you must be on
annual leave to receive the consultant fee.
(5)(i) Consultants may not be requested by name from HUD's
database.
(ii) Consultants will be recommended to an organization seeking TA,
based on factors including previous experience, reasonableness of the
fee, and geographic proximity to the site where TA will be provided.
Section V of this PHDE-TA section of this SuperNOFA explains this
further.
V. Application Selection Process
(A) General
HUD will review applications on a continuing first-come, first-
served basis, until funds under this PHDE-TA section of the SuperNOFA
are no longer available. Eligible applications will be
[[Page 9776]]
funded in the order in which negotiations for a statement of work are
completed. HUD-Initiated applications will be received throughout the
year with no deadline or until funds are expended.
(B) Threshold Requirements for Funding Consideration
If you are requesting TA services, you must meet the following
requirements:
(1) Your application must not request an ineligible activity. You
cannot request PHDE-TA by answering ``to conduct a needs assessment or
survey.'' You must be able to answer the questions below and discuss
what prevents you from identifying, describing, and/or measuring the
problems.
(a) What is the nature of the drug-related crime problem in your
community in terms of the extent of crime, the types of crime, and the
types of drugs being used? You should include quantifiable or
qualitative data on drug problems or criminal activity.
(b) What problem(s) do you need technical assistance to address,
how do you plan to address them, and how will you know the technical
assistance provided was successful in addressing the problem(s)?
(c) What types of partnerships currently exist between your
organization and other organizations in or within the community (i.e.,
the police, social service organizations, universities, the YMCA/YWCA,
etc.)?
(d) How will PHDE-TA be used to improve those relationships?
(e) What specific output, outcome, results, or deliverables do you
expect from the consultant, including improved coordination or
partnership arrangements within your community?
(f) What steps are you and your organization currently taking to
measure, understand or address the drug-related crime problem in your
development or housing authority?
(g) How will the proposed assistance allow you to develop an anti-
drug, anti-crime strategy; or how will the proposed assistance fit into
your current strategy?
(2) The application must include the form, ``HUD Field Office/AONAP
Confirmation Form.''
(3) If your application does not meet the requirements described
above it will not be considered for funding.
(C) Application Awards
(1) If your application is deemed eligible for funding and
sufficient funds are available, you will be contacted by HUD or its
agent to confirm the work requirements.
(2) Only one application will be accepted from a HA, Indian tribe
or TDHE; or group of RCs, ROs or RMCs in proximity to one another. HUD
may exercise its discretion to consider any two or more applications as
one, assuming that the applications are received at the same time, or
before approval by the Office of Finance and Accounting and the Office
of Procurement and Contracts, executing the contract, and providing
notification to the consultant to proceed to work.
(3) Once your application for TA has been reviewed and found
acceptable by HUD, the TA Consultant Database will be searched for
consultants who have:
(a) A principal place of business or residence located within the
same geographic area as the applicant. For purposes of this program
section of the SuperNOFA, the term ``geographic area'' refers to, in
order of priority: city, state, region, and country;
(b) The requisite knowledge, skills, and abilities to respond to
the request and in address the identified needs; and
(c) The most reasonable (least expensive) fees.
(4) HUD will then forward to you a list of suggested consultants
from the consultant data base. From this list, you must select a
consultant to provide your requested TA.
(5)(a) From the list provided by HUD, you must contact three TA
consultants. HUD may request confirmation from each contacted
consultant that they were contacted. If HUD determines that any
consultant was not contacted, HUD may consider your selection by the
applicant void, and can choose a consultant for you.
(b) After contacting each consultant, you must send a written
justification for your recommended selection in order preference. If
any are unacceptable, you must also indicate the consultant and the
reasons you find them unacceptable.
(c) If you find that all referred consultants lack the requisite
expertise, you must provide written detailed documentation justifying
this decision. If HUD determines that your justification is adequate,
you will be provided with a second list of potential consultants.
(d) If you do not provide HUD the written justification of
consultant choice within 30 calendar days, HUD reserves the right to
cancel your TA request.
(6)(a) HUD or its agent will work with your selected consultant and
you to develop a ``statement of work.'' The statement of work should
include:
(i) A time line and estimated budget;
(ii) A discussion of the kind of technical assistance and skills
needed to address the problem, and how the technical assistance
requested will address these needs; and
(iii) A description of the current crime and drug elimination
strategy, and how the requested technical assistance will assist that
strategy. If the applicant does not currently have a strategy, there
should be a statement of how the technical assistance will help them
develop a crime and drug elimination strategy.
(b)(i) When HUD has completed the authorization to begin work, your
selected consultant will be contacted to start work. Your consultant
must receive written authorization from HUD or its authorized agent
before beginning to provide technical assistance. The requesting
organization and the relevant Field Office or Area Office of Office of
Native American Programs will also be notified that authorization to
begin work has been given.
(ii) Work begun before the authorized date will be considered
unauthorized and will not be compensated by HUD.
(iii) Consultants will only be reimbursed for a maximum of 30 days
of work, which must be completed in fewer than 90 days from the date of
the approved statement of work. The exception to this will be for HUD-
Initiated technical assistance.
VI. Application Submission Requirements
(A) General
In addition to the program requirements listed in the General
Section of this SuperNOFA, each TA application must conform to the
requirements of the Public and Indian Housing Drug Elimination
Technical Assistance Application Kit, both in format and content. A
PHDE-TA application must include both the descriptive letter (or form
provided in the application kit) and certification statement (or form
provided in the application kit) to be eligible for funding.
(B) Forms, Certifications and Assurances
In addition to the forms, certifications and assurances listed in
Section IV of the General Section of the SuperNOFA, the following must
be complied with:
(1) Applications must be signed and certified by both the Executive
Director or Tribal Council or authorized TDHE official and a resident
leader.
(2) The certification must indicate that:
(a) A copy of the application was sent to the local HUD Field
Office, Director of Public Housing Division, or Administrator, Office
of Native American Programs;
(b) The application was reviewed by both the housing authority
Executive
[[Page 9777]]
Director or Tribal Council or authorized TDHE official, and a resident
leader of your organization; and
(c) Any technical assistance received will be used in compliance
with all requirements in the SuperNOFA.
(3) The application must contain a four page (or fewer) application
letter responding to each of the requirements listed in Section V(B) of
the PHDE-TA Program section of the SuperNOFA.
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), the assistance provided
under this program relates only to the provision of technical
assistance and therefore is categorically excluded from the
requirements of the National Environmental Policy Act and is 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 this program.
IX. Authority
The FY 1999 HUD Appropriations Act under the heading, ``Drug
Elimination Grants for Low-Income Housing (Including Transfer of
Funds).''
BILLING CODE 4210-32-P
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9779]]
[GRAPHIC] [TIFF OMITTED] TN26FE99.033
BILLING CODE 4210-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9781]]
Funding Availability for Drug Elimination Grants for Federally
Assisted Low-Income Housing (Multifamily Housing Drug Elimination)
Program Overview
Purpose of the Program. The purpose of this Multifamily Housing
Drug Elimination Grant Program is to enable owners of federally
assisted low-income housing developments to deal effectively with drug-
related criminal activity in and around their developments, through a
plan of activities including enhanced security measures, and drug-abuse
prevention, intervention, referral, and treatment programs.
Available Funds. Approximately $16.25 million.
Eligible Applicants. Only owners of eligible developments may apply
for and become the recipient of grant funds. Property management
companies may administer grant programs, but are not eligible
applicants.
Application Deadline. June 16, 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. Your completed application (an original and
two copies) is due on or before 6:00 pm local time in the HUD Field
Office with jurisdiction over your development on June 16, 1999.
See the General Section of this SuperNOFA for specific procedures
concerning the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. The Appendix contains a list
of HUD Field Offices where you must send your application by the
deadline. Please address your application to the Director, Multifamily
Housing Hub or Program Center in your local HUD Field Office.
For Application Kits. For an application kit, please call the
SuperNOFA Information Center at 1-800-HUD-8929. If you have a hearing
or speech impairment, please call the Center's TTY number at 1-800-843-
2209. When requesting an application kit, please refer to Multifamily
Housing Drug Elimination Grants, and provide your name, address
(including zip code) and telephone number (including area code). An
application kit also will be available on the Internet at http://
www.hud.gov.
For Further Information and Technical Assistance. Your local HUD
Field Office staff can answer most of the questions you have regarding
this program section of the SuperNOFA and your application kit. Please
contact the Resident Initiatives Specialist or Drug Elimination Grants
contact person in your local office.. If you have a general question
that the Field staff are unable to answer, please call Carissa Janis,
Housing Project Manager, Office of Portfolio Management, Department of
Housing and Urban Development, 451 Seventh Street, SW, Room 6174,
Washington, DC 20410; (202) 708-3944, extension 2484 (this number is
not toll free). If you are hearing or speech impaired, you may access
this number via TTY by calling the Federal Information Relay Service at
1-800-877-8339.
II. Amount Allocated
HUD is allocating grant funds under this Multifamily Drug
Elimination Grant Program section of the SuperNOFA to the four Award
Offices, in accordance with the following schedule:
------------------------------------------------------------------------
Award office covered Allocation
------------------------------------------------------------------------
Buffalo: $4,015,000
Vermont, Massachusetts, Connecticut, Rhode Island,
Maine, New Hampshire, New York, New Jersey,
Pennsylvania, Delaware, Maryland, District of
Columbia, West Virginia, Virginia..................
Knoxville: 4,110,000
Kentucky, Tennessee, North Carolina, South Carolina,
Georgia, Alabama, Puerto Rico, Mississippi,
Florida, Iowa, Kansas, Missouri, Nebraska..........
Minneapolis 3,919,000
Illinois, Minnesota, Indiana, Wisconsin, Michigan,
Ohio...............................................
Little Rock 4,206,000
Arkansas, Louisiana, New Mexico, Oklahoma, Texas,
Colorado, Montana, North Dakota, South Dakota,
Utah, Wyoming, Arizona, California, Hawaii, Nevada,
Alaska, Idaho, Oregon, Washington..................
------------------------------------------------------------------------
The Award Offices will select applicants for award according to the
process discussed in Section V of this program section of the
SuperNOFA.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description
The Federally Assisted Low-Income Housing Drug Elimination Grant
program is designed to assist property owners to reduce or eliminate
drug-related criminal activity in and around their developments and to
provide programs to prevent or eliminate drug use and abuse among their
residents. While this program is centered in and around the premises of
one or more HUD assisted multifamily housing sites, you are expected to
work closely with other community social service and law enforcement
organizations to achieve specific program objectives to reduce or
eliminate drug-related criminal activity. The development of these
strong working partnerships is an essential part of this program and is
seen by the Department as necessary for long-term strategies to fight
crime and drug abuse. Thus, while your activities are targeted in or
around one or more developments, HUD expects you to link your
activities with services available in your community. In particular,
HUD is seeking plans that provide successful, proven, and cost-
effective deterrents to drug-related crime and drug abuse that are
designed to address the realities of federally assisted low-income
housing environments.
Changes to This Year's Program. This year the Rating Factors,
application selection process, and submission requirements have changed
significantly from last year. In developing your application, please
pay special attention to Sections V.(A), V.(B), and VI., below, of this
program section of the SuperNOFA, which discuss these items in detail.
This program section of the SuperNOFA also clarifies that Section 202
developments with project-based Section 8 assistance are eligible to
apply. A number of activities have been added to both the ``eligible''
and ``ineligible'' activities sections, so be sure to read these
carefully.
[[Page 9782]]
(B) Eligible Applicants
(1) To be eligible for funding, you must meet all of the applicable
threshold requirements of Section II.(B) of the General Section of the
SuperNOFA and must be owners of developments assisted under the
following programs:
(a) Sections 221(d)(3), 221(d)(4), or 236 of the National Housing
Act;
(b) Section 101 of the Housing and Urban Development Act of 1965;
or
(c) Project-based assistance under Section 8 of the United States
Housing Act of 1937. This includes Section 202, Section 515, State
Housing Finance Agency, and Moderate Rehabilitation developments.
(2) If you are a management agent, you may prepare applications and
sign application documents if you provide written authorization from
the owner corporation as part of your application.
(3) If your eligibility status changes during the course of the
grant term, making you ineligible to receive a grant (e.g. due to
prepayment of mortgage, sale of property, or opting out of a Section 8
Housing Assistance Payment (HAP) contract), HUD has the right to
terminate your grant.
(C) Eligible Activities
Your proposed drug elimination program should foster
interrelationships among the residents, the housing owner and
management, the local law enforcement agencies, and other community
groups affecting your development. Resident participation in the
determination of programs and activities to be undertaken is critical
to the success of all aspects of your program. In addition to working
closely with the development's residents, your program must include
working with community groups, the neighborhood law enforcement
precinct, residents of adjacent developments, and the community as a
whole to enhance and magnify the effect of your specific program
activities. HUD seeks result-oriented programs that promote stability,
positive and lasting changes in and around your development and the
surrounding community, and which use proven cost-effective measures to
reduce drug use or prevent criminal activity.
With the very real need to protect occupants of HUD-assisted
housing and the areas around the housing, the civil rights of all
citizens must be protected. Your proposed strategies should be
developed to ensure that crime-fighting and drug prevention activities
are not undertaken in such a manner that civil rights or fair housing
statutes are violated. You may not use race, color, sex, religion,
national origin, disability, or familial status to profile persons as
suspects or otherwise target them in conducting these activities. In
addition, all segments of the population should be represented in
developing and implementing your crime-fighting strategies.
(1) Physical Improvements To Enhance Security. Physical
improvements to enhance security are eligible activities under this
program. All physical improvements must be accessible to persons with
disabilities and must meet the accessibility requirements of 24 CFR
part 8, Nondiscrimination Based on Handicap in Federally Assisted
Programs and Activities of the Department of Housing and Urban
Development.
Your physical improvements may include systems to limit building
access to development residents; installation of barriers, lighting
systems, fences, bolts, locks; landscaping or reconfiguration of common
areas to discourage drug-related crime; or other physical improvements
that enhance security and discourage drug-related activities.
Rehabilitation of existing space for use by drug-related intervention
and prevention programs is an eligible activity.
(2) The provision of training, communications equipment, and other
related equipment for use by voluntary tenant patrols acting in
cooperation with local law enforcement officials is an eligible
activity.
(3) Programs to Reduce the Use of Drugs. Programs to reduce the use
of drugs in and around your development, including drug-abuse
prevention, intervention, referral, and treatment are eligible for
funding. Where appropriate, you must establish a confidentiality policy
regarding medical and disability-related information. Funding is
permitted for reasonable, necessary, and justified leasing of vehicles
for resident youth and adult education and training activities directly
related to ``programs to reduce the use of drugs'' under this section.
(a) Drug Prevention. Your drug prevention activities should provide
a comprehensive drug prevention approach that will address the
individual resident and his or her relationship to family, peers, and
the community. Prevention activities should identify and change the
conditions in federally assisted low-income housing that lead to drug-
related problems and lower the risk of drug usage. Many components of a
comprehensive approach, such as refusal and restraint skills training
or drug-related family counseling, may already be available in your
community. Your plan should include bringing program components already
available in the community onto the premises. Proposed activities may
include the following:
(i) Drug Education Opportunities for Residents. Activities should
provide both young people and adults with the working knowledge and
skills needed to avoid the potential and immediate dangers of illegal
drugs. You may contract (in accordance with 24 CFR Part 85.36) with
drug education professionals to provide training or workshops.
Contracted drug education services must reflect or be tied to your
program plan.
(ii) Family and Other Support Services. Prevention programs should
be designed to help foster successful family relationships that may
inhibit or reduce drug use. Examples of services include parenting
skills workshops, short-term family counseling, child care, or family
educational, cultural, or educational programs. You may provide these
programs directly or refer residents to such services already available
in your community.
(iii) Youth Services. If you propose drug prevention services in
your plan and your development has a substantial number of young
residents, HUD strongly encourages you to include youth in your
prevention programs. Your proposed prevention activities for youth must
involve the active participation of youth in planning programs and
service delivery. Such youth-oriented drug prevention programs may
include youth leadership skills training; events incorporating
dissemination of drug education information; and sports, recreational,
cultural, and general education activities.
(iv) Economic/Educational Opportunities. Eligible economic or
educational programs should have the objectives of assisting residents
in improving their educational status, vocational and job readiness
skills, and opportunities for obtaining employment. The ultimate goal
of services should be to assist residents in obtaining suitable
lifelong employment and self-sufficiency to deter drug use, abuse, and
related crime.
(b) Intervention. The aim of intervention is to provide residents
with substance abuse/dependency remission services to assist them in
modifying their behavior; obtaining early treatment and structured
aftercare; and maintaining remission. Your program should also be
designed to prevent drug problems from continuing once detected. If you
propose any
[[Page 9783]]
intervention program that seeks to accomplish the above objectives, you
must describe how you expect the activities to assist residents in
reducing or ceasing their use of illicit drugs and involvement in drug-
related crime.
(c) Drug Treatment. If your program provides treatment services,
they must be targeted to the development and its residents. Your
program should be conducted in or around the premises of the
development, or residents must be referred to receive treatment from
other available sources within the community. You may include
implementing new drug referral treatment or aftercare services, or
improve or expand currently available services. Your proposed drug
treatment program should aim to reduce illicit drug use among residents
by increasing resident accessibility to, and effective participation
in, drug treatment activities, and decreasing criminal activity in and
around your development. Your proposed plan must demonstrate a working
partnership with your Single State Agency (or State license provider or
authority with drug program coordination responsibilities in your
State) to coordinate, develop, and implement your drug treatment
program. In particular, you and the appropriate agency must confirm
that your proposed drug treatment provider(s) has provided these
services to similar populations for two prior years and your drug
treatment program is consistent with the State treatment plan, meeting
all State licensing requirements. Services eligible for funding may
include:
(i) Drug treatment supportive services designed for youth and/or
maternal drug abusers. Examples of services are: prenatal/postpartum
care; specialized counseling for women; or, parenting classes. You are
encouraged to draw upon approaches that have proven effective with
similar populations.
(ii) Formal referral arrangements to treatment programs not in or
around the development when treatment costs from sources other than
this program are available.
(iii) Transportation for residents to out-patient treatment and/or
support programs.
(iv) Family/collateral counseling.
(v) Linking programs with educational/vocational counseling.
(vi) Coordinating services with appropriate local drug agencies,
HIV-related service agencies, and mental health and public health
programs.
(D) Ineligible Activities
The following activities are not eligible for funding:
(1) Hiring of, or contracting for, employment of security guards to
provide security services in and around the development.
(2) Any activity or improvement that is normally funded from
project operating revenues for routine maintenance or repairs, or those
activities or improvements that may be funded through reasonable and
affordable rent increases;
(3) The acquisition of real property or those physical improvements
that involve the demolition of any units in your development or
displacement of tenants;
(4) Costs incurred prior to the effective date of your grant
agreement, including consultant fees for surveys related to your
application or its preparation;
(5) Reimbursement of local law enforcement agencies for additional
security and protective services;
(6) Employment of one or more individuals to investigate drug-
related crime in or around federally-assisted low-income developments
and/or to provide evidence relating to such crime in any administrative
or judicial proceeding;
(7) Treatment of residents at any in-patient medical treatment
programs or facilities;
(8) Detoxification procedures designed to reduce or eliminate the
presence of toxic substances in body tissues of a patient;
(9) Maintenance drug programs; [Maintenance drugs are medications
that are prescribed regularly for a long period of supportive therapy
(e.g., methadone maintenance), rather than for immediate control of a
disorder.]
(10) Programs to treat alcoholism; and
(11) Funding of police informants who provide information about
drug-related activity.
IV. Program Requirements
In addition to the requirements listed in Section II of the General
Section of this SuperNOFA, you must also meet the additional
requirements in this Section IV. These requirements apply to all
activities, programs, and functions used to plan, budget, and evaluate
the work funded under your program.
(A) Administrative Costs
Administrative costs cannot exceed 10% of your proposed program's
total cost.
(B) Term of Funded Activities
Your grant term cannot exceed twelve months.
(C) Multiple Developments
There is no limit to the number of developments that can be
included in your application. However, if you include more than one
development in your application, all developments must be eligible and
located in the same Field Office jurisdiction. In addition, you must
demonstrate in your response to Rating Factor 3 ``Soundness of
Approach--(Quality of the Plan)'' that your program will be feasible to
implement among all proposed developments.
(D) Subgrants and Subcontracting
You may directly undertake or subcontract for any of the eligible
activities under this Multifamily Drug Elimination Program section of
the SuperNOFA. Resident groups that are not incorporated may work with
you in the implementation of your program, but may not receive funds as
subgrantees.
(E) Collection of Crime Data
If you receive a grant, you will be required to collect and report
on Parts I and II crime data. Parts I and II crime data are defined by
the Uniform Crime Reporting (UCR) System (see Rating Factor 2,
paragraph (1)(d)).
V. Application Selection Process
(A) Rating and Ranking
All applications will be evaluated competitively and ranked against
applications in the same Field Office.
The maximum number of points for this program is 102. This includes
two Empowerment Zone/Enterprise Community (EZ/EC) bonus points, as
described in the General Section of the SuperNOFA. For bonus points
related to activities located in Empowerment Zones or Enterprise
Communities, the applicant must demonstrate that there is a connection
between such EZ or EC and tenant, local government, and local community
support and participation in the design and implementation of the
proposed activities to be funded under this program.
(B) Distribution of Funds
Each Award Office may recommend a total number of awards up to the
amount allocated for the area covered by the Award Office. Award
Offices will receive the scores from each HUD Field Office which has
received, rated, and ranked its applications.
The Award Offices will conduct the selection process as follows:
The Award Office will first select the highest ranked application in
each Field Office for funding. After this ``round,'' the Award Office
will select the second highest
[[Page 9784]]
ranked application in each Field Office for funding (the second round).
The Award Office will continue this process with the third, fourth, and
so on, highest ranked applications in each Field Office until the last
complete round is selected for funding. If available funds exist to
fund some but not all eligible applications in the next round, the
Award Office will make awards to those remaining applications in rank
order regardless of Field Office and will fully fund as many as
possible with remaining funds. Any funds still remaining after the
Award Office distribution by rank will be forwarded to Headquarters,
which shall make awards to fully fund as many remaining applications as
possible by national rank order. All applications must receive a score
equal to or greater than the minimum score of 70 without bonus points
to be considered for funding.
The selection process is designed to achieve both geographic
diversity and a more equitable distribution of grant awards throughout
the country. Every HUD Field Office will receive several grant awards,
as long as the scores of their applications meet or exceed the minimum
score. It also means that your one application submitted to a Field
Office will primarily compete for funding with other applications
submitted to that same Field Office.
(C) Procedure to resolve tied scores.
If two or more applications have the same score and there are
insufficient funds to fund all of them, the application with the
highest score for the Soundness of Approach rating factor shall be
selected for funding. If a tie still remains, the application with the
highest score for the Capacity of the Applicant and Relevant
Organizational Experience rating factor shall be selected. Further tied
applications will be selected by their scores in the Need/Extent of
Problem, Leveraging Resources, and Comprehensiveness and Coordination
rating factors, in that order. If the applications received the same
score for each of the five factors, the Award office or Headquarters
will break the remaining tie by selecting the application that requests
less funding.
(D) Factors for Award Used to Evaluate and Rate Applications.
The five factors in this section total 100 points. An application
must receive a score of at least 70 points to be eligible for funding
under this competition. Each application submitted will be evaluated
using the following selection criteria set forth below.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
This factor addresses the extent to which you have organizational
resources necessary to successfully implement the proposed activities
in a timely manner. In rating this factor, HUD will consider the extent
to which you demonstrate the capabilities described below.
(1) (20 points) The knowledge and experience of your staff and
administrative capacity to manage grants, including administrative
support functions, procurement, lines of authority, and fiscal
management capacity. Your narrative must include a discussion of
financial capacity, staff resources, and prior experience that will
enable you to effectively administer a grant and meet reporting
requirements. This narrative must not exceed five pages.
(2) HUD's evaluation approach. (a) For Public Housing Authorities
(PHAs) and tribally designated housing entities (TDHEs) that had
previously applied as IHAs, HUD will also consider such measurements as
the uniform crime index, physical inspections, agency monitoring of
records, Line of Credit Control System (LOCCS) Reports, audit and such
other relevant information available to HUD on the capacity of the
owner or manager to administer the grant.
(b) For owners of federally-assisted low income housing, HUD will
also consider the most recent Management Review (including Rural
Housing Management Review), HUD's Uniform Physical Conditions Standards
review, State Agency review, physical inspection, and other relevant
information available to HUD on the capacity of the owner and manager
to undertake the grant.
(3) (Deduct up to 5 points for prior poor performance) Your
performance in administering Drug Elimination funding in the previous 5
years.
You must identify your participation in HUD grant programs within
the preceding five years and discuss the degree of your success in
implementing and managing these grant programs. Your discussion should
describe program implementation, timely drawdown of funds, timely
submission of required reports with satisfactory outcomes related to
the plan and timetable, audit compliance, whether there are any
unresolved findings from prior HUD reports (e.g., performance or
finance) reviews of audits undertaken by HUD, the Office of Inspector
General, the General Accounting Office or independent public
accountants).
For PHAs, your past experience will be evaluated in terms of your
ability to attain demonstrated measurable progress in tracking drug
related crime, enforcement of screening and lease procedures in
implementation of the ``One Strike and You're Out Initiative'' (as
applicable), the extent to which you have formed a collaboration with
Tribal, State and local law enforcement agencies and courts to gain
access to criminal conviction records of potential tenants to determine
their suitability for residence in public housing. Such data will be
measured and evaluated based on your Public Housing Management
Assessment Program (PHMAP) score (24 CFR part 901).
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor addresses the extent to which there is a need for
funding your proposed program activities to address a documented
problem in the target area (i.e., the degree of the severity of the
drug-related crime problem in the development proposed for funding). In
responding to this factor, HUD will evaluate your application based on
the extent to which a critical level of need for the proposed
activities is explained and you provide a justification for the urgency
of meeting the need in your development and the area around your
development. Your application must include a description of the extent
and nature of drug-related crime ``in or around'' the housing units or
development you propose for funding.
You will receive up to 25 points for this factor if your statistics
and explanation of need establish critical crime problems and an
urgency to address these problems in and around your development. To
receive the maximum number of points, you must provide statistics for
both the premises of your development and the smallest geographic area
surrounding your development for which objective statistics are
available in your community, town, or city. If you use statistics from
institutions (e.g. hospitals or schools), the institutions must
directly serve the residents of the targeted development. If the
statistics you provide do not indicate a critical need, urgency to meet
this need, or you do not provide statistics that document the need
within your development or the area around your development, you will
not receive the maximum number of points. If you do not submit the
letter or documentation for the ``non-objective'' data, indicated in
paragraph
[[Page 9785]]
2(a), below, you will also receive fewer points.
The statistics and information you provide must include the
following:
(1) ``Objective Crime Data'' relevant to the target area. Such data
should consist of verifiable records and not anecdotal reports. Where
appropriate, the statistics should be reported both in real numbers and
as an annual percentage of the residents in each development (e.g., 20
arrests in a one-year period for distribution of heroin in a
development with 100 residents reflects a 20% occurrence rate). Such
data may include:
(a) Police records or other verifiable information from records on
the types or sources of drug related crime in the targeted development
and surrounding area;
(b) The number of lease terminations or evictions for drug-related
crime at the targeted development; and
(c) The number of emergency room admissions for drug use or that
result from drug-related crime. Such information may be obtained from
police Departments and/or fire departments, emergency medical service
agencies and hospitals. The number of police calls for service from
your development that include resident initiated calls, officer-
initiated calls, domestic violence calls, drug distribution complaints,
found drug paraphernalia, gang activity, graffiti that reflects drugs
or gang-related activity, vandalism, drug arrests, and abandoned
vehicles.
(d) To the extend possible, you should obtain statistics on Part I
and Part II crimes, as defined by the Uniform Crime Reporting (UCR)
System. Part 1 crimes include: criminal homicide, forcible rape,
robbery, aggravated assault two (including domestic violence through
use of a weapon or by means likely to produce death or great bodily
harm), burglary-breaking or entering, larceny-theft (except motor
vehicle theft), motor vehicle theft, and arson. Part II crimes include:
assaults, forgery and counterfeiting, fraud, embezzlement, vandalism,
weapons (carrying or possessing), prostitution and commercialized vice,
sex offenses (except forcible rape, prostitution, and commercialized
vice), drug abuse violations, gambling, offenses against the family and
children, driving under the influence, violation of liquor laws,
drunkenness, disorderly conduct, vagrancy, all other offenses related
to curfew and loitering laws and runaways.
For PHAs, such data should include housing authority police records
on the types and sources of drug related crime ``in or around''
developments as reflected in crime statistics or other supporting data
from Federal, State, Tribal, or local law enforcement agencies.
(2) Other Crime Data. If you are unable to attain objective crime
statistics as mentioned above, you may submit other supporting,
verifiable data on the extent of drug-related crime in the target area.
If you submit other relevant information in place of objective data,
you must provide the following to receive the maximum number of points:
(a) A letter or supporting documentation from your local law
enforcement agency or another relevant neighborhood organization
explaining why the objective data mentioned above is not available, and
(b) A narrative explanation of the reasons why objective data could
not be obtained, what efforts were made to obtain it, and what efforts
will be made (if possible) during the grant period to begin obtaining
the data. Such data may include the following:
(i) Surveys of residents and staff in the targeted development
surveyed on drug-related crime or on-site reviews to determine drug/
crime activity; and government or scholarly studies or other research
in the past year that analyze drug-related crime activity in your
targeted development.
(ii) Vandalism cost at your targeted development, to include
elevator vandalism (where appropriate) and other vandalism attributable
to drug-related crime.
(iii) Information from schools, health service providers, residents
and Federal, State, local, and Tribal officials, and the verifiable
opinions and observations of individuals having direct knowledge of
drug-related crime, and the nature and frequency of these problems in
your development proposed for assistance. (These individuals may
include Federal, State, Tribal, and local government law enforcement
officials, resident or community leaders, school officials, community
medical officials, substance abuse, treatment (dependency/remission) or
counseling professionals, or other social service providers.)
(iv) The school dropout rate and level of absenteeism for youth
that you can relate to drug-related crime.
(v) To the extent that the community's Consolidated Plan identifies
the level of the drug abuse and related crime problems in and around
your targeted development, and the urgency in meeting the need,
references to these documents should be included in your response. You
will receive more points if you use these documents to identify need.
Rating Factor 3: Soundness of Approach--(Quality of the Plan) (35
Points)
This factor addresses the quality and effectiveness of your
proposed work plan. In rating this factor, HUD will consider the impact
of your proposed activities and the tangible benefits that can be
attained by the community and by the target population. Your
application must include a detailed narrative describing each proposed
activity for crime reduction and elimination efforts for each
development proposed for assistance, the amount and extent of resources
committed to each activity or service proposed, and process used to
collect, maintain, analyze and report Part I and II crimes as defined
by the Uniform Crime Reporting (UCR System, as well as police workload
data.
In evaluating this factor, HUD will consider the following:
(1) (14 points) Your plan's approach to address the drug-related
crime problem and associated problems in the development proposed for
funding, the resources allocated, and the extent to which your proposed
activities are targeted to residents, provide for linkages with
existing community resources, and are likely to have long term impacts
on reducing drug use and drug-related crime in and around your targeted
development. Also, you must include the rational for the proposed
activities and methods to be used in developing your program and
approach to reducing drug-related crime and drug abuse. If you propose
drug prevention or intervention activities, these services must
constitute a continuing and comprehensive approach to deter drug use or
abuse among your residents and their neighbors. Your proposal must
demonstrate how your activities work together with other on-going
activities in the community and how these activities rely upon each
other to form a holistic plan. Your plan must include the following
items. If these are not included, you will receive fewer points under
this subfactor:
(a) An explanation of how any proposed physical improvements will
be accessible to persons with disabilities and a statement that they
will meet the accessibility requirements of 24 CFR part 8,
Nondiscrimination Based on Handicap in Federally Assisted Programs and
Activities of the Department of Housing and Urban Development;
(b) A discussion of how any drug education services that you
propose to
[[Page 9786]]
undertake directly or through a subcontract will reflect the objectives
of your program plan;
(c) A specific explanation of how you plan to incorporate the
active participation of youth in planning prevention programs and
services targeted to their needs; and
(d) If you propose drug treatment activities, you must provide a
letter from your Single State Agency (or State license provider or
authority with drug program coordination responsibilities in your
State) that states that your program is effectively coordinating,
developing, and implementing drug treatment programs in partnership
with that entity.
(2) (10 points) The anticipated effectiveness of the plan and
proposed activities in reducing or eliminating drug-related crime
problems immediately and over an extended period. This should include
the following:
(a) A description of established performance goals for the results
to be achieved during the period of your grant. The goals must be
objective, quantifiable, and measurable, and they must be outcome or
result-oriented. Outcomes include accomplishments, results, impact and
the ultimate effects of the program on the drug or crime problem in the
target/development area.
(b) An explanation of how your proposed activities enhance and are
coordinated with on going or proposed programs sponsored by HUD, such
as Neighborhood Networks, Campus of Learners, Operation Safe Home,
``One Strike and You're Out'', Department of Justice Weed and Seed
Efforts, or any other prevention/intervention/treatment activities in
your community. Explain the specific steps you will take to share and
coordinate information on solutions and outcomes with other law-
enforcement and governmental agencies, and a description of any written
agreements in place or that will be put in place by you with these
entities.
(3) (3 points) Evidence and explanation of how proposed activities
have been effective in similar circumstances in controlling drug-
related crime. If you are proposing new methods for which there is
limited knowledge of effectiveness, you should provide the basis for
modifying past practices and rationale for why you believe the
modification will yield more effective results. HUD will look more
favorably upon proposals that target grant funds to hard program costs
and propose minimal, if any, administrative expenses.
(4) (3 points) The process you will use to maintain, analyze, and
report Part I and II crimes, as well as police workload data. Police
workload data may include, but are not limited to: all calls for
service by residents of your development, crime pattern over a period
of time by type of crime, and plans to improve data collection and
reporting. Your proposed analysis of the data collected must include a
method for assessing the impact of activities on the collected crime
statistics throughout your award period. The results of your activities
and the effect on statistics is of much greater importance than the
method you will use to collect such data, so you should pay attention
to the benchmarks you establish for measuring and evaluating your
performance, particularly measuring changes in crime rates by Part I
and Part II crime data.
(5) (1 point deducted if not addressed) The extent to which the
applicant's elimination of crime in a development or neighborhood will
expand fair housing choice and will affirmatively further fair housing.
Provide a brief statement outlining the benchmarks you will use to
measure your success in affirmatively furthering fair housing through
this program. This may include such items as lower vacancy and turnover
rates and increased new applications for housing in your development
and in other rental properties in your neighborhood, new businesses and
other community development initiatives in your area, or increased
rates of homeownership in your community. If such a statement is not
provided, you will not receive this point.
(6) (5 points) Resident Support. The extent to which you have
sought the support of residents in planning and implementing the
proposed activities.
(a) You must provide evidence that you actively sought comments,
suggestions, and support from residents for your proposed plan. State
the steps you took to obtain this information and support.
(b) Describe and provide written documentation of these comments,
suggestions, and support. HUD needs clear evidence that the residents
agree with, support, and will work with your proposed program. If
applicable, you must explain why you do not have written documentation
of such support or did not receive any comments or suggestions.
(c) Describe how residents will be involved in implementing your
program. If involvement would be minimal or not appropriate, please
state and explain why.
Rating Factor 4: Leveraging Community Resources (10 Points)
To receive points under this rating factor, you must provide
evidence of the level and type of participation and support by the
local government or law enforcement agency for your proposed
activities. This should include the level of assistance received from
local government, community organizations, and/or law enforcement
agencies. If a community organization is providing you with staff or
supporting services, you must include a letter from each organization
providing staff or support in order to receive maximum points. Each
letter must specify what type of participation or contributions the
organization will make to your program. Such letters must be from
community or public agencies (or businesses) within your unit of
general local government (i.e. county, town, city) or incorporated
resident organizations. Letters stating general support or from people
or organizations not in or around your development are not adequate and
you should not include them in your application.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you coordinate your
activities with other known organizations, participate or promote
participation in your community's Consolidated Planning process, and
are 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 your prior efforts and
future plans to coordinate with other local agencies and organizations
as follows:
(1) (3 points) Describe past efforts to coordinate your proposed
activities with those of other groups or organizations prior to
submission of your application in order to best complement, support,
and coordinate all known activities. Explain what specific steps you
will take to share information on solutions and outcomes with others.
Please describe any written agreements or memoranda of understanding
that are or will be in place after award.
(2) (6 points) Explain what specific steps you have taken or will
take to develop linkages or coordinate comprehensive solutions through
meetings, information networks, planning processes, or other
mechanisms. Explain your past efforts or planned efforts for
involvement with such programs or other HUD-funded projects/activities
outside the scope of
[[Page 9787]]
those covered by the Consolidated Plan; and/or other Federal, State, or
locally funded activities, including those proposed or on-going in the
community.
(3) (1 point) Explain specific steps you have taken or will take to
become active in your 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 you propose.
VI. Application Submission Requirements
(A) Number of Applications, Projects Per Application, and Maximum
Application Amounts. If you are an owner of an eligible project listed
in Section III.(B) of this program section of the SuperNOFA, you may
only submit one application for one or more projects within a local HUD
Field Office jurisdiction. The maximum amount of funds you may receive
for an application with one development is $125,000 and the maximum for
an application for two or more developments is $200,000.
(B) If you are an owner of developments served by a number of HUD
Field Offices, you may submit multiple applications, as long as you
submit only one application per Field Office jurisdiction.
(C) There is no limit to the number of developments per
application. However, all developments in one application must be
eligible and located in the same Field Office jurisdiction. You must
demonstrate in Rating Factor 3 ``Soundness of Approach--(Quality of the
Plan)'' that your program will be feasible to implement among all
proposed developments. In addition, you must provide pertinent
information for each Rating Factor for each proposed development.
VI. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VII. Environmental Requirements
It is anticipated that activities under this program are
categorically excluded under 24 CFR 50.19(b)(4), (b)(12), or (b)(13).
If grant funds will be used to cover the cost of any non-exempt
activities, HUD will perform an environmental review to the extent
required by 24 CFR part 50, prior to grant award.
VIII. Authority
This program is authorized under Chapter 2, subtitle C, title V of
the Anti-Drug Abuse Act of 1988 (42 U.S.C. 11901 et. seq.), as amended
by section 581 of the National Affordable Housing Act of 1990 (Pub. L.
102-550, approved October 28, 1992). The regulations for the program
are found in 24 CFR part 761, Drug Elimination Programs.
BILLING CODE 4210-32-Y
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9789]]
[GRAPHIC] [TIFF OMITTED] TN26FE99.034
BILLING CODE 4210-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notice
[[Page 9791]]
Funding Availability for the Economic Development Initiative (EDI)
Program Overview
Purpose of the Program. EDI funds are used to enhance the security
of the Section 108 guaranteed loan for the same project or to improve
the viability of a project financed with a Section 108-guaranteed loan.
An EDI grant is required to be used in conjunction with a new Section
108 guaranteed loan commitment.
Available Funds. Approximately $35 million is available for EDI
grants under this SuperNOFA.
Eligible Applicants. Any public entity eligible to apply for
Section 108 loan guarantee assistance in accordance with 24 CFR 570.702
may apply for EDI assistance under section 108 (q) and this SuperNOFA.
(See Section III(B) below for additional information regarding eligible
applicants.)
Application Deadline. June 11, 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 (one
original and two copies) on or before 12:00 midnight, Eastern time, on
June 11, 1999, to the addresses shown below.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. To HUD Headquarters. Submit
your completed application (an original and one copy) to: Processing
and Control Unit, Room 7251, Office of Community Planning and
Development, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410,
Attention: EDI Grant, by mail or hand delivery.
To the Appropriate CPD Field Office. At the same time you submit
your application to HUD Headquarters, you must submit an additional
copy of your application to the Community Planning and Development
Division of the appropriate HUD Field Office for your jurisdiction.
When submitting your application, please refer to EDI, and include
your name, mailing address (including zip code) and telephone number
(including area code).
For Application Kits. For an application kit and any supplemental
information, please call HUD's SuperNOFA Information line toll free at
1-800-HUD-8929. When requesting the application kit, please refer to
EDI. Please provide your name, address (including zip code), and
telephone number (including area code). The application kit also will
be available on the Internet through the HUD web site at http://
www.hud.gov. Persons with hearing or speech impairments may call the
Center's TTY number at 1-800-HUD-2209 to obtain an application kit.
For Further Information and Technical Assistance. Contact either
Stan Gimont or Paul Webster, Financial Management Division, Office of
Block Grant Assistance, Department of Housing and Urban Development,
451 Seventh Street, SW, Room 7178, Washington, DC 20410; telephone
(202) 708-1871 (this is not a toll-free number). Persons with speech or
hearing impairments may access this number via TTY by calling the toll-
free Federal Information Relay Service at 1-800-877-8339.
See the General Section of this SuperNOFA for guidance on technical
assistance. With respect to the Section 108 Loan Guarantee program,
which is not a competitive program and thus not subject to those
provisions of the HUD Reform Act pertaining to competitions, HUD staff
will be available to provide advice and assistance to develop Section
108 loan applications.
II. Amount Allocated
HUD has available a maximum of $35 million for the EDI program, as
appropriated in Pub.L. 105-276 (the FY 1999 VA-HUD Appropriations Act).
If any additional EDI grant monies for this SuperNOFA become available,
HUD may either fund additional applicants in accordance with this
SuperNOFA during Fiscal Year 1999 or may add any funds that became
available to funds that are available for any future EDI competitions.
As part of EDI, HUD is developing a program enhancement designed to
reduce the risk that CDBG funds will have to be used to repay Section
108 loans that finance economic development projects. This mechanism
will allow public entities to pool economic development loans and
related reserves. The diversification created by the pooling of loans
and reserves will reduce the risk that a public entity will incur a
catastrophic loss to its CDBG program if a business defaults on an
economic development loan made with Section 108 funds. The CDBG Risk
Reduction Pool will also assist public entities in satisfying the
collateral requirements for Section 108 loans. The pool's reserves and
incremental cash flows will provide an additional credit enhancement
for the Section 108 loan and thereby satisfy Section 108 additional
collateral requirements.
HUD is developing this pooling mechanism in consultation with other
Federal agencies and outside experts. HUD is considering a $10 to $20
million demonstration in FY 1999 (only $10 million of this
demonstration will be from FY 1999 funds). If the demonstration occurs,
then $25 million will be available for the EDI competition announced in
this SuperNOFA. In this event, HUD will publish a notice announcing the
availability of the funds for the FY 1999 demonstration of this
mechanism. Should there be no demonstration in FY 1999, then HUD
reserves the right to utilize the $10 million in FY 1999 funds for the
EDI competition announced in this SuperNOFA, making the total amount
available $35 million.
III. Program Description; Eligible Applicants; Eligible Activities.
(A) Program Description.
EDI is designed to enable local governments to enhance both the
security of loans guaranteed through HUD's Economic Development Loan
Fund (also known as the Section 108 loan guarantee program) and the
feasibility of the economic development and revitalization projects
that Section 108 guarantees finance. EDI accomplishes this by providing
grants to local governments to be used in conjunction with Section 108
loan guarantees.
(1) Definitions. Terms used in this program section of this
SuperNOFA have the meanings given in 24 CFR part 570 unless otherwise
specified.
Act means Title I, Housing and Community Development Act of 1974,
as amended, (42 U.S.C. 5301-et seq.).
CDBG funds means those funds collectively defined at 24 CFR 570.3,
including grant funds received pursuant to section 108(q) of the Act
and this program section of this SuperNOFA.
Economic Development Initiative (EDI) means the provision of
economic development grant assistance under section 108(q) of the Act,
as authorized by Section 232 of the Multifamily Housing Property
Disposition Reform Act of 1994 (Pub.L. 103-233, approved April 11,
1994).
[[Page 9792]]
Economic development project means an activity or activities
(including mixed use projects with housing components) that are
eligible under the Act and under 24 CFR 570.703, and that increase
economic opportunity for persons of low- and moderate-income or that
stimulate or retain businesses or jobs or that otherwise lead to
economic revitalization.
Empowerment Zone or Enterprise Community means an urban area so
designated by the Secretary of HUD pursuant to 24 CFR part 597 or 598,
or a rural area so designated by the Secretary of Agriculture pursuant
to 7 CFR part 25, subpart B.
Strategic Plan means a strategy developed and agreed to by the
nominating local government(s) and State(s) and submitted in partial
fulfillment of the application requirements for an Empowerment Zone or
Enterprise Community designated pursuant to 24 CFR part 597 or 598.
(2) Background. (a) HUD has multiple programs which are intended to
stimulate and promote economic and community development. Primary among
HUD's resources are the Community Development Block Grant (CDBG)
program and the Section 108 loan guarantee program.
(b) The CDBG program provides grant funds (approximately $4.232
billion in FY 1999) by formula to local governments (either directly or
through States) to carry out community and economic development
activities. The Section 108 loan guarantee program provides local
governments with a source of financing for economic development,
housing rehabilitation and other eligible large scale physical
development projects. HUD is authorized pursuant to Section 108 to
guarantee notes issued by CDBG entitlement communities and non-
entitlement units of general local government eligible to receive funds
under the State CDBG program. The Section 108 program is subject to the
regulations of 24 CFR part 570 applicable to the CDBG program, with the
exception of changes embodied in 24 CFR part 570, subpart M. EDI grants
support Section 108 loan guarantees as generally described under the
above section entitled ``Purpose of the Program.''
(c) For FY 1999, the Section 108 program is authorized at $1.261
billion in loan guarantee authority. The full faith and credit of the
United States will be pledged to the payment of all guarantees made
under Section 108. Under this program, communities (and States, if
applicable) pledge their future years' CDBG allocations as security for
loans guaranteed by HUD. The Section 108 program, however, does not
require CDBG funds to be escrowed for loan repayment (unless such an
arrangement is specifically negotiated as loan security and included in
the applicable ``Contract for Loan Guarantee Assistance''). This means
that a community can ordinarily continue to spend its existing
allocation for other CDBG purposes, unless needed for loan repayment.
(3) EDI Program. The EDI program was enacted in 1994 and is
intended to complement and enhance the Section 108 Loan Guarantee
program. A purpose of EDI grant funds is to further minimize the
potential loss of future CDBG allocations:
(a) By strengthening the economic feasibility of the projects
financed with Section 108 funds (and thereby increasing the probability
that the project will generate enough cash to repay the guaranteed
loan);
(b) By directly enhancing the security of the guaranteed loan; or
(c) Through a combination of these or other risk mitigation
techniques.
(4) Purpose of EDI Funding. HUD intends the approximately $35
million in EDI funds to stimulate economic development by local
governments and private sector parties. HUD desires to see EDI and
Section 108 funds used to finance projects and activities that will
provide near-term results and demonstrable economic benefits, such as
job creation and increases in the local tax base.
(5) Additional Security for Section 108 Loan Guarantee. Public
entities should be mindful of the need to provide additional security
for the Section 108 loan guarantee pursuant to 24 CFR 570.705(b)(3).
Although a public entity is required by the Act to pledge its current
and future CDBG funds as security for the Section 108 loan guarantee,
the public entity will usually be required to furnish additional
collateral. In most cases, the additional collateral consists (in whole
or in part) of the asset financed with the Section 108 loan funds
(e.g., a loan made to a business as part of an economic development
project). Applications proposing uses for EDI funding that enhance the
viability of projects will help ensure that the project-based asset(s)
will satisfy the additional collateral requirements.
(6) Typical Project Structures. Provided that proposals are
consistent with other CDBG requirements, including national objectives,
HUD envisions that the following project structures could be typical:
(a) Funding Reserves. The cash flow generated by an economic
development project may be expected to be relatively ``thin'' in the
early stages of the project, i.e. potentially insufficient cash flows
to meet operating expenses and debt service obligations. The EDI grant
can make it possible for reserves to be established in a way that
enhances the economic feasibility of the project.
(b) Over-Collateralizing the Section 108 Loan. (i) The use of EDI
grant funds may be structured in appropriate cases so as to improve the
likelihood that project-generated cash flow will be sufficient to cover
debt service on the Section 108 loan and directly to enhance the
guaranteed loan. One technique for accomplishing this approach is over-
collateralization of the Section 108 loan.
(ii) An example is the creation of a loan pool funded with Section
108 and EDI grant funds. The community would make loans to various
businesses from the combined pool at an interest rate equal to or
greater than the rate on the Section 108 loan. The total loan portfolio
would be pledged to the repayment of the Section 108 loan.
(c) Direct Enhancement of the Security of the Section 108 Loan. The
EDI grant can be used to cover the cost of providing credit
enhancements. An example of how the EDI grant can be used for this
purpose is by using the grant funds to cover the cost of a standby
letter of credit, issued in favor of HUD. This letter of credit will be
available to fund amounts due on the Section 108 loan if other sources
fail to materialize and thus will serve to protect the public entity's
future CDBG funds.
(d) Provision of Financing to For-Profit Businesses at a Below
Market Interest Rate. (i) While the rates on loans guaranteed under
Section 108 are only slightly above the rates on comparable U.S.
Treasury obligations, they may nonetheless be higher than can be
afforded by businesses in severely economically distressed
neighborhoods. The EDI grant can be used to make Section 108 financing
affordable.
(ii) EDI grant funds could serve to ``buy down'' the interest rate
up front, or make full or partial interest payments, allowing the
businesses to be financially viable in the early start-up period not
otherwise possible with Section 108 alone. This strategy would be
particularly useful where a community was undertaking a large
commercial/retail project in a distressed neighborhood to act as a
catalyst for other development in the area.
[[Page 9793]]
(e) Combination of Techniques. You could employ a combination of
these or other techniques in order to implement a strategy that carries
out an economic development project.
(B) Eligible Applicants.
Any public entity eligible to apply for Section 108 loan guarantee
assistance pursuant to 24 CFR 570.702 may apply for EDI grant
assistance under Section 108(q). Eligible applicants are CDBG
entitlement units of general local government and non-entitlement units
of general local government eligible to receive loan guarantees under
24 CFR part 570, subpart M. Urban Counties, as defined at 24 CFR 570.3
and 570.307, are eligible applicants for EDI funds; units of general
local government which participate in an Urban County program are not
independently eligible applicants. For non-entitlement applicants other
than those in the States of Hawaii and New York, non-entitlement
applicants will be required to provide proof that the State will
support the related Section 108 loan with a pledge of its CDBG funds
pursuant to the requirements of 24 CFR 570.705(b)(2). Note that
effective January 25, 1995, non-entitlement public entities in the
states of New York and Hawaii were authorized to apply to HUD for
Section 108 loans (see 59 FR 47510, December 27, 1994). Thus, non-
entitlement public entities in all 50 states and Puerto Rico are
eligible to participate in the Section 108 and EDI programs.
(C) Eligible Activities and National Objectives.
(1) EDI grant funds may be used for activities listed at 24 CFR
570.703, provided such activities are carried out as part of an
economic development project as described in Section III(A) of this EDI
section of this SuperNOFA. If your application fails to meet the
requirements for an EDI project as set forth in this SuperNOFA, HUD
will not give it a rating.
(2) Each activity assisted with Section 108 loan guarantee or EDI
funds must meet a national objective of the CDBG program as described
in 24 CFR 570.208. You must clearly identify in your narrative
statement (as described in Section V.(B) below) the CDBG national
objective your proposed project will achieve and provide the
appropriate CDBG national objectives regulatory citation found at 24
CFR 570.208. Also, you must address, when applicable, how your proposed
activities will comply with the public benefit standards of the CDBG
program as reflected in the regulation at 24 CFR 570.209 for the CDBG
Entitlement program and 24 CFR 570.482 for the State CDBG program.
(3) In the aggregate, your use of CDBG funds, including any Section
108 loan guarantee proceeds and section 108(q) (EDI) funds provided
pursuant to this program section of this SuperNOFA, must comply with
the CDBG primary objectives requirement as described in section 101(c)
of the Act and 24 CFR 570.200(c)(3), or 24 CFR 570.484 in the case of
State grantees.
IV. Program Requirements
(A) CDBG Program Regulations
In addition to 24 CFR 570.701 (Definitions), 570.702 (Eligible
applicants), and 570.703 (Eligible activities), as explained elsewhere
in this program section of the SuperNOFA, the CDBG regulatory
requirements cited in 24 CFR 570.707, including subparts J (Grant
Administration), K (Other Program Requirements), and O (Performance
Reviews) govern the use of EDI funds, as applicable.
(B) Compliance with Applicable Laws
An award of EDI funding does not in any way relieve you or third
party users of EDI funds from compliance with all applicable Federal,
State and local laws.
(C) Related Section 108 Loan Guarantee Application
(1) Each EDI application must be accompanied by a request for new
Section 108 loan guarantee assistance. Both the EDI and Section 108
funds must be used in conjunction with the same economic development
project. This request may take any of several forms as defined below.
(a) A formal application for new Section 108 loan guarantee(s),
including the documents listed at 24 CFR 570.704(b).
(b) A brief description (not to exceed three pages) of a new
Section 108 loan guarantee application(s). Such 108 application(s) will
be submitted within 60 days, with HUD reserving the right to extend
such period for good cause on a case-by-case basis, of a notice of EDI
selection. EDI awards will be conditioned on approval of actual Section
108 loan commitments. This Section 108 application description must be
sufficient to support the basic eligibility of the proposed project or
activities for Section 108 assistance. (See Section III(C) of this
program section of this SuperNOFA.).
(c) A copy of a pending, unapproved Section 108 loan guarantee
application, and any proposed amendments to the Section 108 application
which are related to the EDI application. The applicant's submission of
such a EDI/Section 108 application shall be deemed by HUD to constitute
a request to suspend separate processing of the Section 108
application. The Section 108 application will not be approved until on
or after the date of the related EDI award.
(d) A request for a Section 108 loan guarantee amendment (analogous
to Section IV(C)(1)(a) or (b) above) that proposes to increase the
amount of a previously approved application. However, any amount of
Section 108 loan guarantee authority approved before HUD's announcement
of an EDI grant for the same project pursuant to this SuperNOFA is not
eligible to be used in conjunction with a EDI grant under this
SuperNOFA.
(2) Further, a Section 108 loan guarantee amount that is required
to be used in conjunction with a prior EDI or Brownfields Economic
Development Initiative (BEDI) grant award, whether or not the Section
108 loan guarantee has been approved as of the date of this SuperNOFA,
is not eligible for an EDI award under this SuperNOFA. For example, if
a public entity has a previously approved Section 108 loan guarantee
commitment of $12 million, even if none of the funds have been
utilized, or if the public entity had previously been awarded an EDI
grant of $1 million and had certified that it will submit a Section 108
loan application for $10 million in support of that EDI grant, the
public entity's EDI application under this SuperNOFA must propose to
increase the amount of its total Section 108 loan guarantee commitments
beyond those amounts (the $12 million or $10 million in this example)
to which it has previously agreed.
(D) Limitations on Use of EDI and Section 108 Funds
Certain restrictions shall apply to the use of EDI and Section 108
funds:
(1) EDI grants must not be used as a resource to immediately repay
the principal of a loan guaranteed under Section 108. Repayment of
principal is only permissible with EDI grant funds as a matter of
security if other sources projected for repayment of principal prove to
be unavailable.
(2) You should not use Section 108 funds to finance activities that
also include financing generated through the issuance of federally tax
exempt obligations. Pursuant to Office of Management and Budget (OMB)
Circular A-129 (Policies for Federal Credit Programs and Non-Tax
Receivables), Section 108 guaranteed loan funds may not directly or
[[Page 9794]]
indirectly support federally tax-exempt obligations.
(3) HUD will not consider for funding any EDI proposal in which the
related Section 108 loan guarantee would be used solely as security.
EDI funds are to be used to support and enhance activities financed
with Section 108 loan guarantee proceeds from HUD's interim lending or
public offering mechanisms and thereby leverage greater use of the
Section 108 program. Awarding EDI funds to a project which would use
the Section 108 guarantee only as a security guarantee for other
financing can be tantamount to making a simple grant to the project and
thereby fails to fulfill the goals of the EDI program.
(E) Limitations on Grant Amounts
(1) HUD expects to approve EDI grant amounts for approvable
applications at a range of ratios of EDI grant funds awarded to new
Section 108 loan guarantee commitments, but the minimum ratio will be
$1 of Section 108 loan guarantee commitments for every $1 of EDI grant
funds. However, if you propose a leverage ratio of 1:1, you will not
receive any points under Rating Subfactor 4(1): ``Leverage of Section
108 Funds.'' For example, an applicant requesting an EDI grant of $1
million will be required to leverage a minimum of at least $1 million
in new Section 108 loan guarantee commitments. This will be a special
condition of the EDI grant award. Of course, even though there is a
minimum ratio of 1:1, applications with higher ratios will receive more
points under Rating Factor 4, ``Leveraging Resources/Financial Need''
and, all other things being equal, will be more competitive. You should
propose projects with a greater leverage ratio of new Section 108 to
EDI grant funds (assuming such projects are financially viable). For
example, $1 million of EDI could leverage $12 million of new Section
108 loan commitments. HUD intends that the EDI funds will be used for
projects which leverage the greatest possible amount of Section 108
loan guarantee commitments. Because a fundable application is
competitive in part because of the applicant's proposed ratio of EDI
funds to funds guaranteed by a Section 108 loan guarantee, HUD will
condition a EDI grant award on the grantee's achievement of that
specific ratio. Your failure to meet that condition by obtaining timely
HUD approval of a commitment for, and issuance of, the required Section
108 guaranteed obligations ratio may result in the cancellation and
recapture of all or a proportionate share of the EDI grant award.
(2) HUD will cap EDI awards at a maximum of $2 million. Any
application in excess of $1 million may be reduced below the amount
requested by the applicant if HUD determines that such a reduction is
appropriate.
(3) If additional EDI grant funds become available to HUD as the
result of recaptures prior to the date of this SuperNOFA, HUD reserves
the right to award grants under this SuperNOFA whose aggregate total
may exceed the $35 million announced in this SuperNOFA, up to the
maximum amount authorized by law.
(4) In the event you are awarded an EDI grant that has been reduced
below the original request (e.g. the application contained some
activities that were ineligible or there were insufficient funds to
fund the last competitive application at the full amount requested),
you will be required to modify your project plans and application to
conform to the terms of HUD's approval before HUD will execute a grant
agreement. HUD also will proportionately reduce or deobligate the EDI
award if you do not submit approvable Section 108 loan guarantee
applications on a timely basis (including any extension authorized by
HUD) in the amount required by the EDI/108 leveraging ratio which will
be approved by HUD as a special condition of the EDI grant award (see
Section IV(E)(1) above of this program section of the SuperNOFA). Any
modifications or amendments to your application approved pursuant to
this SuperNOFA, whether requested by you or by HUD, must be within the
scope of the approved original EDI application in all respects material
to rating the application, unless HUD determines that the revised
application remains within the competitive range and is otherwise
approvable under this SuperNOFA competition.
(5) In the case of requested amendments to a previously approved
Section 108 loan guarantee commitment (as further discussed in Section
IV(C)(1)(d), above), the EDI assistance approved will be based on the
increased amount of Section 108 loan guarantee assistance.
(6) Pursuant to another portion of this SuperNOFA, HUD is
simultaneously announcing the availability of $25 million of
Brownfields Economic Development Initiative (BEDI) funds. While HUD
will permit applicants to pursue BEDI and EDI funds for the same
project, HUD requires that the BEDI and EDI applications (and their
components) be independent of one another. Thus, each application
should have an identifiable amount of Section 108 funding associated
with its respective request for EDI and BEDI funds for purposes of
determining the leverage of Section 108 funding to the corresponding
amount of EDI or BEDI funds requested. Further, the proposed amount of
Section 108 borrowing associated with the BEDI or EDI grant shall not
be used to determine leverage of other financial resources under Rating
Subfactor 4(3). Further, if you seek both BEDI and EDI funds for the
same project, you must include in your response to Rating Factor 3 and
the ``Financial feasibility'' portion of Rating Factor 4 a discussion
of how the project can be financed and implemented if you fail to
obtain either BEDI or EDI funds under this SuperNOFA.
(F) Timing of Grant Awards
(1) To the extent you submit a full Section 108 application with
your EDI grant application, HUD will evaluate the Section 108
application concurrently with the request for EDI grant funds. Note
that EDI grant assistance cannot be used to leverage a Section 108 loan
guarantee approved prior to the date of HUD's announcement of an EDI
grant pursuant to this SuperNOFA. However, the EDI grant may be awarded
before HUD approval of the Section 108 commitment if HUD determines
that such award will further the purposes of the Act.
(2) HUD notice to you of the amount and conditions of EDI funds
awarded, based upon review of the EDI application, constitutes an
obligation of grant funds, subject to compliance with the conditions of
award and execution of a grant agreement. EDI funds must not be
disbursed to the public entity before the issuance of the related
Section 108 guaranteed obligations.
(G) Economic Opportunities for Low and Very Low-Income Persons (Section
3)
Section 3 of the Housing and Urban Development Act of 1968 (12
U.S.C. 1701u) is applicable to EDI grant recipients. Please see Section
II(E) of the General Section of the SuperNOFA.
V. The Application Selection Process
(A) Rating and Ranking
(1) Each rating factor and the maximum number of points is provided
below. The maximum number of points to be awarded is 102. This includes
two EZ/EC bonus points as described in the General Section of this
SuperNOFA.
(2) Once scores are assigned, all applications will be ranked in
order of points assigned, with the applications receiving more points
ranking above those receiving fewer points.
[[Page 9795]]
Applications will be funded in rank order.
(3) Prior to award, if HUD determines that your application rated,
ranked and fundable could be funded at a lesser EDI grant amount than
requested consistent with feasibility of the funded project or
activities and the purposes of the Act, HUD reserves the right to
reduce the amount of the EDI award and/or increase the Section 108 loan
guarantee commitment, if necessary, in accordance with such
determination. An application in excess of $1 million may be reduced
below the amount requested by the applicant if HUD determines that such
a reduction is appropriate.
(4) HUD may decide not to award the full amount of EDI grant funds
available under this program section of this SuperNOFA and may make any
remaining amounts available under a future SuperNOFA, or under a
supplementary notice.
(5) HUD desires to fund projects which will quickly produce
demonstrable results. EDI grant awards will contain conditions
requiring you to adhere to your stated timeframes for implementing your
proposed projects and drawing Section 108 and EDI funds. If you fail to
adhere to these schedules, HUD may recapture the EDI funds.
(B) Narrative Statement
(1) Provide narrative statements describing the activities that you
will carry out with the EDI grant funds. Your narrative statement must
not exceed three (3) 8.5'' by 11'' pages.
(2) Describe how your proposed uses of EDI funds will meet the
national objectives under 24 CFR 570.208 for the CDBG program and
qualify as eligible activities under 24 CFR 570.703. You must include
citations to the specific regulatory subsections supporting eligibility
and national objective. (See Section III(D) of this program section of
this SuperNOFA).
(3) Respond to the rating factors below. Each of the listed rating
factors (or, where applicable, each subfactor) below also has a
separate page limitation specified.
(4) Print your narrative statement in 12 point type/font, and use
sequentially numbered pages.
(C) Factors for Award Used to Evaluate and Rate Applications
HUD will consider your application for selection based on the
following factors that demonstrate the quality of your proposed project
or activities, and your creativity, capacity and commitment to obtain
maximum benefit from the EDI funds, in accordance with the purposes of
the Act.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (15 Points)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement your
proposed activities in a timely manner. The rating of the ``applicant''
or the ``applicant's organization and staff'' for technical merit or
threshold compliance, unless otherwise specified, will include any
subcontractors, consultants, subrecipients, and members of consortia
that are firmly committed (i.e., has a written agreement or a signed
letter of understanding with the applicant agreeing in principle to its
participation and role in the project). In rating this factor, HUD will
consider the following:
(1) With regard to the EDI/Section 108 project you propose, you
should demonstrate that you have the capacity to implement the specific
steps required to successfully carry out your proposed EDI/Section 108
project. This includes factors such as your:
(a) Performance in the administration of your CDBG, HOME or other
programs;
(b) Previous experience, if any, in administering a Section 108
loan guarantee;
(c) Performance and capacity in carrying out economic development
projects;
(d) Ability to conduct prudent underwriting;
(e) Capacity to manage and service loans made with the guaranteed
loan funds or previous EDI or BEDI grant funds;
(f) Capacity to carry out your projects and programs in a timely
manner; and,
(g) If applicable, your capacity to manage projects under this
program section of this SuperNOFA along with any federal funds awarded
as a result of a federal urban Empowerment Zone/Enterprise Community
designation (including Enhanced Enterprise Community (EEC)
designation).
(2)(a) If you have previously received an EDI or BEDI grant
award(s), you must describe the status of the implementation of those
project(s) assisted with EDI or BEDI funds, any delays that have been
encountered and the actions you are taking to overcome any such delays
in order to carry out the project in a timely manner. For such
previously funded EDI or BEDI grant projects, HUD will consider the
extent to which you have used the awarded EDI or BEDI grant funds and
the associated Section 108 guaranteed loan funds.
(b) Further, if you have EDI or BEDI funds and related Section 108
loan guarantee authority available as a result of earlier HUD awards
and commitments for activities such as (but not limited to) economic
development loan funds, community development banks, and community and
individual investment corporations, you should use those existing
financial resources before applying for additional EDI or BEDI funds
and Section 108 commitments. If HUD determines that you could fund your
project from such existing resources, HUD will reduce your score under
this rating factor to 0.
(3) The capacity of subrecipients, nonprofit organizations and
other entities that have a role in implementing the proposed program
will be included in this review. HUD also may rely on information from
performance reports, financial status information, monitoring reports,
audit reports and other information available to HUD in making its
determination under this factor.
Rating Factor 2: Distress/Extent of the Problem (15 Points)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the extent to which there is need for funding
your proposed activities based on levels of distress, and an indication
of the urgency of meeting the need/distress in your target area.
(1) In applying this factor, HUD will consider current levels of
distress in the immediate community to be served by your project and
the jurisdiction applying for assistance. If you are able to indicate a
level of distress in the immediate project area that is greater than
the level of distress in your jurisdiction as a whole, HUD will give
your application a higher score under this factor than other
applications that do not. HUD requires you to use sound and reliable
data that is verifiable to support the level of distress you claim in
your application. You must provide a source for all information you
cite and indicate the publication date or origination date of the data.
(2) In previous EDI competitions, the poverty rate was often
considered the best indicator of distress. You must provide the poverty
rate for your jurisdiction as a whole and for the areas to be served
and/or where the EDI/Section 108 funded project is located; however, in
addition, you may demonstrate the level of distress with other factors
such as income levels and unemployment rates.
[[Page 9796]]
(3) To the extent that your Consolidated Plan and your Analysis of
Impediments to Fair Housing choice (AI) identifies the level of
distress in the community and the neighborhood in which your project is
being carried out, you should include references to such documents in
preparing your response to this factor. Also, you should discuss the
extent to which the analysis of impediments identifies unhealthy
environmental conditions in your project area, and how such conditions
negatively impact your target neighborhood.
Rating Factor 3: Soundness of Approach (25 Points)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the quality and cost-effectiveness of your
proposed plan. There must be a clear relationship between the proposed
activities, community needs and purposes of the program funding for you
to receive points for this factor. In rating this factor, HUD will
consider the following:
(1) The quality of your plan/proposal for the use of EDI funds and
Section 108 loan funds, including the extent to which your proposed
plan for effective use of EDI grant/Section 108-guaranteed loan funds
will address the needs you described in Rating Factor 2 above regarding
the distress and extent of the problem in your immediate community and/
or jurisdiction. As part of the response to this factor, you should
identify the eligible activities you will carry out and fully describe
how your project will achieve a national objective. You should make
substantial efforts to demonstrate how your proposed project would
mitigate or otherwise address the distress identified in Rating Factor
2 above.
(2) The extent to which the plan is logically, feasibly, and
substantially likely to achieve its stated purpose. HUD's desire is to
fund projects and activities which will quickly produce demonstrable
results and advance the purposes of the EDI program, including the
number of jobs to be created by the project and the impact of the
project on job creation that will benefit individuals on or previously
on welfare. You should demonstrate that you have a clear understanding
of the steps required to implement your project, the actions that you
and others responsible for implementing your project must complete. You
must include a reasonable time schedule for carrying out your project.
The application kit contains a timeline form that you must use to
indicate your project timing.
(3) The extent to which your proposed project addresses your
Analysis of Impediments and the needs identified in Rating Factor 2;
the extent to which such project activities will result in the physical
and economic improvement for the residents in the neighborhood in which
your project will be carried out; the extent to which you will offer
residents an opportunity to relocate to environmentally healthy housing
or neighborhoods; or the extent to which residents will benefit from
the funded project to enable them to continue to live in a redeveloped
or revitalized neighborhood and thus share in the anticipated economic
benefits your project is expected to generate.
(4) The extent to which your project incorporates one or more
elements that facilitate a successful transition of welfare recipients
from welfare to work. Such an element could include, for example,
linking your proposed project or loan fund to social and/or other
services needed to enable welfare recipients to successfully secure and
carry out full-time jobs in the private sector; provision of job
training to welfare recipients who might be hired by businesses
financed through the proposal; and/or incentives for businesses
financed with EDI/section 108 funds to hire and train welfare
recipients.
(5) Due to an order of the U.S. District Court for the Northern
District of Texas, Dallas Division, with respect to any application
submitted by the City of Dallas, Texas, HUD's consideration of the
response to this factor, ``Soundness of Approach,'' will include the
extent to which Dallas' plan for the use of EDI funds and Section 108
loans will be used to eradicate the vestiges of racial segregation in
the Dallas Housing Authority's programs consistent with the Court's
order. Up to two (2) additional points will be awarded to any
application submitted by the City of Dallas, Texas, to the extent this
subfactor is addressed.
Rating Factor 4: Leveraging Resources/Financial Need (35 Points)
[Page limits for the response to this factor are listed separately
for each subfactor under this factor.]
In evaluating this factor, HUD will consider the extent to which
your response demonstrates the financial need and feasibility of your
project and the leverage ratio of Section 108 loan proceeds to EDI
grant funds. This factor has three subfactors, each with its own
maximum point total:
(1) Leverage of Section 108 funds (20 points). Your response to
this subfactor is limited to one (1) page. The minimum ratio of Section
108 funds to EDI funds in any project may not be less than 1:1. The
extent to which your proposed project leverages an amount of Section
108 funds beyond the 1:1 ratio will be considered a positive factor. If
you have a ratio of 1:1, your application will not receive any points
under this subfactor. If you use your EDI grant to leverage more new
Section 108 commitments, your application will receive more points
under this subfactor.
(2) Financial feasibility (10 points). [Your response to this
subfactor is limited to three (3) pages.] HUD will consider the extent
to which you demonstrate that your project is financially feasible. In
responding to this subfactor, you must clearly address the question of
why the EDI funds are critical to the success of this project. This may
include factors such as:
(a) Project costs and financial requirements. You should provide a
funding sources and uses statement (not included in the 3 page
narrative limit), as well as justifications for project costs.
(b) The amount of any debt service or operating reserve accounts
you will establish in connection with the economic development project.
(c) The reasonableness of the costs of any credit enhancement paid
with EDI grant funds.
(d) The amount of program income (if any) you will receive each
year during the repayment period for the guaranteed loan.
(e) Interest rates on those loans to third parties (other than
subrecipients) (either as an absolute rate or as a plus/minus spread to
the Section 108 rate).
(f) Underwriting criteria that you will use in determining project
feasibility.
(3) Leverage of other financial resources (5 points). [Your
response to this subfactor is limited to one (1) page plus supporting
documentation evidencing third party commitment (written and signed) of
funds.] HUD will evaluate the extent to which you leverage other funds
(public or private) with EDI grant funds and Section 108 guaranteed
loan funds and the extent to which such other funds are firmly pledged
to the project. This could include the use of CDBG funds, other Federal
or state grants or loans, your general funds, project equity or
commercial financing provided by private sources or funds from non-
profits or other sources. Funds will be considered pledged to the
project if there is evidence of the third party's written commitment to
make the funds available for the EDI/108 project, subject to approval
of the EDI and Section 108 assistance and completion of any
environmental review required under 24
[[Page 9797]]
CFR part 50 for the project. Note, that with respect to CDBG funds,
your pledge of its CDBG funds will be considered sufficient commitment.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
[Your response to this factor is limited to two (2) pages.]
This factor addresses the extent to which you have coordinated your
activities with other known organizations; you participate or promote
participation in your or a State's Consolidated Planning process; and
you are working towards addressing a need in a comprehensive manner
through linkages with other activities in the community.
In evaluating this factor, HUD will consider the extent to which
you demonstrate you have:
(1) Coordinated your proposed activities with those of other groups
or organizations before submission, in order to best complement,
support and coordinate all known activities; and developed specific
steps 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) Developed linkages, or specific steps to develop linkages with
other activities, programs or projects (through meetings, information
networks, planning processes or other mechanisms to coordinate its
activities), so that solutions are holistic and comprehensive. Describe
any linkages with other HUD-funded projects/activities outside the
scope of those covered by the Consolidated Plan, as well as established
linkages and outreach with residents of your project area.
VI. Application Submission Requirements
(A) Public entities seeking EDI assistance must make a specific
request for that assistance, in accordance with the requirements of
this program section of this SuperNOFA.
(B) You must submit an original and one copy of the items listed
below to HUD Headquarters (see the section ``Addresses For Submitting
Applications in this program section of this SuperNOFA). In addition,
you must submit one additional copy directly to the Community Planning
and Development Division of the appropriate HUD Field Office for your
jurisdiction.
(C) Your EDI application shall consist of the following items:
(1) Your transmittal letter;
(2) Table of contents;
(3) Application check list (supplied in application kit);
(4) A request for loan guarantee assistance under Section 108 as
further described in Section IV(C) of this program section of the
SuperNOFA. Application guidelines for the Section 108 loan guarantee
program are found at 24 CFR 570.704;
(5) As described in Section V(B) of this program section of this
SuperNOFA, a narrative statement (3 page limit) describing the
activities that you will carry out with the EDI grant funds;
(6) Responses to each of the rating factors (within the page limits
provided for each factor or subfactor as applicable);
(7) Completion of a funding sources and uses statement and a EDI
and Section 108 eligibility statement (see the application kit);
(8) Written agreements or signed letters of understanding in
support of Rating Factor 1: ``Capacity of the Applicant and Relevant
Organizational Experience;''
(9) Signed third party commitment letters pledging funds in support
of subfactor 4(2): ``Leverage of other financial resources;''
(10) In addition to the certifications specified in section II(G)
of the General Section of this SuperNOFA, the forms and certifications
required at 24 CFR 570.704(b)(3), (b)(4), (b)(8)(i), (b)(8)(ii),
(b)(8)(vi), (b)(8)(vii), (b)(8)(viii), (b)(8)(x), and (b)(9); and
(11) Acknowledgement of Application Receipt form.
(D) A single application must contain a request for funds for a
single EDI project. You may submit more than one application for each
additional unrelated EDI project. Each application will be rated and
ranked individually. In no event will HUD rate and rank more than one
EDI project per application.
(E) Your application must meet all of the applicable threshold
requirements of Section IIB of the General Section of this SuperNOFA.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
(A) Environmental Review
After the completion of this competition and after HUD's award of
EDI grant funds, pursuant to 24 CFR 570.604, each project or activity
assisted under this program is subject to the provisions of 24 CFR part
58, including limitations on the EDI grant and Section 108 public
entity's commitment of HUD and non-HUD funds prior to the completion of
environmental review, notification and release of funds. No such
assistance will be released by HUD until a request for release of funds
is submitted and the requirements of 24 CFR part 58 have been met. All
public entities, including nonentitlement public entities, shall submit
the request for release of funds and related certification, required
pursuant to 24 CFR part 58, to the appropriate HUD field office for
each project to be assisted.
(B) Environmental Justice
Executive Order 12898 (Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations) directs
Federal agencies to develop strategies to address environmental
justice. Environmental justice seeks to rectify the disproportionately
high burden of environmental pollution that is often borne by low-
income, minority, and other disadvantaged communities, and to ensure
community involvement in policies and programs addressing this issue.
IX. Authority
Section 108(q), Title I, Housing and Community Development Act of
1974, as amended, (42 U.S.C. 5301-5320); 24 CFR part 570.
BILLING CODE 4210-32-P
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Notices
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[GRAPHIC] [TIFF OMITTED] TN26FE99.035
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Notices
[[Page 9801]]
Funding Availability for the Brownfields Economic Development
Initiative (BEDI)
Program Overview
Purpose of the Program. BEDI funds are used to enhance the security
of the Section 108 guaranteed loan for the same project or to improve
the viability of a project financed with a Section 108-guaranteed loan.
A BEDI grant is required to be used in conjunction with a new Section
108 guaranteed loan commitment.
Available Funds. Approximately $25 million is available for BEDI
grants under this SuperNOFA.
Eligible Applicants. Any public entity eligible to apply for
Section 108 loan guarantee assistance in accordance with 24 CFR 570.702
may apply for BEDI grant assistance under section 108(q) and this
SuperNOFA. (See Section III(B) below for additional information
regarding eligible applicants.)
Application Deadline. June 25, 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 (one
original and two copies) on or before 12:00 midnight, Eastern time, on
June 25, 1999, to the addresses shown below.
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. To HUD Headquarters. Submit
your completed application (an original and one copy) to: Processing
and Control Unit, Room 7251, Office of Community Planning and
Development, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, D.C. 20410, Attention: BEDI Grant, by mail or
hand delivery.
To the Appropriate CPD Field Office. At the same time you submit
your application to HUD Headquarters, you must submit an additional
copy of the application to the Community Planning and Development
Division of the appropriate HUD Field Office for your jurisdiction.
When submitting your application, please refer to BEDI, and include
your name, mailing address (including zip code) and telephone number
(include area code).
For Application Kits. For an application kit and any supplemental
information, please call HUD's SuperNOFA Information line toll free at
1-800-HUD-8929. When requesting an application kit, please refer to
BEDI. Please be sure to provide your name, address (including zip
code), and telephone number (including area code). Persons with hearing
or speech impairments may call the Center's TTY number at 1-800-HUD-
2209 to obtain an application kit. The application kit will also be
available on the Internet through the HUD web site at http://
www.hud.gov.
For Further Information and Technical Assistance. Contact either
Stan Gimont or Paul Webster, Financial Management Division, Office of
Block Grant Assistance, Department of Housing and Urban Development,
451 Seventh Street, SW, Room 7178, Washington, DC 20410, telephone
(202) 708-1871 (this is not a toll-free number). Persons with speech or
hearing impairments may access this number via TTY by calling the toll-
free Federal Information Relay Service at 1-800-877-8339.
See the General Section of this SuperNOFA for guidance on technical
assistance. With respect to the Section 108 Loan Guarantee program,
which is not a competitive program and thus not subject to those
provisions of the HUD Reform Act pertaining to competitions, HUD staff
will be available to provide advice and assistance to develop Section
108 loan applications.
II. Amount Allocated
HUD has available a maximum of $25 million for the BEDI program, as
appropriated in Pub.L. 105-276 (the FY 1999 VA-HUD Appropriations Act)
for the purpose of assisting public entities in the redevelopment of
brownfields.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description.
BEDI is designed to help cities redevelop abandoned, idled, or
underutilized industrial and commercial facilities where expansion or
redevelopment is complicated by real or perceived environmental
contamination--brownfields. BEDI accomplished this by providing funding
to local governments to be used in conjunction with Section 108 loan
guarantees to finance redevelopment of brownfield sites.
(1) Definitions. Unless otherwise defined herein, terms defined in
24 CFR part 570 and used in this program section of this SuperNOFA
shall have the respective meanings given thereto in that part.
Act means Title I, Housing and Community Development Act of 1974,
as amended, (42 U.S.C. 5301 et seq.).
Brownfield means abandoned, idled, or under-used real property
(including industrial and commercial facilities) where expansion or
redevelopment is complicated by real or perceived contamination.
Brownfields Economic Development Initiative (BEDI) means the
competitive award of up to $25 million, as appropriated in the FY 1999
VA-HUD Appropriations Act, for economic development grant assistance
under section 108(q) of the Act for the purpose of assisting public
entities in the redevelopment of brownfields.
Brownfields economic development initiative (BEDI) project means an
activity or activities (including mixed use projects with housing
components) that are eligible under the Act and under 24 CFR 570.703,
and that increase economic opportunity for persons of low- and
moderate-income or that stimulate or retain businesses or jobs or that
otherwise lead to economic revitalization in connection with
brownfields.
CDBG funds means those funds collectively defined at 24 CFR 570.3,
including grant funds received pursuant to section 108(q) and this
program section of this SuperNOFA.
Economic Development Initiative (EDI) means the provision of
economic development grant assistance under section 108(q) of the Act,
as authorized by Section 232 of the Multifamily Housing Property
Disposition Reform Act of 1994 (Pub. L. 103-233, approved April 11,
1994).
Empowerment Zone or Enterprise Community means an urban area so
designated by the Secretary of HUD pursuant to 24 CFR part 597 or 598,
or a rural area so designated by the Secretary of Agriculture pursuant
to 7 CFR part 25, subpart B.
EPA means the U.S. Environmental Protection Agency.
Showcase Community means an applicant chosen by the Federal
Government's Brownfields National Partnership for inclusion in the
Federal Government's Brownfields Showcase Communities program.
Strategic Plan means a strategy developed and agreed to by the
nominating local government(s) and State(s) and submitted in partial
fulfillment of the application requirements for an Empowerment Zone
[[Page 9802]]
or Enterprise Community designated pursuant to 24 CFR part 597 or 598.
(2) Background.
(a) HUD has multiple programs which are intended to stimulate and
promote economic and community development and can be effectively
employed to address and remedy brownfield conditions. Primary among
HUD's resources are the Community Development Block Grant (CDBG)
program and the Section 108 loan guarantee program.
(b) The CDBG program provides grant funds (approximately $4.232
billion in FY 1999) by formula to local governments (either directly or
through States) to carry out community and economic development
activities. The Section 108 loan guarantee program provides local
governments with a source of financing for economic development,
housing rehabilitation, and other eligible large scale physical
development projects. HUD is authorized pursuant to Section 108 to
guarantee notes issued by CDBG entitlement communities and non-
entitlement units of general local government eligible to receive funds
under the State CDBG program. Regulations governing the Section 108
program are found at 24 CFR part 570, subpart M. It must be noted that
the Section 108 program is subject to the regulations of 24 CFR part
570 applicable to the CDBG program with the exception of changes
embodied in 24 CFR part 570, subpart M. EDI and BEDI grants support
Section 108 loan guarantees as generally described under the above
section entitled ``Purpose of the Program.''
(c) For FY 1999, the Section 108 program is authorized at $1.261
billion in loan guarantee authority. The full faith and credit of the
United States will be pledged to the payment of all guarantees made
under Section 108. Under this program, communities (and States, if
applicable) pledge their future years' CDBG allocations as security for
loans guaranteed by HUD. The Section 108 program, however, does not
require CDBG funds to be escrowed for loan repayment (unless such an
arrangement is specifically negotiated as loan security) and included
in the applicable ``Contract for Loan Guarantee Assistance.'' This
means that a community can ordinarily continue to spend its existing
allocation for other CDBG purposes, unless needed for loan repayment.
(3) EDI Program. The EDI program was enacted in 1994 and is
intended to complement and enhance the Section 108 Loan Guarantee
program. A purpose of EDI (and BEDI) grant funds is to further minimize
the potential loss of future CDBG allocations:
(a) By strengthening the economic feasibility of the projects
financed with Section 108 funds (and thereby increasing the probability
that the project will generate enough cash to repay the guaranteed
loan);
(b) By directly enhancing the security of the guaranteed loan; or
(c) Through a combination of these or other risk mitigation
techniques.
(4) BEDI Program. For FY 1999, Congress has made a specific
appropriation of $25 million for the EDI program to assist in financing
``brownfields'' redevelopment. HUD intends the $25 million in
Brownfields EDI (BEDI) funds available pursuant to this program section
of this SuperNOFA to be used with a particular emphasis upon the
redevelopment of brownfield sites consistent with the statutory purpose
of the FY 1999 HUD Appropriations Act. Accordingly, BEDI funds shall be
used as the stimulus for local governments and private sector parties
to commence redevelopment or continue phased redevelopment efforts on
brownfield sites where contamination is known or suspected and a
redevelopment plans exist. HUD desires to see BEDI and Section 108
funds used to finance projects and activities that will provide near-
term results and demonstrable economic benefits, such as job creation
and increases in the local tax base. HUD does not encourage
applications whose scope is limited only to site acquisition and/or
remediation (i.e., land banking), where there is no immediately planned
redevelopment.
(5) Redevelopment Focus. The redevelopment focus for BEDI-assisted
projects is also prompted by the need to provide additional security
for the Section 108 loan guarantee pursuant to 24 CFR 570.705(b)(3).
While public entities are required by the Act to pledge their current
and future CDBG funds as a source of security for the Section 108 loan
guarantee, the public entity will usually be required to furnish
additional collateral which, ideally, will be the assets financed with
the Section 108 loan funds. Clearly, a redevelopment focus for the BEDI
funds will help achieve this goal by enhancing the value and improving
the viability of projects assisted with Section 108 financing.
(6) Integration of Other Government Brownfield Programs. HUD
expects and encourages local governments which are designated through
(a) the Federal Government's Brownfields Showcase Community program,
(b) other Federal brownfields programs (e.g., EPA's Assessment Pilot or
Revolving Loan Fund programs), (c) a State-supported brownfields
program, or (d) a State or local related economic development program,
to integrate efforts arising from those programs in developing projects
for assistance under HUD's BEDI and Section 108 programs. Applicants
should elaborate upon these ties in their response to the rating
factors, where appropriate (e.g. ``Capacity of the Applicant,''
``Soundness of Approach,'' ``Leveraging Resources,'' or
``Comprehensiveness and Coordination,''--Rating Factors 1, 3, 4, and 5
respectively.)
(7) Typical Project Structures. Provided that proposals are
consistent with other CDBG requirements, including national objectives,
HUD envisions that the following project structures could be typical:
(a) Land Writedowns. Local governments may use a combination of
Section 108 and BEDI funds to acquire a brownfield site for purposes of
reconveying the site to a private developer at a discount from its
purchase price. This approach would provide the developer with an asset
of enhanced value which could be used as collateral for other sources
of funding. Such other sources of financing could be used to finance
environmental remediation or other development costs. In theory, the
level of BEDI assistance would approximate the difference between the
original cost of the site and its remediation in comparison to the
market value of the remediated property.
(b) Site Remediation Costs. Local governments may use BEDI funds in
any of several ways to address site remediation costs. If the local
government used Section 108 funds to acquire real property, BEDI funds
could be used to address assessment and site remediation costs as part
of demolition, clearance, or site preparation activities. If the local
government used Section 108 funds to make a loan to a developer, BEDI
funds could be granted to the developer for the purpose of addressing
remediation costs as part of an economic development activity.
(c) Funding Reserves. The cash flow generated by an economic
development project may be expected to be relatively ``thin'' in the
early stages of the project, i.e. potentially insufficient cash flows
to meet operating expenses and debt service obligations. The BEDI grant
can make it possible for reserves to be established in a way that
enhances the economic feasibility of the project.
(d) Over-Collateralizing the Section 108 Loan.
[[Page 9803]]
(i) The use of BEDI grant funds may be structured in appropriate
cases so as to improve the likelihood that project-generated cash flow
will be sufficient to cover debt service on the Section 108 loan and
directly to enhance the guaranteed loan. One technique for
accomplishing this approach is over-collateralization of the Section
108 loan.
(ii) An example is the creation of a loan pool made up of Section
108 and BEDI grant funds. The community would make loans to various
businesses from the combined pool at an interest rate equal to or
greater than the rate on the Section 108 loan. The total loan portfolio
would be pledged to the repayment of the Section 108 loan.
(e) Direct Enhancement of the Security of the Section 108 Loan. The
BEDI grant can be used to cover the cost of providing enhanced
security. An example of how the BEDI grant can be used for this purpose
is by using the grant funds to cover the cost of a standby letter of
credit, issued in favor of HUD. This letter of credit will be available
to fund amounts due on the Section 108 loan if other sources fail to
materialize and thus will serve to protect the public entity's future
CDBG funds.
(f) Provision of Financing to For-Profit Businesses at a Below
Market Interest Rate.
(i) While the rates on loans guaranteed under Section 108 are only
slightly above the rates on comparable U.S. Treasury obligations, they
may nonetheless be higher than can be afforded by businesses in
severely economically distressed neighborhoods. The BEDI grant can be
used to make Section 108 financing affordable.
(ii) BEDI grant funds could serve to ``buy down'' the interest rate
up front, or make full or partial interest payments, allowing the
businesses to be financially viable in the early start-up period not
otherwise possible with Section 108 alone. This strategy would be
particularly useful where a community was undertaking a large
commercial/retail project in a distressed neighborhood to act as a
catalyst for other development in the area.
(g) Combination of Techniques. An applicant could employ a
combination of these or other techniques in order to implement a
strategy that carries out an economic development project.
(B) Eligible Applicants. Any public entity eligible to apply for
Section 108 loan guarantee assistance in accordance with 24 CFR 570.702
may apply for BEDI grant assistance under section 108(q). Eligible
applicants are CDBG entitlement units of general local government and
non-entitlement units of general local government eligible to receive
loan guarantees under 24 CFR part 570, subpart M. Urban Counties, as
defined at 24 CFR 570.3 and 570.307, are eligible applicants for BEDI
funds; units of general local government which participate in an Urban
County program are not independently eligible applicants. Non-
entitlement applicants, other than those in the States of Hawaii and
New York, will be required to provide proof that the State will support
the related Section 108 loan with a pledge of its CDBG funds pursuant
to the requirements of 24 CFR 570.705(b)(2). Note that effective
January 25, 1995, non-entitlement public entities in the states of New
York and Hawaii were authorized to apply to HUD for Section 108 loans
(see 59 FR 47510, December 27, 1994). Thus non-entitlement public
entities in all 50 states and Puerto Rico are eligible to participate
in the Section 108 and BEDI programs.
(C) Eligible Activities and National Objectives
(1) BEDI grant funds may be used for activities listed at 24 CFR
570.703, provided such activities are carried out as part of a BEDI
project as defined in Section III(A) of this BEDI section of this
SuperNOFA. You are required to submit applications that seek funding
for BEDI projects that will contribute to the redevelopment and
revitalization of brownfields. Applications that fail to meet the
requirements for a BEDI project as set forth in this SuperNOFA will not
be rated by HUD.
(2) Each activity assisted with Section 108 loan guarantee or BEDI
funds must meet a national objective of the CDBG program as described
in 24 CFR 570.208. Applicants must clearly identify in their narrative
statement (as described in Section V.(B) below) the CDBG national
objective to be achieved by the proposed project and provide the
appropriate CDBG national objective regulatory citation found at 24 CFR
570.208. Applicants must also address, when applicable, how the
proposed activities will comply with the public benefit standards of
the CDBG program as reflected in the regulation at 24 CFR 570.209 for
the Entitlement program and 24 CFR 570.482 for the State CDBG program.
(3) In the aggregate, a grantee's use of CDBG funds, including any
Section 108 loan guarantee proceeds and section 108(q) (EDI) funds
provided pursuant to this program section of this SuperNOFA, must
comply with the CDBG primary objectives requirements as described in
section 101(c) of the Act and 24 CFR 570.200(c)(3) or 570.484 in the
case of State grantees.
IV. Program Requirements
(A) CDBG Program Regulations
In addition to 24 CFR 570.701 (Definitions), 570.702 (Eligible
applicants), and 570.703 (Eligible activities), as explained elsewhere
in this program section of the SuperNOFA, the CDBG regulatory
requirements cited in 24 CFR 570.707, including subparts J (Grant
Administration), K (Other Program Requirements), and O (Performance
Reviews) govern the use of BEDI funds, as applicable.
(B) Compliance with Applicable Laws
Applicants are advised that an award of BEDI funding does not in
any way relieve the applicant or third party users of BEDI funds from
compliance with all applicable Federal, State and local laws,
particularly those addressing the environment. Applicants are further
advised that HUD may require evidence that any project involving
remediation has been or will be carried out in accordance with State
law, including voluntary clean up programs.
(C) Related Section 108 Loan Guarantee Application
(1) Each BEDI application must be accompanied by a request for new
Section 108 loan guarantee assistance. Both the BEDI and Section 108
funds must be used in conjunction with the same BEDI project. The
request may take any of several forms as defined below.
(a) A full application for new Section 108 loan guarantee(s),
including the documents listed at 24 CFR 570.704(b).
(b) A brief description (not to exceed three pages) of a new
Section 108 loan guarantee application(s). Such 108 application(s) will
be submitted within 60 days of a notice of BEDI selection, with HUD
reserving the right to extend such period for good cause on a case-by-
case basis. BEDI awards will be conditioned on approval of actual
Section 108 loan commitments. The application description must be
sufficient to support the basic eligibility of the proposed project or
activities for Section 108 assistance. (See Section III(C) of this
program section of this SuperNOFA.); or
(c) A copy of a pending, unapproved Section 108 loan guarantee
application, and any proposed amendments to the Section 108 application
which are related to the BEDI application. The applicant's submission
of such a BEDI/Section 108 application shall be deemed by HUD to
constitute a request to
[[Page 9804]]
suspend separate processing of the Section 108 application. The Section
108 application will not be approved until on or after the date of the
related BEDI award.
(d) A request for a Section 108 loan guarantee amendment (analogous
to Section IV(C)(1)(a) or (b) of this BEDI section of the SuperNOFA)
that proposes to increase the amount of a previously approved
application. However, any amount of Section 108 loan guarantee
authority approved before HUD's announcement of a BEDI grant for the
same project pursuant to this SuperNOFA is not eligible to be used in
conjunction with a BEDI grant under this SuperNOFA.
(2) Further, a Section 108 loan guarantee amount that is required
to be used in conjunction with a prior EDI or BEDI grant award, whether
or not the Section 108 loan guarantee has been approved as of the date
of this SuperNOFA, is not eligible for a BEDI award under this
SuperNOFA. For example, if a public entity has a previously approved
Section 108 loan guarantee commitment of $12 million, even if none of
the funds have been utilized, or if the public entity had previously
been awarded an EDI grant of $1 million and had certified that it will
submit a Section 108 loan application for $10 million in support of
that EDI grant, the public entity's application under this program
section of this SuperNOFA must propose to increase the amount of its
total Section 108 loan guarantee commitments beyond those amounts (the
$12 million or $10 million in this example) to which it has previously
agreed.
(D) Limitations on Use of BEDI and Section 108 Funds
Certain restrictions shall apply to the use of BEDI and Section 108
funds:
(1) BEDI grants shall not be used as a resource to immediately
repay the principal of a loan guaranteed under Section 108. Repayment
of principal is only permissible with BEDI grant funds as a matter of
security if other sources projected for repayment of principal prove to
be unavailable.
(2) You should not use Section 108 funds to finance activities
which also include financing generated through the issuance of
federally tax exempt obligations. Pursuant to Office of Management and
Budget (OMB) Circular A-129 (Policies for Federal Credit Programs and
Non-Tax Receivables), Section 108 guaranteed loan funds may not
directly or indirectly support federally tax-exempt obligations.
(3) HUD will not consider for funding any BEDI proposal in which
the related Section 108 loan guarantee would be used solely as
security. BEDI funds are to be used to support and enhance activities
financed with Section 108 loan guarantee proceeds from HUD's interim
lending or public offering mechanisms and thereby leverage greater use
of the Section 108 program. Awarding BEDI funds to a project which
would use the Section 108 guarantee only as a security guarantee for
other financing can be tantamount to making a simple grant to the
project and thereby fails to fulfill the goals of the BEDI program.
(4) BEDI grant funds shall not be used in any manner by grantees to
provide public or private sector entities with funding to remediate
conditions caused by their actions, where the public entity (or other
known prospective beneficiary of the proposed BEDI grant) has been
determined responsible for causation and remediation by order of a
court or a Federal, State, or local regulatory agency, or is
responsible for the remediation as part of a settlement approved by
such a court or agency.
(5) Applicants may not propose projects on sites which are listed
or proposed to be listed on EPA's National Priority List (NPL).
Further, applicants are cautioned against proposing projects on sites
where the nature and degree of environmental contamination is not well
quantified or which are the subject of on-going litigation or
environmental enforcement action.
(E) Limitations on Grant Amounts
(1) HUD expects to approve BEDI grant amounts for approvable
applications at a range of ratios of BEDI grant funds awarded to new
Section 108 loan guarantee commitments but the minimum ratio will be $1
of Section 108 loan guarantee commitments for every $1 of BEDI grant
funds. However, if you propose a leverage ratio of 1:1, your
application will not receive any points under the Rating Subfactor
4(1): ``Leverage of Section 108 Funds.''
For example, if you request a BEDI grant of $1 million, you will be
required to leverage a minimum of at least $1 million in new Section
108 loan guarantee commitments. Of course, even though there is a
minimum ratio of 1:1, applications with higher ratios will receive more
points under Rating Factor 4, ``Leveraging Resources/Financial Need''
and, all other things being equal, will be more competitive. You are
encouraged to propose projects with a greater leverage ratio of new
Section 108 to BEDI grant funds (assuming such projects are financially
viable). For example $1 million of BEDI could leverage $12 million of
new Section 108 loan commitments. HUD intends that the BEDI funds will
be used for projects that leverage the greatest possible amount of
Section 108 loan guarantee commitments. Because a fundable application
is competitive in part because of the applicant's proposed ratio of
BEDI funds to funds guaranteed by a Section 108 loan guarantee, HUD
will condition a BEDI grant award on the grantee's achievement of that
specific ratio. Your failure to meet that condition by obtaining timely
HUD approval of a commitment for, and issuance of, the required Section
108 guaranteed obligations ratio may result in the cancellation and
recapture of all or a proportionate share of the BEDI grant award.
(2) HUD will cap BEDI awards at a maximum of $2 million. Any
application in excess of $1 million may be reduced below the amount
requested by the applicant if HUD determines that such a reduction is
appropriate.
(3) In the event you are awarded a BEDI grant that has been reduced
below the original request (e.g., your application contained some
activities that were ineligible or there were insufficient funds to
fund the last competitive application at the full amount requested),
you will be required to modify your project plans and application to
conform to the terms of HUD approval before execution of a grant
agreement. HUD also will proportionately reduce or deobligate the BEDI
award if you do not submit an approvable Section 108 loan guarantee
application on a timely basis (including any extension authorized by
HUD) in the amount required by the BEDI/108 leveraging ratio, which
will be approved by HUD as a special condition of the BEDI grant award
(see Section IV(E)(1) above of this program section of the SuperNOFA).
Any modifications or amendments to your application approved pursuant
to this SuperNOFA, whether requested by you or by HUD, must be within
the scope of the approved original BEDI application in all respects
material to rating the application, unless HUD determines that your
revised application remains within the competitive range and is
otherwise approvable under this SuperNOFA competition.
(4) In the case of requested amendments to a previously approved
Section 108 loan guarantee commitment (as further discussed in section
IV(C)(1)(d) above), the BEDI assistance approved will be based on the
increased amount of Section 108 loan guarantee assistance.
[[Page 9805]]
(5) Pursuant to another portion of this SuperNOFA, HUD is
simultaneously announcing the availability of up to $35 million of EDI
funds. While HUD will permit you to pursue BEDI and EDI funds for the
same project, HUD requires that your BEDI and EDI applications (and
components contained in the applications) be independent of one
another. Thus, each application should have an identifiable amount of
Section 108 funding associated with its respective request for EDI and
BEDI funds, for purposes of determining the leverage of Section 108
funding to the corresponding amount of EDI or BEDI funds requested.
Further, the proposed amount of Section 108 borrowing associated with
either the BEDI or EDI grant must not be used to determine leverage of
other financial sources under Rating Subfactor 4(3). Further, if you
seek both BEDI and EDI funds for the same project, you must include, in
your response to Rating Factor 3 and the ``Financial feasibility''
portion of Rating Factor 4, a discussion of how your project can be
financed and implemented if you fail to obtain either BEDI or EDI funds
under this SuperNOFA.
(F) Timing of Grant Awards
(1) To the extent you submit a full Section 108 application with
the BEDI grant application, HUD will evaluate your Section 108
application concurrently with your request for BEDI grant funds. Note
that BEDI grant assistance cannot be used to leverage a Section 108
loan guarantee approved prior to the date of HUD's announcement of a
BEDI grant pursuant to this SuperNOFA. However, the BEDI grant may be
awarded prior to HUD approval of the Section 108 commitment if HUD
determines that such award will further the purposes of the Act.
(2) HUD's notice to you of the amount and conditions of BEDI funds
awarded, based upon review of the BEDI application, constitutes an
obligation of grant funds, subject to compliance with the conditions of
award and execution of a grant agreement. BEDI funds will not be
disbursed to the public entity before the issuance of the related
Section 108 guaranteed obligations.
(G) Economic Opportunities for Low and Very Low-Income Persons (Section
3)
Section 3 of the Housing and Urban Development Act of 1968 (12
U.S.C. 1701u) is applicable to BEDI grant recipients. Please see
Section II(E) of the General Section of the SuperNOFA.
V. The Application Selection Process
(A) Rating and Ranking
(1) Each rating factor and the maximum number of points is provided
below. The maximum number of points to be awarded is 102. This includes
two EZ/EC bonus points as described in the General Section of the
SuperNOFA, or two bonus points for having received a Federal
designation as a Brownfields Showcase Community. (Please note that in
any event, the maximum number of bonus points is limited to a total of
two (2).)
(2) Once scores are assigned, HUD will rank all applications in
order of points assigned, with the applications receiving more points
ranking above those receiving fewer points. Applications will be funded
in rank order.
(3) Prior to award, if HUD determines that an application rated,
ranked and fundable could be funded at a lesser BEDI grant amount than
requested consistent with feasibility of the funded project or
activities and the purposes of the Act, HUD reserves the right to
reduce the amount of the BEDI award and/or increase the Section 108
loan guarantee commitment, if necessary, in accordance with such
determination. An application in excess of $1 million may be reduced
below the amount requested by the applicant if HUD determines that such
a reduction is appropriate.
(4) HUD may decide not to award the full amount of BEDI grant funds
available under this program section of this SuperNOFA and may make any
remaining amounts available under a future SuperNOFA.
(5) HUD desires to fund projects which will quickly produce
demonstrable results. BEDI grant awards will contain conditions
requiring you to adhere to your stated timeframes for implementing your
proposed projects and drawing Section 108 and EDI funds. Failure to
adhere to these schedules may be cause for HUD to recapture the BEDI
funds.
(B) Narrative Statement
(1) Provide a narrative statement describing the activities that
you will carry out with the BEDI grant funds, explaining the nature and
extent of the Brownfield's problems(s) affecting the project. Your
narrative statement must not exceed three (3) 8.5'' by 11'' pages for
the description of the activities to be carried out with the BEDI grant
funds.
(2) Describe how your proposed uses of BEDI funds will meet the
national objectives for the CDBG program under 24 CFR 570.208 and
qualify as eligible activities under 24 CFR 570.703. You must include
citations to the specific regulatory subsections supporting eligibility
and national objectives. (See Section III(C) of this program section of
this SuperNOFA.)
(3) Respond to the rating factors below. Each of the listed rating
factors (or, where applicable, each subfactor) below also has a
separate page limitation specified.
(4) Print your narrative statement in 12 point type/font, and use
sequentially numbered pages.
(C) Factors for Award Used to Evaluate and Rate Applications
HUD will consider your application for selection based on the
following factors that demonstrate the quality of your proposed project
or activities, and your creativity, capacity and commitment to obtain
maximum benefit from the BEDI funds, in accordance with the purposes of
the Act.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (15 Points)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. The rating of the ``applicant''
or the ``applicant's organization and staff'' for technical merit or
threshold compliance, unless otherwise specified, will include any
subcontractors, consultants, subrecipients, and members of consortia
that are firmly committed (i.e. have a written agreement or a signed
letter of understanding with you agreeing in principle to their
participation and role in the project). In rating this factor, HUD will
consider the following:
(1) With regard to the BEDI/Section 108 project you propose, you
should demonstrate that you have the capacity to implement the specific
steps required to successfully carry out the proposed BEDI/Section 108
project. This includes factors such as your:
(a) Performance in the administration of your CDBG, HOME or other
programs;
(b) Previous experience, if any, in administering a Section 108
loan guarantee;
(c) Performance and capacity in carrying out economic development
projects;
(d) Performance and capacity to carry out Brownfields redevelopment
projects;
(e) Ability to conduct prudent underwriting;
[[Page 9806]]
(f) Capacity to manage and service loans made with the guaranteed
loan funds or previous EDI or BEDI grant funds;
(g) Capacity to carry out your projects and programs in a timely
manner; and,
(h) If applicable, your capacity to manage projects under this
program section of this SuperNOFA along with any federal funds awarded
as a result of a federal urban Empowerment Zone/Enterprise Community
designation (including Enhanced Enterprise Community (EEC)
designations).
(2)(a) If you have previously received an EDI or BEDI grant
award(s), you must describe the status of the implementation of those
project(s) assisted with EDI or BEDI funds, any delays that have been
encountered and the actions you are taking to overcome any such delays
in order to carry out the project in a timely manner. For such
previously funded EDI or BEDI grant projects, HUD will consider the
extent to which you have used the awarded EDI or BEDI grant funds and
the associated Section 108-guaranteed loan funds.
(b) Further, if you have EDI or BEDI funds and related Section 108
loan guarantee authority available as a result of earlier HUD awards
and commitments for activities such as (but not limited to) economic
development loan funds, community development banks, and community and
individual investment corporations, you should use those existing
financial resources before applying for additional BEDI or EDI funds
and Section 108 commitments. If HUD determines that you could fund your
project from such existing resources, HUD will reduce your score under
this rating factor to 0.
(3) The capacity of subrecipients, nonprofit organizations and
other entities that have a role in implementing your proposed program
will be included in this review. HUD also may rely on information from
performance reports, financial status information, monitoring reports,
audit reports and other information available to HUD in making its
determination under this factor.
Rating Factor 2: Distress/Extent of the Problem (15 Points)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the extent to which there is need for funding
your proposed activities based on levels of distress, and an indication
of the urgency of meeting the need/distress in your target area.
(1) In applying this factor, HUD will consider current levels of
distress in the immediate community to be served by your project and
the jurisdiction applying for assistance. If you are able to indicate a
level of distress in the immediate project area that is greater than
the level of distress in your jurisdiction as a whole, HUD will give
your application a higher score under this factor than other
applications that do not. HUD requires you to use sound and reliable
data that is verifiable to support the level of distress you claim in
your application. You must provide a source for all information you
cite and indicate the publication date or origination date of the data.
(2) In previous EDI competitions, the poverty rate was often
considered the best indicator of distress. You must provide the poverty
rate for your jurisdiction as a whole and for the areas to be served
and/or where the BEDI/Section 108-funded project is located; however,
in addition, you may demonstrate the level of distress with other
factors such as income levels and unemployment rates.
(3) To the extent that your Consolidated Plan and its Analysis of
Impediments to Fair Housing choice (AI) identifies the level of
distress in the community and the neighborhood in which your project is
being carried out, you should include references to such documents in
preparing your response to this factor. Also, you should discuss the
extent to which the analysis of impediments identifies unhealthy
environmental conditions, such as contaminated soil and/or water and
how such conditions negatively impact your target neighborhood.
Rating Factor 3: Soundness of Approach (25 Points)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the quality and cost-effectiveness of your
proposed plan. There must be a clear relationship between the proposed
activities, community needs and purposes of the program funding for you
to receive points for this factor. In rating this factor, HUD will
consider the following:
(1) The quality of your plan/proposal for using BEDI funds and
Section 108 loan funds, including the extent to which your proposed
plan for effective use of BEDI grant/Section 108-guaranteed loan funds
will address the needs you described in Rating Factor 2 above regarding
the distress and extent of the problem in your immediate community and/
or jurisdiction. As part of the response to this factor, you should
identify the eligible activities you will carry out and fully describe
how your project will achieve a CDBG national objective. You should
make substantial efforts to demonstrate how your proposed project would
mitigate or otherwise address the distress you identified in Rating
Factor 2 above.
(2) The extent to which your plan is logically, feasibly, and
substantially likely to achieve your stated purpose. HUD's desire is to
fund projects and activities that will quickly produce demonstrable
results and advance the public interest including the number of jobs to
be created by the project. You should demonstrate that you have a clear
understanding of the steps required to implement your project, the
actions that you and others responsible for implementing the project
must complete. You must include a reasonable time schedule for carrying
out your project. The application kit contains a timeline form that you
must use to indicate your project timing.
(3) The extent to which your response to this factor takes into
account certain site selection, planning, and environmental issues.
Further, you are cautioned against proposing projects on sites where
the nature and degree of environmental contamination is not well
quantified or that are the subject of on-going litigation or
environmental enforcement. Sites with unknown or exceptionally
expensive contamination problems may be beyond the scope of the BEDI
program's financial resources, and sites subject to pending and current
litigation may not be available for remediation and development in a
timeframe consistent with HUD's desire for rapid progress in the use of
BEDI and Section 108 funds.
(4) The extent to which your projects will integrate environmental
justice concerns and provide demonstrable benefits for affected
communities and their residents. The BEDI program is intended to
promote the clean up and redevelopment of brownfield sites.
(5) The extent to which your proposed project addresses your
Analysis of Impediments and the needs identified in Rating Factor 2;
the extent to which such project activities will result in the physical
and economic improvement for the residents in the neighborhood in which
your project will be carried out; the extent to which you will offer
residents an opportunity to relocate to environmentally healthy housing
or neighborhoods; or the extent to which residents will benefit from
the funded project to enable them to continue to live in a redeveloped
or revitalized neighborhood and thus share in the anticipated economic
benefits and environmental improvements your project is expected to
generate.
(6) The extent to which your project incorporates one or more
elements that
[[Page 9807]]
facilitate a successful transition of welfare recipients from welfare
to work. Such an element could include, for example, linking your
proposed project or loan fund to social and/or other services needed to
enable welfare recipients to successfully secure and carry out full-
time jobs in the private sector; provision of job training to welfare
recipients who might be hired by businesses financed through the
proposal; and/or incentives for businesses financed with BEDI/section
108 funds to hire and train welfare recipients.
(7) Due to an order of the U.S. District Court for the Northern
District of Texas, Dallas Division, with respect to any application
submitted by the City of Dallas, Texas, HUD's consideration of the
response to this factor, ``Soundness of Approach'' will include the
extent to which Dallas' plan for BEDI funds and Section 108 loans will
speed eradication of the vestiges of racial segregation in the Dallas
Housing Authority's programs consistent with the Court's order. Up to
two (2) additional points will be awarded to any application submitted
by the City of Dallas, Texas, to the extent this subfactor is
addressed.
Rating Factor 4: Leveraging Resources/Financial Need (35 Points)
[Page limits for the response to this factor are listed separately
for each subfactor under this factor.]
In evaluating this factor, HUD will consider the extent to which
your response demonstrates the financial need and feasibility of your
project and the leverage ratio of Section 108 loan proceeds to BEDI
grant funds. This factor has three subfactors, each with its own
maximum point total:
(1) Leverage of Section 108 funds (20 points). [Your response to
this subfactor is limited to one (1) page.] The minimum ratio of
Section 108 funds to BEDI funds in any project may not be less than
1:1. The extent to which your proposed project leverages an amount of
Section 108 funds beyond the 1:1 ratio will be considered a positive
factor. If you have a ratio of 1:1, your application will not receive
any points under this subfactor. If you use your BEDI grant to leverage
more new Section 108 commitments, your application will receive more
points under this subfactor.
(2) Financial feasibility (10 points). [Your response to this
subfactor is limited to three (3) pages.] HUD will consider the extent
to which you demonstrate that your project is financially feasible. In
responding to this subfactor, you must clearly address the question of
why the BEDI funds are critical to the success of your project. This
may include factors such as:
(a) Project costs and financial requirements. You should provide a
funding sources and uses statement (not included in the 3 page
narrative limit), as well as justifications for project costs.
(b) The amount of any debt service or operating reserve accounts
you will establish in connection with your economic development
project.
(c) The reasonableness of the costs of any credit enhancement you
pay with BEDI grant funds.
(d) The amount of program income (if any) you will receive each
year during the repayment period for the guaranteed loan.
(e) Interest rates on those loans to third parties (other than
subrecipients) (either as an absolute rate or as a plus/minus spread to
the Section 108 rate).
(f) Underwriting criteria that you will use in determining project
feasibility.
(3) Leverage of other financial resources (5 points). [Your
response to this subfactor is limited to one (1) page plus supporting
documentation evidencing third party commitment (written and signed) of
funds.] HUD will evaluate the extent to which you leverage other funds
(public or private) with BEDI grant funds and section 108 guaranteed
loan funds, and the extent to which such other funds are firmly pledged
to the project. This could include the use of CDBG funds, other Federal
or state grants or loans, your general funds, project equity or
commercial financing provided by private sources or funds from non-
profits or other sources. Funds will be considered pledged to your
project if there is evidence of the third party's written commitment to
make the funds available for the BEDI/108 project, subject to approval
of the BEDI and Section 108 assistance and completion of any
environmental clearance required under 24 CFR part 58 for the project.
Note that with respect to CDBG funds, your pledge of your CDBG funds
will be considered sufficient commitment.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
[Your response to this factor is limited to two (2) pages.]
This factor addresses the extent to which you have coordinated your
activities with other known organizations; you participate or promote
participation in your or a State's Consolidated Planning process; and
you are working towards addressing a need in a comprehensive manner
through linkages with other activities in the community.
In evaluating this factor, HUD will consider the extent to which
you demonstrate you have:
(1) Coordinated your proposed activities with those of other groups
or organizations before submitting your application, in order to best
complement, support and coordinate all known activities; and developed
specific steps 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) Developed linkages, or specific steps to develop linkages with
other activities, programs or projects (through meetings, information
networks, planning processes or other mechanisms to coordinate your
activities), so that solutions are holistic and comprehensive. Describe
any linkages with other HUD-funded projects/activities outside the
scope of those covered by the Consolidated Plan, as well as established
linkages and outreach with residents of your project area.
(3) Coordinated your efforts with other Federal, State or locally
supported activities, including EPA's various Brownfields initiatives,
and those proposed or on-going in the community.
VI. Application Submission Requirements
(A) Public entities seeking BEDI assistance must make a specific
request for that assistance, in accordance with the requirements of
this program section of this SuperNOFA.
(B) You must submit an original and one copy of the items listed
below to HUD Headquarters (see the section ``Addresses For Submitting
Applications in this program section of this SuperNOFA). In addition,
you must submit one additional copy directly to the Community Planning
and Development Division of the appropriate HUD Field Office for your
jurisdiction.
(C) Your BEDI application consists of the following items:
(1) Your transmittal letter;
(2) Table of contents;
(3) Application check list (supplied in application kit);
(4) A request for loan guarantee assistance under Section 108, as
further described in Section IV(C) of this program section of this
SuperNOFA. Application guidelines for the Section 108 program are found
at 24 CFR 570.704;
(5) As described in Section V(B) of this program section of this
SuperNOFA, a narrative statement (3 page limit) describing the
activities that
[[Page 9808]]
you will carry out with the BEDI grant funds;
(6) Responses to each of the rating factors (within the page limits
provided for each factor or subfactor as applicable);
(7) Completion of a funding sources and uses statement and a BEDI
and Section 108 eligibility statement (see the application kit);
(8) Written agreements or signed letters of understanding in
support of Rating Factor 1: ``Capacity of the Applicant and Relevant
Organizational Experience;''
(9) Signed third party commitment letters pledging funds in support
of subfactor 4(2): ``Leverage of other financial resources;''
(10) In addition to the certifications specified in section II(G)
of the General Section of this SuperNOFA, the forms and certifications
required at 24 CFR 570.704(b)(3), (b)(4), (b)(8)(i), (b)(8)(ii),
(b)(8)(vi), (b)(8)(vii), (b)(8)(viii), (b)(8)(x), and (b)(9); and
(11) Acknowledgement of Application Receipt form.
(D) A single application must contain a request for funds for a
single BEDI project. You may submit more than one application for each
additional unrelated BEDI project. Each application will be rated and
ranked individually. In no event will HUD rate and rank more than one
BEDI project per application.
(E) Your application must meet all of the applicable threshold
requirements of Section II.B. of the General Section of this SuperNOFA.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
(A) Environmental Review
After the completion of this competition and after HUD's award of
BEDI grant funds, pursuant to 24 CFR 570.604, each project or activity
assisted under this program is subject to the provisions of 24 CFR part
58, including limitations on the EDI grant and Section 108 public
entity's commitment of HUD and non-HUD funds prior to the completion of
environmental review, notification and release of funds. HUD will not
release such assistance until you submit a request for release of funds
and you satisfy the requirements of 24 CFR part 58. All public
entities, including nonentitlement public entities, must submit the
request for release of funds and related certification, pursuant to 24
CFR part 58, to the appropriate HUD field office for each project to be
assisted.
(B) Environmental Justice
(1) Executive Order 12898 (Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations directs
Federal agencies to develop strategies to address environmental
justice. Environmental justice seeks to rectify the disproportionately
high burden of environmental pollution that is often borne by low-
income, minority, and other disadvantaged communities, and to ensure
community involvement in policies and programs addressing this issue.
(2) Brownfields are often located in distressed neighborhoods,
contribute to neighborhood blight, and lower the quality of social,
economic, and environmental health of communities. The BEDI program is
intended to promote the clean up and redevelopment of brownfield sites
and, to this end, HUD expects that projects presented for BEDI funding
will integrate environmental justice concerns and provide demonstrable
benefits for affected communities and their residents.
IX. Authority
Section 108(q), Title I, Housing and Community Development Act of
1974, as amended, (42 U.S.C. 5301-5320); 24 CFR part 570.
BILLING CODE 4210-32-P
[[Page 9809]]
[GRAPHIC] [TIFF OMITTED] TN26FE99.036
BILLING CODE 4210-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9811]]
Funding Availability for Self-Help Homeownership Opportunity (SHOP)
Program
Program Overview
Purpose of the Program. To facilitate and encourage innovative
homeownership opportunities through self-help housing where the
homebuyer contributes a significant amount of sweat-equity toward the
construction of the new dwelling.
Available Funds. $20,000,0000.
Eligible Applicants. You must be a nonprofit national or regional
organization or consortium.
Application Deadline. April 29, 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, Standard Forms, Further Information, and
Technical Assistance
Application Due Date. Applications for SHOP grants must be
physically received by HUD on or before 12:00 midnight Eastern Time on
April 29, 1999.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Submit one original and two
copies of the application to Department of Housing and Urban
Development, Office of Community Planning and Development, Processing
and Control Unit, 451 Seventh Street, SW, Room 7251, Washington, DC
20410, ATTN: Self-Help Program.
Standard Forms. No kit will be made available. For copies of the
standard forms, please call HUD's SuperNOFA Information Center at: 1-
800-HUD-8929. Please refer to the ``Self-Help Program'' in your
request.
Further Information. Further information and technical assistance
is available from Joan Morgan, Office of Affordable Housing Programs,
Department of Housing and Urban Development, room 7168, 451 Seventh
Street, SW, Washington, DC 20410; telephone (202) 708-3226, ext. 2213;
(this is not a toll-free number). This number can be accessed via TTY
by calling the Federal Information Relay Service Operator at 1-800-877-
TDDY (1-800-877-8339).
II. Amount Allocated
The amount available for this program is $20,000,000
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description
SHOP is intended to facilitate and encourage innovative
homeownership opportunities on a national geographically-diverse basis
through self-help housing where the homebuyer contributes a significant
amount of sweat-equity toward the construction or rehabilitation of the
dwelling.
Decent, safe, and sanitary non-luxury dwellings developed under
SHOP must be made available to eligible homebuyers at prices below the
prevailing market prices. Eligible homebuyers are low-income families
(families whose annual incomes do not exceed 80 percent of the median
income for the area, as established by HUD) who are unable to purchase
a dwelling. Housing assisted under this Notice must involve community
participation through the use of homebuyers and/or volunteers in the
construction of dwellings and by other activities which involve the
community in the project.
(B) Eligible Applicants
You must be a nonprofit national or regional organization or
consortium that has the capacity and experience to provide or
facilitate self-help housing homeownership opportunities. Local
affiliates of national or regional organizations or consortia must
apply as part of the national or regional organization and may not
apply for SHOP independently. ``Regional'' is defined for the purpose
of this program section of the SuperNOFA to be a ``regional area'' such
as the Southwest or Northeast which must include at least two or more
States (the States need not be contiguous and the operational
boundaries of the organization need not precisely conform to State
boundaries). If you are a consortium, one organization must be chosen
as the lead entity. The lead entity must submit the application and, if
selected for funding, will execute the grant agreement and assume
primary responsibility for carrying out grant activities in compliance
with all program requirements. Other participants in your consortium
must be identified in your application.
Your application may not propose a partnership with or funding for
any affiliate or consortium member which is also included in another
SHOP application. You must assure that any affiliate, consortium
member, or potential subrecipient under your FY 1999 application is not
also seeking funding from another SHOP applicant for FY 1999 funds.
(C) Eligible Activities
The only eligible activities are land acquisition (including
financing and closing costs), infrastructure improvement (installing,
extending, constructing, rehabilitating, or otherwise improving
utilities and other infrastructure, including removal of environmental
hazards), and administration, planning and management development (as
defined under the HOME Investment Partnerships Program (24 CFR Part
92.207) and not to exceed 20 percent of any SHOP grant). Costs
associated with the rehabilitation, improvement, or construction of
dwellings are not eligible uses of program funds.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, you are subject to the following SHOP
requirements:
(A) Statutory Requirements
You must comply with all statutory requirements applicable to SHOP
as cited in Section VIII below. There are no regulations for this
program. You must be capable of:
(1) Developing, through significant amounts of sweat-equity and
volunteer labor, at least 30 dwellings at an average cost of no more
than $10,000 per unit in SHOP funds;
(2) Using your grant to leverage other sources of funding,
including private or other public funds;
(3) Developing quality dwellings that comply with local building
and safety codes and standards and which will be available to
homebuyers at prices below the prevailing market price; and
(4) Scheduling activities to expend all grant funds awarded and
substantially fulfill your construction obligations under your grant
agreement within 24 months after grant funds are first made available
to you.
(B) Economic Opportunities for Low and Very Low-Income Persons (Section
3)
If you fund infrastructure improvements under this program, you are
required to comply with Section 3 of the Housing and Urban Development
Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for Low and Very
Low-Income Persons) and the HUD regulations at 24 CFR part 135,
including the reporting requirements subpart E. Section 3 requires that
you
[[Page 9812]]
provide training, employment and other economic opportunities, to the
greatest extent feasible, to (1) low and very low income persons,
particularly those who are recipients of government assistance for
housing and (2) business concerns which provide economic opportunities
to low and very low income persons.
V. Application Selection Process
(A) Rating
HUD will review all applications in accordance with the Application
Selection Process in the General Section of this SuperNOFA. HUD will
review all applications based on the threshold factors listed in
Section V.(C) below. Applications which meet all threshold requirements
will be rated according to the selection factors in this section of the
SuperNOFA. Applications which do not meet all threshold factors will be
rejected and will not be rated.
(B) Ranking and Selection Procedures
Applications that receive a total rating of 60 points or more
(without the addition of EC/EZ bonus points) will be eligible for
selection, and HUD will place them in rank order. After adding any
bonus points for EC/EZ, HUD will select these applications based on
rank order, up to and including the last application that can be
funded, up to amount of funding available.
HUD reserves the right to fund less than the full amount requested
in any application to ensure fair distribution of the funds and that
dwellings will be developed on a national geographically-diverse basis
as required by the statute. HUD may choose not to fund portions of your
application that are ineligible for funding under program statutory
requirements, or which do not meet the requirements of the General
Section of this SuperNOFA or the requirements in the SHOP section of
the SuperNOFA, and fund eligible portions of your applications. HUD
will not fund any eligible applicant for less than the minimum amount
necessary to complete at least 30 homes (at a maximum of $10,000 per
home or a lesser amount if lower costs are reflected in the
application). If funds remain after all selections have been made,
these funds may be available for other competitions.
(C) Threshold Requirements
The following threshold requirements apply specifically to SHOP.
You must also be sure to address the threshold requirements listed in
the General Section of the SuperNOFA and must submit all forms,
certifications, and assurances identified in the General Section.
(1) You, the applicant, must be eligible to apply under SHOP (see
Section III(B) of this program section of the SuperNOFA.
(2) The amount of funding you request must support no less than 30
self-help units and may not exceed an average amount of $10,000 per
unit.
(3) The population you plan to serve must be eligible under SHOP
(see Section III(A) of this program section of the SuperNOFA.
(4) You must demonstrate that you have completed at least 30 self-
help homeownership units within a national or regional area (where the
homebuyers contributed a significant amount of sweat-equity and/or
volunteer labor toward the construction of the dwellings) within the 24
month period preceding the publication of this SuperNOFA.
Submission Requirements for Thresholds:
(1) Evidence of your non-profit status, such as a copy of a current
Internal Revenue Service ruling that your organization is exempt from
taxation under section 501(c)(3) or 501(c)(4) of the Internal Revenue
Code of 1986. Where an IRS ruling is unavailable, you may submit a
certified copy of your approved charter, articles of incorporation or
bylaws demonstrating that you are established as a nonprofit
organization under state law. If you are a consortium, each participant
in your consortium must be a nonprofit organization, but only the lead
entity should submit evidence of its nonprofit status. However, the
lead entity must maintain a copy of the above-described documentation
for each participant in your consortium.
Submission requirements (2) through (4) require no additional
submissions, these requirements are addressed under the submission
requirements for the rating factors listed in Section V(D) of this
program section of the SuperNOFA below.
(D) Factors for Award Used to Evaluate Applications
HUD will rate all SHOP applications that successfully complete
technical processing using the Rating Factors and the Application
Submission Requirements described below. The maximum number of points
for this program is 102. This includes two EZ/EC bonus points, as
described in the General Section of the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Staff (20 Points)
This factor examines the extent to which you, as a single applicant
or as a consortium (including sub-recipients and/or members of the
consortium, if any), have the experience and organizational resources
necessary to carry out the proposed activities in a timely manner.
In evaluating this factor, HUD will consider your recent and
relevant experience in carrying out the activities you propose, and
your administrative ability, and fiscal management ability. HUD may
also rely on information from performance reports, financial status
information, monitoring reports, audit reports and other information
available to HUD in making its determination under this factor. If you
are not a current recipient of HUD funds, you may submit evidence of
internal or external performance reports or other information which
will assist HUD in making this determination.
Submission Requirements for Factor 1
(1) You must describe your past experience in carrying out
activities that are the same as, or similar to, the activities you
propose for funding, and demonstrate reasonable success in carrying out
those activities. You may demonstrate such reasonable success by
showing that your previous activities were carried out as proposed and
in a timely manner. You must show that established benchmarks were met
and performance reports were prepared, as required. You must also
describe any delays that were encountered, and the actions you took to
overcome such delays to successfully complete your program.
(2) You must demonstrate that you have completed at least 30 self-
help homeownership units within a national or regional area (where the
homebuyers contributed sweat-equity and/or volunteer labor toward the
construction of the dwellings) within the 24 month period preceding the
publication of this SuperNOFA.
(3) You must provide a description of your management structure.
You must also describe how you will staff and manage your proposed
activities.
(4) You must demonstrate your ability to handle financial resources
with adequate financial control and accounting procedures. Your
existing financial control procedures must meet 24 CFR Part 84.21,
``Standards for Financial Management Systems''. You must provide a copy
of your most recent audit (only an audit of the lead entity
[[Page 9813]]
must be provided with an application for a consortium).
(5) You must demonstrate your experience and ability in
constructing and altering homes with accessibility features, when
necessary.
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor examines the extent to which you identify the community
need, or problem, or distress that your proposed activities will
target, and the urgency of meeting that need.
The purpose of this factor is to make sure that funding is provided
where a need for funding exists. Under this factor, you must identify
the need or needs in the community that your proposed activities are
designed to address or, if you plan to select specific subrecipients
only after you receive SHOP funding, you must demonstrate how you plan
to identify need prior to your selection of any subrecipients.
Submission Requirements for Factor 2.
(1) Identify the communities or areas in which your proposed
activities will be carried out or how you will select communities or
projects based on need after you have received an award under SHOP.
(2) Depending on the type of activities proposed, the kind of
information you submit to demonstrate the need or needs in the target
area may include, but is not limited to, one or more of the following:
(a) Housing market data such as information included in the local
Five Year Comprehensive Plan or other data sources;
(b) Data dealing with such factors as housing density, housing
affordability, housing age or deterioration, and lack of adequate
infrastructure or utilities;
(c) Data on the need for accessible homes in the area;
(d) Evidence of housing discrimination;
(e) Evidence from the local Analysis of Impediments to Fair Housing
Choice which shows the need for this program.
Rating Factor 3: Soundness of Approach (40 Points)
This factor examines the quality of your plan of proposed
activities. In evaluating this factor HUD will consider the specificity
in your plan; your established benchmarks for performance; your
schedule; your proposed budget and the cost effectiveness of your
program; and your plans to reach all potentially-eligible homebuyers,
including those with disabilities or least-likely to apply.
In addition, HUD will consider how your planned activities further
one or more of the policy priorities of the Department. Department
policy priorities are: (i) Affirmatively furthering fair housing by
promoting greater opportunities for housing choice for all segments of
the population regardless of race, color, religion, national origin,
sex, familial status and disability; (ii) Promoting healthy homes;
(iii) Providing opportunities for self-sufficiency, particularly for
persons enrolled in Welfare to Work programs; (iv) Providing
educational and job training opportunities through such initiatives as
Neighborhood Networks, and linking programs to AmeriCorps activities;
and (v) Enhancing on-going efforts to eliminate drugs and crime from
neighborhoods through program policy efforts such as ``One Strike and
You're Out'' or the ``Officer Next Door'' initiative.
Submission Requirements for Factor 3.
(1) You must identify all activities you propose to fund with SHOP.
(2) Provide a timetable for the selection of your participating
local affiliates or partners, if they are not specified in the
application.
(3) You must submit a construction and completion schedule which
expends SHOP funds within 24 months.
(4) List the benchmarks against which HUD is to measure your
performance progress in expending funds, completing activities, and
substantially fulfilling the obligations of SHOP.
(5) Describe how your proposed activities address the need or needs
you have identified under Factor 2, above.
(6) List the long and short term benefits from your activities to
the community and targeted groups within the community, and describe
how you will ascertain and measure the benefits.
(7) Provide a detailed budget with a break-out for each proposed
task and each budget category in the SF-424A.
(8) Demonstrate that projected costs for the proposed activities do
not deviate substantially from the norm in the locale in which your
activities will take place, will not exceed an average cost of $10,000
per home in SHOP funds, and your ability to carry out your proposed
activities cost effectively.
(9) Describe how the policy priorities of the Department are
furthered by your proposed activities.
(10) Describe how you will reach potential homebuyers through the
use of services and materials that are accessible or visitable to all
persons, including persons with disabilities (e.g., languages, formats,
locations, distribution, use of minority media to attract those least
likely to apply).
(11) Describe how activities will benefit eligible homebuyers and
your selection factors for participating homebuyers.
(12) Describe how your proposed activities will yield long-term
results and innovative strategies or ``best practices'' that can be
readily disseminated to other organizations, communities, and/or State
and local governments.
Rating Factor 4: Leveraging Resources (15 Points)
This factor addresses your ability to secure other resources that
can be combined with HUD's program resources to achieve the purposes of
SHOP. HUD will consider the extent to which you document firm
commitments of resources in the form of cash funding, in-kind
contributions, or personnel from Federal, State, local, and private
sources, who are jointly referred to as your leverage partners. HUD
will also consider the extent that the applicant's proposed sweat-
equity requirements and other leveraged resources will serve to reduce
costs to the homebuyers.
Submission Requirements for Factor 4.
(1) Provide a list of amounts and sources of all firm commitments
of cash funding, in-kind contributions, or personnel from other
Federal, State, local, and private sources which will be available to
complete your project. Together with the grant funds, these commitments
must be sufficient to develop not less than 30 units.
(2) Provide copies of written evidence to support your list of firm
commitments from the source of the commitment. There must be a written
agreement to provide the resources. The written agreement may be
contingent upon you receiving a grant award.
(3) You must provide a description of the individual sweat-equity
requirements of your program and how this contribution of labor will
serve to reduce the costs of the home to the homebuyer. Reasonable
accommodation must be allowed for persons with a variety of
disabilities to participate in your program.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which your application reflects
a coordinated, comprehensive approach to identifying community needs
and addressing them on an ongoing basis. In evaluating this factor, HUD
will consider:
(1) The extent to which you demonstrate the support and
participation of the community's
[[Page 9814]]
residents, organizations, businesses, and government in the design and
implementation of the proposed activities.
(2) The specific steps you will take to share information on
solutions, outcomes, and best practices resulting from the activities,
if funded.
(3) The specific steps you have taken or will take to coordinate,
through meetings, information networks, planning processes, or other
mechanisms, your activities with other proposed or on-going activities
in the community funded by Federal, State, local, or private sources.
Submission Requirements for Factor 5
(1) Describe what role residents, community leaders and
organizations, and government and private entities in the targeted
community have had, or will have, in planning the activities described
in your application and what role they will have in carrying out such
activities.
(2) Describe how you will share with others information on
solutions and outcomes resulting from the activities, if funded.
(3) Describe the specific steps you have taken or will take to
become active in the community's Consolidated Plan and Analysis of
Impediments to Fair Housing Choice process; or the community's Indian
Housing Plan process; and to address, through these processes, the
needs that are the focus of the proposed activities.
(4) Describe the specific steps you have taken, or will take, to
coordinate your activities with other proposed or on-going activities
in the community funded by Federal, State, local, or private sources
(through meetings, information networks, planning processes, or other
mechanisms).
VI. Checklist for Application Submission
______Standard Form 424, Application for Federal Assistance
______Signed by organization eligible to receive funds
______ Evidence of Non-Profit status
Narrative Statement Addressing:
______ Factor 1--Capacity of the Applicant and Relevant Organizational
Staff
______ Factor 2--Need/Extent of the Problem
______ Factor 3--Soundness of Approach
______ Factor 4--Leveraging Resources
______ Factor 5--Comprehensiveness and Coordination Forms,
Certifications and Assurances:
______ SF 424A, Budget Information, Non-Construction Programs
______ SF 424B, Assurances--Non-Construction Programs
______ SF 424M, Federal Assistance Funding Matrix
______ HUD-50070, Certification for a Drug-Free Workplace
______ HUD-50071, Certification of Payment to Influence Federal
Transactions
______ SF LLL, Disclosure of Lobbying Activity
______ HUD-2880, Applicant/Recipient Disclosure/Update Report
______ HUD-2990, Certification of Consistency with the EZ/EC Strategic
Plan
______ HUD-2992, Certification Regarding Debarment and Suspension
______ Acknowledgement of Application Receipt
Note: No kit will be made available. (See Section I for
information on how to obtain standard forms.)
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
The provisions contained in Section 305(c) of the Multifamily
Housing Property Disposition Reform Act of 1994, Environmental Review,
implemented in the Environmental Review regulations at 24 CFR part 58,
are applicable to properties assisted with SHOP funds. All SHOP
assistance is subject to the National Environmental Policy Act of 1969
and related federal environmental authorities. SHOP grant applicants
are cautioned that no federal or non-federal funds or assistance which
limits reasonable choices or could produce a significant adverse
environmental impact may be committed to a project until all required
environmental reviews and notifications have been completed by a unit
of general local government, tribe or State and until HUD approves a
recipient's request for release of funds under the environmental
provisions contained in 24 CFR part 58.
VIII. Authority
The funding made available under this program section of the
SuperNOFA is authorized by section 11 of the Housing Opportunity
Program Extension Act of 1996 (42 U.S.C. 12805 note) (the ``Extension
Act''). No separate implementing regulations will be issued.
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Funding Availability for the Youthbuild Program
Program Overview
Purpose of the Program. The purpose of the Youthbuild program is to
provide disadvantaged young adults with education, employment, and
leadership skills.
Available Funds. Approximately $40,000,000 is available for the
Youthbuild Program.
Eligible Applicants. Eligible applicants are public or private
nonprofit agencies, State or local housing agencies or authorities,
State or local units of general local government, or any entity
eligible to provide education and employment training under other
Federal employment training programs, as further defined in 24 CFR
585.4.
Application Deadline. April 30, 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. Your completed application (one original and
two copies) is due on or before 12:00 midnight, Eastern time, on April
30, 1999.
See the General Section of this SuperNOFA for specific procedures
that you must follow for the form of application submission (e.g.,
mailed applications, express mail, overnight delivery, or hand
carried).
Addresses for Submitting Applications. To HUD Headquarters. Submit
your original completed application (that contains the original
application and one copy), by hand or mail delivery, to: Processing and
Control Branch, Office of Community Planning and Development,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Room 7255, Washington, D.C. 20410, Attention: Youthbuild Grant.
To the Appropriate CPD Field Office. Submit the second copy of your
application to the Community Planning and Development Division of the
appropriate HUD Field Office for your jurisdiction.
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. An application kit also will be available
on the Internet through the HUD web site at http://www.hud.gov. When
requesting an application kit, please refer to Youthbuild and provide
your name, address (including zip code), and telephone number
(including area code).
For Further Information. Phyllis Williams, Office of Economic
Development and Empowerment Service in the Office of Community Planning
and Development, Department of Housing and Urban Development, 451
Seventh Street, SW, Room 7140, Washington, DC 20410, telephone (202)
708-2035. Persons with speech or hearing impairments may call HUD's TTY
number (202) 708-0770, or 1-800-877-8399 (the Federal Information Relay
Service TTY). Other than the ``800'' number, these numbers are not
toll-free.
For Technical Assistance. Peter Twichell, YouthBuild USA, 58 Day
Street, Somerville, MA 02144, telephone (617) 623-9900, ext. 1211,
under contract with HUD to provide technical assistance in developing
your application.
II. Amount Allocated
Approximately $40,000,000 is available for the Youthbuild Program.
The net available program funds will be divided between two categories
of grants (as further specified in Section III(C)):
1. $ 4,800,000--Grants for new applicants for up to $300,000; and
2. $35,200,000--Grants for up to $700,000.
III. Program Description; Eligible Applicants; Eligible Activities;
Eligible Participants
(A) Program Description
The purposes of the Youthbuild Program are:
(1) To provide economically-disadvantaged young adults with
opportunities to obtain education, employment skills, and meaningful
on-site construction work experience as a service to their communities
and a means to achieve self-sufficiency;
(2) To foster the development of leadership skills and commitment
to community;
(3) To expand the supply of permanent affordable housing for
homeless and low- and very low-income persons by providing
implementation grants for carrying out a Youthbuild program.
(4) To provide disadvantaged young adults with meaningful on-site
training experiences in housing construction and rehabilitation to
enable them to provide a service to their communities by helping to
meet the housing needs of homeless and low-income families;
(5) To give, to the greatest extent feasible, job training,
employment, contracting and other economic opportunities to low-income
persons.
(B) Eligible Activities
(1) Work and activities associated with the acquisition,
rehabilitation or construction of the housing and related facilities to
be used in the program;
(2) Relocation payments and other assistance required to comply
with 24 CFR 585.308;
(3) Costs of ongoing training and technical assistance needs
related to carrying out a Youthbuild program;
(4) Education, job training, counseling, employment leadership
development services and activities;
(5) Wages, benefits, and need-based stipends for participants; and
(6) Administrative costs--Youthbuild funds for these costs should not
exceed 15 percent of the total amount of Youthbuild assistance, unless
a higher amount is justified to support capacity development by a
private nonprofit organization.
Please refer to 24 CFR 585.305 for further details on eligible
activities.
(C) Eligible Participants
Participants in a Youthbuild program must be very low-income high
school dropouts between the ages of 16 and 24, inclusive, at the time
of enrollment. Up to 25 percent of participants may be above very low-
income or high school graduates (or equivalent), but must have
educational needs that justify their participation in the program.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, as an applicant you must comply with the
following requirements:
(A) Resources From Other Federal, State, Local or Private Entities
You should use existing housing and homeless assistance programs
administered by HUD or other Federal, State, local, or private and
nonprofit housing programs as part of your Youthbuild program. In
addition, you should use other non-Youthbuild funds available for
vocational, adult, and bilingual education programs or for job training
under the Job Training Partnership Act and the Personal Responsibility
and Work Opportunity Reconciliation Act of 1996. The
[[Page 9818]]
selection process described in this Youthbuild Program section of the
SuperNOFA provides for applicants to receive points where grant
applications contain firm commitments from Federal, State, local, or
private sources to provide resources to carry out Youthbuild
activities.
(B) Grant Period
You should expend funds awarded within 30 months of the effective
date of the grant agreement, or such other period specified.
(C) Locational Limitations
You may submit more than one application in the current competition
if your program's participant recruitment and housing areas are in
different jurisdictions. Each application you submit may only propose
activities to carry out one Youthbuild program, i.e., to start a new
Youthbuild program or to fund new classes of Youthbuild participants
for an existing program.
(D) Youthbuild Program Components
Youthbuild programs that receive assistance under this Youthbuild
Program section of the SuperNOFA must contain the three components
described in paragraphs (1), (2), and (4) below. Other activities
described in paragraph (3) are optional.
(1) Educational and job training services.
(2) Leadership training, counseling, and other support activities.
(3) Special activities such as entrepreneurial training, drivers'
education, internships, programs for those with learning disabilities,
and in-house staff training. (Optional)
(4) On-site training through actual housing rehabilitation and/or
construction work, including the provision of alternative training
experiences that are necessary as reasonable accommodation for students
with disabilities. Each program must be structured so that 50 percent
of each participant's time is spent in on-site training.
(E) Desirable Elements of a Youthbuild Program
You should document the extent to which HUD's policy priorities are
furthered by the proposed activities. Such policy priority areas are:
(1) Affirmatively furthering fair housing by promoting greater
opportunities for housing choice for minorities and persons with
disabilities;
(2) Promoting healthy homes;
(3) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare to work programs;
(4) Providing educational and job training opportunities and
linking programs to Americorps activities; and
(5) Promoting welfare reform. Refer to 24 CFR 585.3 for a detailed
description of program components.
V. Application Selection Process
You, the applicant, must meet all of the applicable threshold
requirements of Section II(B) of the General Section of the SuperNOFA.
HUD will review each application and assign points in accordance with
the selection factors described in this section. The maximum number of
points is 102 (except for an application submitted by the City of
Dallas, Texas, which would be eligible for a maximum of 104 points, in
accordance with Rating Factor 3, paragraph (3), below). This maximum
includes two EZ/EC bonus points as described in the General Section of
the SuperNOFA.
To afford applicants every opportunity to submit a ratable
application, while at the same time ensure the fairness, integrity and
timeliness of the selection process, the following application
submission and selection procedures apply to this program:
(A) Rating and Ranking. HUD will rate each eligible application
based upon the rating factors described in Section V of this Youthbuild
Program section of the SuperNOFA. Using the scores assigned, HUD will
place the application in rank order within each category. HUD will
select applications for funding in accordance with their rank order. An
application will be eligible for EZ/EC bonus points and for the Housing
Program Priority points in Rating Factor 3, paragraph (2), only if the
application receives a combined score of at least 50 points for Rating
Factor 1, Rating Factor 2, and Rating Factor 3, paragraph (1), under
this Section V.
If two or more applications are rated fundable, and have the same
score, but there are insufficient funds to fund all of them, HUD will
select the application(s) with the highest score for Rating Factor 3(1)
under Soundness of Approach.
(B) Initial Screening. During the period immediately following the
application deadline, HUD will screen each application to determine
eligibility. Applications will be rejected if they:
(1) Are submitted by ineligible applicants, or
(2) Propose a program for which significant activities are
ineligible.
(C) Categories of Grants.
HUD will award Youthbuild implementation grants only to eligible
applicants for the purpose of carrying out Youthbuild programs in
accordance with subtitle D of title IV of the Act. HUD will select
applications in a competition in accordance with the grant selection
process described in Section V of this Youthbuild Program section of
the SuperNOFA.
HUD will make grants in two categories:
(1) Grants for new applicants that have not previously received
Youthbuild Implementation Grants and that have elected not to apply
under category (2), below. These grants will be limited to $300,000,
for a period of 18 months, with a maximum of 20 students.
(2) Grants for up to $700,000 to implement a full range of
Youthbuild activities for up to a 30-month period. HUD will award half
the funding in this category to applicants that propose grants of
$400,000 or less for up to 24 months. Applicants in category (1) will
receive twelve percent of the funds available. Applicants in category
(2) will receive the remainder of the funds available, which in turn
will be split evenly between grants for up to and including $400,000,
and grants over $400,000. If you have not received funding before, you
may apply in either category. If you have received funding before for
implementation, you may apply only in category (2).
(D) Maximum Awards.
Under the competition established by this Youthbuild Program
section of the SuperNOFA, the maximum award for a Youthbuild grant is
$700,000. HUD reserves the right to determine the maximum or minimum of
any Youthbuild award per application, project, program or budget line
item. HUD will not make amendments to awards under this competition
that will increase previously approved grant amounts. In order to
ensure reasonable geographic diversity, HUD will not give a CDBG
entitlement jurisdiction more than $2.1 million in Youthbuild grants.
(E) Potential Environmental Disqualification. HUD reserves the
right to disqualify an application where one or more environmental
thresholds are exceeded if HUD determines that it cannot conduct the
environmental review and satisfactorily complete the review within the
HUD review period. (See 24 CFR 585.307.)
(F) Notification of Approval or Disapproval. HUD will notify you
whether or not you have been selected for an award. If you are
selected, HUD's notice to you of the amount of the grant award based on
the approved
[[Page 9819]]
application will constitute HUD's preliminary approval, subject to
execution of the grant agreement by HUD.
(G) Economic Opportunities for Low and Very Low-Income Persons
(Section 3). Section 3 of the Housing and Urban Development Act of 1968
(12 U.S.C. 1701u) is applicable to Youthbuild implementation grant
recipients. Please see Section II(E) of the General Section of the
SuperNOFA.
(H) Factors for Award Used to Evaluate and Rate Applications.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (30 Points)
This factor addresses the qualification and experience of the
applicant and participating parties to implement a successful young
adult education and training program within a reasonable time period.
HUD will review and evaluate the information provided documenting
capability. In assigning points for this criterion, HUD will consider
evidence in the application that demonstrates the following:
(1) Experience in implementing a comprehensive, integrated,
multidisciplinary program with the following components:
(a) Young adult education and training programs, including programs
for low-income persons from economically distressed neighborhoods.
(b) Young adult leadership development training and related
activities for young adults.
(c) Young adult on-site training in housing construction or
rehabilitation for the production of sound and affordable housing for
the homeless and low-income families.
(2) The extent to which you or participating parties have been
successful in past education, training, and employment programs and
activities, including Federally-funded Youthbuild programs. If you have
received a Youthbuild grant, you must submit a performance narrative as
outlined in the application package, and copies of your last two
progress reports or, if applicable, a closeout report. In applying the
rating criteria, HUD will take into consideration your performance
(including meeting target dates and schedules) as reported.
(3) The extent to which you, including your program director,
principal staff, or participating parties have demonstrated past
ability to leverage other resources to cover administrative,
educational, and training costs.
(4) Staff capacity should address the extent to which you
demonstrate that your proposed Staff and Program Manager possess the
background, experience, and capacity to conduct the proposed project,
as evidenced by recent work experience in managing projects of the same
or similar size, dollar amount, and types of activities as those
proposed in the application.
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities and an indication of the
urgency of meeting the need in the target area. Documentation of need
should address the extent to which you document a critical level of
need for the proposed activities in the area where activities will be
implemented. The documentation must apply to the targeted area rather
than the entire locality. If the target area is an entire locality or
State, then documenting need at this level is appropriate.
Your documentation of need should demonstrate the extent and
urgency of the problem the proposed activities address. To the extent
that your community's Consolidated Plan or Analysis of Impediments to
Fair Housing Choice (AI) identifies the level of the problem and the
urgency in meeting the need, you should include references to these
documents in your response. HUD will review more favorably those
applicants that use these documents to identify need, when applicable.
Examples of data you might use to demonstrate need include, but are not
limited to, economic and demographic data relevant to the target area,
including poverty and unemployment rates; levels of homelessness;
extent of drug usage and crime statistics; lead poisoning rates;
housing market data available from HUD or other data sources including
the Public Housing Authorities' Five Year Comprehensive Plan, State or
local Welfare Department's Welfare Reform Plan (including, where
applicable, the Welfare to Work Plan Addendum); and/or lack of other
Federal, State, or local funding that could be or are used to address
the problem HUD program funds are designed to address. If the proposed
activity is not covered under the scope of the Consolidated Plan and
AI, you should indicate such, and use other sound data sources to
identify the level of need and the urgency in meeting the need. Types
of other sources include, but are not limited to, Census reports,
Continuum of Care gaps analysis, law enforcement agency crime reports,
Public Housing Authorities' Five Year Comprehensive Plan, etc.
Rating Factor 3: Soundness of Approach (40 Points)
(1) (30 points) HUD will consider the overall quality and
feasibility of the proposed program as measured by the principles and
goals of the proposed program; whether proposed program activities meet
the overall objectives of the Youthbuild program; whether the proposed
program activities will be accomplished within the projected time
frame; whether the proposed program activities are comprehensive and
integrated; and the potential for success of the proposed program.
Areas HUD will consider in evaluating the overall quality of the
proposed program are:
(a) Outreach, recruitment and selection activities including:
(i) Specific steps you will take to attract potential eligible
participants who are unlikely to be aware of this program (because of
race, ethnicity, sex or disability) and selection strategies;
(ii) Special outreach efforts you will make to recruit eligible
young women, young women with dependent children, and persons receiving
public assistance; and
(iii) Recruitment arrangements you have made with public agencies,
courts, homeless shelters, local school systems, local workforce
development systems, community-based organizations, etc.
(b) Educational and job training services and activities including:
(i) The types of instructional services you will provide;
(ii) The number and qualification of program instructors and ratio
of instructors to participants;
(iii) Realistic scheduling plan for classroom and on-the-job
training; and
(iv) Reasonable payments of participants' wages, stipends, and
incentives.
(c) Leadership development, including the leadership development
training you will offer to participants, and including the strategies,
activities, and plans to build group cohesion and peer support.
(d) Support services, including documentation of counseling and
referral services to be offered to participants, including the type of
counseling, social services, and/or need-based stipends you will
provide (supported by letters of commitments from providers).
(e) On-site training, including:
(i) The housing construction or rehabilitation activities
participants will undertake at the site(s) to be used for the on-site
training component of the program;
(ii) The qualification and number of on-site supervisors;
[[Page 9820]]
(iii) The ratio of trainers to students;
(iv) The number of students per site; and
(v) The amounts, reasonable wages, and/or stipends you will pay to
participants during on-site work.
(f) Job placement assistance, including your commitments,
strategies, and procedures for:
(i) Participant placement in meaningful employment, enrollment in
postsecondary education programs, job development, starting business
enterprises, or other opportunities leading to economic independence;
and
(ii) Follow-up assistance and support activities to program
graduates.
(g) Americorps support or participation as evidenced by approval of
Americorps or appropriate State agency.
(2) (10 points) HUD will assign Housing Program Priority Points to
all applications that contain evidence that housing resources from
other Federal, State, local, or private sources that are available to
cover the cost, in full, for the following housing activities for the
proposed Youthbuild program: acquisition, architectural and engineering
fees, construction, and rehabilitation. It also is imperative that your
proposed housing sites provide quality training. The number of units
you propose to rehabilitate or construct is secondary in rating this
factor. Applications that do not include proper documentation of
commitment of non-Youthbuild resources or propose to use Youthbuild
grant funds, in whole or in part, for any one of the housing activities
listed above will not be entitled to the full priority points. HUD will
not use housing resources in evaluating the Leveraging Resources
factor.
HUD considers that the quality of the training to be provided is
more important than the number of units per se, in evaluating housing
sites proposed for Youthbuild training.
(3) HUD will award up to two (2) additional points to any
application submitted by the City of Dallas, Texas, to the extent this
subfactor is addressed. Due to an order of the U.S. District Court for
the Northern District of Texas, Dallas Division, with respect to any
application submitted by the City of Dallas, Texas, HUD will consider
the extent to which the application's proposed activities will
eradicate the vestiges of racial segregation in the Dallas Housing
Authority's programs consistent with the Court's order.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the extent to which firm commitment of
resources are obtained from Federal, State, local, and private and
nonprofit sources other than the applicant. In assigning points for
this criterion, HUD will consider the level of nonhousing resources
obtained for cash or in-kind contribution to cover the following kinds
of areas:
(1) Social services (i.e., counseling and training);
(2) Use of existing vocational, adult, and bilingual educational
courses;
(3) Donation of labor, resource personnel, supplies, materials,
classroom, and/or meeting space;
(4) Other commitments.
In rating this element, HUD will consider only those contributions
for which current firm commitments have been provided. HUD will
evaluate the level of nonhousing resources proposed based on their
importance to the total program.
Rating Factor 5: Comprehensiveness and Coordination (5 Points)
This factor addresses the extent to which your program reflects a
coordinated, community-based process of identifying needs and building
a system to address the needs by using available HUD funding resources
and other resources available to the community.
In evaluating this factor, HUD will consider the extent to which
you demonstrate that you have:
(1) Coordinated your proposed activities with those of other groups
or organizations in order to best complement, support, and coordinate
all known activities, and the specific steps you will take to share
information on solutions and outcomes with others. You should describe
any written agreements, memoranda of understanding in place, or those
that will be in place after award.
(2) Taken or will take specific steps to become active in the
community's Consolidated Planning process (including the Analysis of
Impediments to Fair Housing Choice) established to identify and address
a need/problem that is related to the activities you propose.
(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 activities funded by HUD, Federal, State, or local
sources, including those proposed or on-going in the community(s)
served.
VI. Application Submission Requirements
You must complete and submit your application for a Youthbuild
grant in accordance with the instructions in the FY 1999 Youthbuild
application kit. The application kit will request information in
sufficient detail for HUD to determine whether your proposed activities
are feasible and meet all the requirements of applicable statutes and
regulations. The application kit requires you to describe: your and
participating parties' experiences in young adult and housing programs;
your proposed Youthbuild program; the other public and private
resources to be used for the program, including other housing resources
(including documentation of these). In addition, you must submit a
schedule for the program, budgets, identification of housing sites, and
demonstration of site access. The application kit also contains
necessary certifications regarding Federal requirements. In addition,
you must provide the required certification that the proposed
activities are consistent with the HUD-approved Consolidated Plan in
accordance with 24 CFR part 91. You should refer to the Youthbuild
application kit for further instructions and take into account the
uniform guidebook available to all applicants.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
Environmental procedures apply to HUD approval of grants when you
propose to use Youthbuild funds to cover any costs for the lease,
acquisition, rehabilitation, or new construction of real property
proposed for housing project development. Environmental procedures do
not apply to HUD approval of your application when you propose to use
your Youthbuild funds solely to cover costs for classroom and/or on-
the-job construction training and support services.
If you propose to use your Youthbuild funds to cover any costs of
the lease, acquisition, rehabilitation, or new construction of real
property, you must submit all relevant environmental information in
your application to support HUD decisionmaking in accordance with the
environmental
[[Page 9821]]
procedures and standards set forth in 24 CFR 585.307.
IX. Authority
This program is authorized under subtitle D of title IV of the
Cranston-Gonzalez National Affordable Housing Act (the Act), as added
by section 164 of the Housing and Community Development Act of 1992
(Pub. L. 102-550, 106 Stat. 3723, 42 U.S.C. 12899). The Youthbuild
Program regulations are found in 24 CFR part 585.
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Funding Availability for Continuum of Care Homeless Assistance
Programs--Supportive Housing Program (SHP), Shelter Plus Care
(S+C), Section 8 Moderate Rehabilitation Single Room Occupancy
Program for Homeless Individuals (SRO)
Program Overview
Purpose of the Programs. The purpose of the Continuum of Care
Homeless Assistance Programs is to fund projects that will fill gaps in
locally developed Continuum of Care systems to assist homeless persons
move to self-sufficiency and permanent housing.
Available Funds. Approximately $750 million.
Eligible Applicants. The chart in the Appendix to this program
section of this SuperNOFA identifies the eligible applicants for each
of the three programs under the Continuum of Care.
Application Deadline. June 2, 1999.
Match. Yes.
Additional Information
If you are interested in applying for funding under any of the
Continuum of Care Homeless Assistance programs, please review carefully
the General Section of the SuperNOFA and the following additional
information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application (an original
containing the signed documentation and two copies) is due on or before
12:00 midnight, Eastern time, on June 2, 1999 to the addresses shown
below. See the General Section of this SuperNOFA for specific
procedures that you must follow for the form of application submissions
(e.g., mailed applications, express mail, overnight delivery, or hand
carried).
Addresses for Submitting Applications. To HUD Headquarters. Submit
your original completed application (the application with the original
signed documentation) to: Room 7270, Office of Community Planning and
Development, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410, Attention: Continuum of Care
Programs.
To the Appropriate CPD Field Office. Also submit two copies of your
completed application to the Community Planning and Development
Division of the appropriate HUD Field Office for your jurisdiction. The
HUD Field Office must receive the two copies of your application by the
deadline date as well. The determination, however, that your
application was received on time will be made solely on receipt of the
application at HUD Headquarters in Washington. Reviews will be based
upon the contents of the application submitted to HUD Headquarters.
For Application Kits. For an application kit, please call the
SuperNOFA Information Center at 1-800-HUD-8929 (voice) or 1-800-483-
2209 (TTY), or you may download an application by Internet at http://
www.HUD.gov.
For Further Information. For answers to your questions, you may
call the HUD Field Office serving your area, at the telephone number
shown in the application kit for this program, or you may contact the
Community Connections Information Center at 1-800-998-9999 (voice) or
1-800-483-2209 (TTY) or by Internet at: http://www.comcon.org/
ccprog.html.
For Technical Assistance. Before the application deadline, HUD
staff will be available to provide you with general guidance. HUD
staff, however, cannot provide you with guidance in actually preparing
your application. HUD Field Office staff also will be available to help
you identify organizations in your community that are involved in
developing the Continuum of Care system and, in the case of renewals,
to determine the HUD final year amount (e.g., leasing, supportive
services and operations for SHP, and rental assistance for S+C).
Following conditional selection of applications, HUD staff will be
available to assist selected applicants in clarifying or confirming
information that is a prerequisite to the offer of a grant agreement or
Annual Contributions Contract by HUD. However, between the application
deadline and the announcement of conditional selections, HUD will
accept no information that would improve the substantive quality of
your application pertinent to HUD's funding decision.
II. Amount Allocated
Approximately $750 million is available for this competition in FY
1999. Any unobligated funds from previous competitions or additional
funds that may become available as a result of deobligations or
recaptures from previous awards may be used in addition to 1999
appropriations to fund applications submitted in response to this
program section of this SuperNOFA. The funds available for the
Continuum of Care program can be used under any of three programs that
can assist in creating community systems for combating homelessness.
The three programs are:
(1) Supportive Housing;
(2) Shelter Plus Care; and
(3) Section 8 Moderate Rehabilitation for Single Room Occupancy
Dwellings for Homeless Individuals.
The chart in the Appendix to this program section of this SuperNOFA
summarizes key aspects of the programs, and also provides the citations
for the statutes and regulations that authorize these programs. The
regulations listed in the chart provide more detailed descriptions of
each of the programs.
As in previous funding availability announcements for the Continuum
of Care Homeless Assistance Programs, HUD will not specify amounts for
each of the three programs this year. Instead, the distribution of
funds among the three programs will depend largely on locally
determined priorities and overall demand. Local priorities
notwithstanding, due to recent Congressional action, not less than 30
percent of this year's total homeless assistance appropriation of $975
million must be used for permanent housing projects. Pursuant to the
provisions of the FY 1998 NOFA, up to $60 million of the FY 1999
appropriation may be made available under the FY 1998 NOFA. Permanent
housing projects funded with that $60 million will be counted toward
the 30 percent requirement. (See Sections V(A)(4)(b) and V(A)(7) of
this program section of the SuperNOFA for additional information.)
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description
(1) Developing Continuum of Care Systems. The purpose of the
Continuum of Care Homeless Assistance Programs is to fund projects that
will fill gaps in locally developed Continuum of Care systems to assist
homeless persons move to self-sufficiency and permanent housing. The
process of developing a Continuum of Care system to assist homeless
persons is part of the community's larger effort of developing a
Consolidated Plan. For a community to successfully address its often
complex and interrelated problems, including homelessness, the
community must marshall its varied resources--community and economic
development resources, social service resources, housing and homeless
assistance resources--and use them in a coordinated and effective
manner. The Consolidated Plan, including the Analysis of Impediments to
Fair Housing Choice, serves as the vehicle for a community to
comprehensively
[[Page 9826]]
identify each of its needs and to coordinate a plan of action for
addressing them.
A Continuum of Care system consists of four basic components:
(a) A system of outreach and assessment for determining the needs
and conditions of an individual or family who is homeless;
(b) Emergency shelters with appropriate supportive services to help
ensure that homeless individuals and families receive adequate
emergency shelter and referral to necessary service providers or
housing finders;
(c) Transitional housing with appropriate supportive services to
help those homeless individuals and families who are not prepared to
make the transition to permanent housing and independent living; and
(d) Permanent housing, or permanent supportive housing, to help
meet the long-term needs of homeless individuals and families.
A Continuum of Care system is developed through a community-wide or
region-wide process involving nonprofit organizations (including those
representing persons with disabilities), government agencies, other
homeless providers, housing developers and service providers, private
foundations, neighborhood groups, and homeless or formerly homeless
persons. A Continuum of Care system should address the specific needs
of each homeless subpopulation: the jobless, veterans, persons with
serious mental illnesses, persons with substance abuse issues, persons
with HIV/AIDS, persons with multiple diagnoses, victims of domestic
violence, youth, and any others. The term ``multiple diagnoses'' may
include diagnoses of multiple physical disabilities or multiple mental
disabilities or a combination of these two types.
As an applicant, the community process you use in developing a
Continuum of Care system should include interested veteran service
organizations. To ensure that the Continuum of Care system addresses
the needs of homeless veterans, it is particularly important that you
involve veteran service organizations with specific experience in
serving homeless veterans. In addition, given the large number of
youths aging out of the Foster Care system each year, you should seek
to include persons knowledgeable on this issue in the planning process
and ensure that your continuum of Care system adequately addresses this
need.
Your application will be given a high score under the Continuum of
Care scoring factors if the application demonstrates the achievement of
two basic goals:
That you have provided maximum participation by non-profit
providers of housing and services; homeless and formerly homeless
persons; state and local governments and agencies; veteran service
organizations; organizations representing persons with disabilities;
the private sector; housing developers; foundations and other community
organizations.
That you have created, maintained and built upon a
community-wide inventory of housing and services for homeless families
and individuals; identified the full spectrum of needs of homeless
families and individuals; and coordinated efforts to obtain resources,
particularly resources sought through this program section of the
SuperNOFA, to fill gaps between the current inventory and existing
needs. This coordinated effort must appropriately address all aspects
of the continuum, especially permanent housing.
In deciding the geographic area you will cover in your Continuum of
Care strategy, you should be aware that the single most important
factor in being awarded funding under this competition will be the
strength of your Continuum of Care strategy when measured against the
Continuum of Care rating factors described in this SuperNOFA. When you
determine what jurisdictions to include in your Continuum of Care
strategy area, include only those jurisdictions that are involved in
the development and implementation of the Continuum of Care strategy.
The more jurisdictions you include in the Continuum of Care
strategy area, the larger the pro rata need share that will be
allocated to the strategy area (as described in Section V(A)(4) of this
program section of the SuperNOFA). However, it would be a mistake to
include jurisdictions that are not fully involved in the development
and implementation of the Continuum of Care strategy since this would
adversely affect the Continuum of Care score. If you are a rural
county, you may wish to consider working with larger groups of
contiguous counties to develop a region-wide or multi-county Continuum
of Care strategy covering the combined service areas of these counties.
Since the basic concept of a Continuum of Care strategy is to
create a single, coordinated, inclusive homeless assistance system for
an area, the areas covered by Continuum of Care strategies should not
overlap. If your Continuum of Care strategy geographically overlaps to
the extent that they are essentially competing with each other,
projects in the applications/Continuum of Care that receive the highest
score out of the possible 60 points for Continuum of Care will be
eligible for up to 40 points under Need. Projects in the competing
applications/Continuum of Care with the less effective Continuum of
Care strategies will be eligible for only 10 points under Need. In no
case will the same geographical area be used more than one time in
assigning Need points. The local HUD Field Office can help you
determine if any of the areas proposed for inclusion by your Continuum
of Care system is also likely to be claimed under another Continuum of
Care system in this competition.
(2) Prioritizing. HUD's policy is that decisions about priority are
best made through a locally-driven process and are key to the ultimate
goal of reducing homelessness. Again this year, you must list all
projects proposed for funding under this program section of the
SuperNOFA in priority order from the highest priority to the lowest.
Generally, this priority order will mean, for example, that if HUD has
funds available only to award 8 of 10 proposed projects, then it will
award funding to the first eight eligible projects listed, except as
may be necessary to achieve the new 30 percent overall permanent
housing requirement--in which case higher priority non-permanent
housing projects may be skipped over in order to fund lower priority
permanent housing projects. You should give non-profit organizations an
opportunity to participate in establishing these priorities.
In order to promote permanent housing, a special incentive is being
provided to continuum of care systems that place an eligible, new
permanent housing project in the number one priority slot on the
priority list. See Section V(A)(4)(b) of this program section of the
SuperNOFA for a description of this incentive.
HUD will use this priority list to award up to 40 points per
project under the ``Need'' scoring factors. Higher priority projects
will receive more points under Need than lower priority projects. A
project priority chart is included in the application kit and you
should complete and submit it. If you do not submit clear project
priority designations for the continuum, or if HUD, at its sole
discretion, cannot determine priority designations, then HUD will give
all projects the lowest score for Need.
Project renewals. If your Supportive Housing, Supportive Housing
Demonstration Program, SAFAH, or Shelter Plus Care grants will be
expiring in calendar year 2000, you must apply
[[Page 9827]]
under this Continuum of Care program section of the SuperNOFA to get
continued funding.
Your local needs analysis process must consider the need to
continue funding for projects expiring in calendar year 2000, and you
must assign a priority to those projects requesting renewal. HUD will
not fund renewals out of order on the priority list except as may be
necessary to achieve the new 30 percent overall permanent housing
requirement. HUD reserves the authority to use FY 2000 funds, if
available, to conditionally select lower-rated eligible SHP renewal
projects that are assigned 40 need points in continuum of care systems
that would not otherwise receive funding.
Regardless of the priority assigned to expiring projects, you
should fully consider how persons currently being served by those
projects will continue to be served, and address this issue in your
gaps analysis. In previous competitions, some renewal projects that
were not assigned top priority by a locality did not receive funding.
To the extent your community desires to have such projects renewed, you
should give them the top priorities on the priority projects listing in
the application. Since renewal projects receive no special
consideration during the review, it is important that they meet minimum
project eligibility, capacity, and quality standards identified in this
program section of the SuperNOFA or they will be rejected.
For the renewal of a Supportive Housing Program project, Supportive
Housing Demonstration Program project or SAFAH project, you may request
funding for one (1), two (2) or three (3) years. The amount of this
request can be up to the total of HUD grant funds for leasing,
operations, and supportive services approved for the final year of the
expiring grant's term. For the renewal of a Shelter Plus Care project,
the grant term is fixed at five (5) years as required by statute. You
may request up to the amount determined by multiplying the number of
units under lease at the time of application for renewal funding under
this SuperNOFA by the applicable current Fair Market Rent(s) by 60
months. While full funding of existing grants may be requested, there
is no guarantee that the entire amount will be awarded. As is the case
with SHP, HUD will recapture Shelter Plus Care grant funds remaining
unspent at the end of the original grant period when it renews a grant.
This program section of the SuperNOFA is not applicable to the
renewal of funding under the SRO program. For further guidance on SRO
renewals, please contact your local HUD Field Office.
As a project applicant, you are eligible to apply for renewal of a
grant only if you have executed a grant agreement for the project
directly with HUD. If you are a project sponsor or subrecipient who has
not signed such an agreement, you are not eligible to apply for renewal
of these projects. HUD will reject applications for renewal submitted
by ineligible applicants. If you have questions about your eligibility
to apply for project renewal, contact the local HUD field office. To be
considered an applicant when applying as part of a consolidated
application, you must submit an originally signed HUD Form SF-424 and
the necessary certifications and assurances.
(B) Eligible Applicants
See Appendix.
(C) Eligible Activities
See Appendix.
IV. Program Requirements
(A) Statutory and Regulatory Requirements
(1) SRO Program. As an applicant, you need to know that the
following limitations apply to the Section 8 SRO program:
Under section 8(e)(2) of the United States Housing Act of
1937, no single project may contain more than 100 assisted units;
Under 24 CFR 882.802, applicants that are private
nonprofit organizations must subcontract with a Public Housing
Authority to administer the SRO assistance;
Under section 8(e)(2) of the United States Housing Act of
1937 and 24 CFR 882.802, rehabilitation must involve a minimum
expenditure of $3000 for a unit, including its prorated share of work
to be accomplished on common areas or systems, to upgrade conditions to
comply with the Housing Quality Standards.
Under section 441(e) of the McKinney Act and 24 CFR
882.805(d)(1), HUD publishes the SRO per unit rehabilitation cost limit
each year to take into account changes in construction costs. This cost
limitation applies to rehabilitation that is compensated for in a
Housing Assistance Payments Contract. For purposes of Fiscal Year 1999
funding, the cost limitation is raised from $17,200 to $17,500 per unit
to take into account increases in construction costs during the past
12-month period.
(2) Shelter Plus Care/Section 8 SRO Component. With regard to the
SRO component of the Shelter Plus Care program, if you are a State or a
unit of general local government, you must subcontract with a Public
Housing Authority to administer the Shelter Plus Care assistance. Also
with regard to this component, no single project may contain more than
100 units.
(B) Match
You must match Supportive Housing Program funds provided for
acquisition, rehabilitation, and new construction with an equal amount
of funds from other sources. In addition, in this year's competition,
you must match by 25% all funding for supportive services. The cash
source may be you, the Federal Government, State and local governments,
or private resources. You must match rental assistance provided through
the Shelter Plus Care Program in the aggregate with supportive
services.
(C) Linking Supportive Housing Programs and Americorps
Applicants for the Supportive Housing Program are encouraged to
link their proposed projects with AmeriCorps, a national service
program engaging thousands of Americans on a full or part-time basis to
help communities address their toughest challenges, while earning
support for college, graduate school, or job training. For information
about AmeriCorps SHP partnerships, call the Corporation for National
Service at (202) 606-5000, extension 486.
(D) Timeliness Standards
As an applicant, you are expected to initiate your approved
projects promptly. HUD may take action if you fail to satisfy certain
timeliness standards:
(1) Supportive Housing Program.
HUD will deobligate SHP funds if you have not demonstrated
site control within one (1) year after you were initially notified of
the grant award, as provided in 24 CFR 583.320(a), subject to the
exceptions noted in that regulation.
Except where HUD finds that delay was due to factors
beyond your control, HUD may deobligate SHP funds if you do not meet
the following additional timeliness standards:
--You must begin construction activities within eighteen (18) months
after initial notification of your grant award and complete them within
thirty-six (36) months after that notification.
--For activities that cannot begin until construction activities are
completed, such as supportive service or
[[Page 9828]]
operating activities that will be conducted within the building being
rehabilitated or newly constructed, you must begin these activities
within three (3) months after you complete construction.
--You must begin all activities that may proceed independent of
construction activities within twelve (12) months after initial
notification of your grant award.
(2) Shelter Plus Care Program Components Except SRO Component.
Except where HUD finds that delay was due to factors beyond your
control, HUD will deobligate S+C funds if you do not meet the following
timeliness standards:
For Tenant-based Rental Assistance, for Sponsor-based
Rental Assistance, and for Project-based Rental Assistance without
rehabilitation, you must start the rental assistance within twelve (12)
months of the initial announcement of the grant award.
For Project-based Rental Assistance with rehabilitation,
you must complete the rehabilitation within twelve (12) months of
initial notification of the grant award.
(3) SRO Program and SRO Component of the Shelter Plus Care Program.
For projects carried out under the SRO program and the SRO
component of the S+C program, the rehabilitation work must be completed
and the Housing Assistance Payments contract executed within twelve
(12) months of execution of the Annual Contributions Contract. HUD may
reduce the number of units or the amount of the annual contribution
commitment if, in HUD's determination, the Public Housing Authority
fails to demonstrate a good faith effort to adhere to this schedule.
V. Application Selection Process
(A) Review, Rating and Conditional Selection
HUD will use the same review, rating, and conditional selection
process for all three programs (S+C, SRO, and SHP). The standard
factors for award identified in the General Section of this SuperNOFA
have been modified in this program section as described below. Only the
factors described in this program section--Continuum of Care and Need--
will be used to assign points. To review and rate applications, HUD may
establish panels.To obtain certain expertise and outside points of
view, including views from other Federal agencies, these panels may
include persons not currently employed by HUD. Two types of reviews
will be conducted. Paragraphs (1) and (2) below describe threshold
reviews and paragraphs (3) and (4) describe factors--Continuum of Care
and Need--that will be used to assign points. Up to 104 points
(including bonus points and points for the court-ordered consideration
described in Section III(C) (1) and (2) of the General Section of the
SuperNOFA) will be assigned using these factors.
(1) Applicant and sponsor eligibility and capacity. HUD will review
your capacity as the applicant and project sponsor to ensure the
eligibility and capacity standards in this section are met. If HUD
determines these standards are not met, the project will be rejected
from the competition. The eligibility and capacity standards are:
You must be eligible to apply for the specific program;
You must demonstrate ability to carry out the project(s).
With respect to each proposed project, this means that in addition to
knowledge of and experience with homelessness in general, the
organization carrying out the project, its employees, or its partners,
must have the necessary experience and knowledge to carry out the
specific activities proposed, such as housing development, housing
management, and service delivery;
If you or the project sponsors are current or past
recipients of assistance under a HUD McKinney Act program or the HUD
Single Family Property Disposition Homeless Program, there must have
been no delay in implementing projects exceeding applicable program
timeliness standards that HUD determines is within your or the project
sponsor's control, unresolved HUD finding, or outstanding audit finding
of a material nature regarding the administration of HUD McKinney Act
programs or the HUD Single Family Property Disposition Homeless
Program; and
You and the project sponsors must be in compliance with
applicable civil rights laws and Executive Orders, and must meet the
threshold requirements of Section II(B) of the General Section of the
SuperNOFA.
(2) Project eligibility and quality. HUD will review projects to
determine if they meet the following eligibility and quality standards.
If HUD determines the following standards are not met by a specific
project or activity, the project or activity will be rejected from the
competition.
The population to be served must meet the eligibility
requirements of the specific program, as described in the application
instructions;
At least one of the activity(ies) for which assistance is
requested must be eligible under the specific program, as described in
the program regulations;
The housing and services proposed must be appropriate to
the needs of the persons to be served. HUD may find a project to be
inappropriate if:
--The type and scale of the housing or services clearly does not fit
the needs of the proposed participants (e.g., housing homeless families
with children in the same space as homeless individuals, or separating
members of the same family, without an acceptable rationale provided);
--Participant safety is not ensured;
--The housing or services are clearly designed to principally meet
emergency needs rather than helping participants achieve self-
sufficiency;
--Transportation and community amenities are not available and
accessible; or
--Housing accessibility for persons with disabilities is not provided
as required by applicable laws;
The project must be cost-effective in HUD's opinion,
including costs associated with construction, operations, and
administration, with such costs not deviating substantially from the
norm in that locale for the type of structure or kind of activity;
Supportive services only projects, and all others, must
show how participants will be helped to access permanent housing and
achieve self-sufficiency;
For the Section 8 SRO program, at least 25 percent of the
units to be assisted at any one site must be vacant at the time of
application; and
For those projects proposed under the SHP innovative
category: Whether or not a project is considered innovative will be
determined on the basis that the particular approach proposed is new
within its geographic area, and can be replicated.
(3) Continuum of Care. HUD will award up to 60 points as follows:
(a) Process and Strategy. HUD will award up to 30 points based on
the extent to which your application demonstrates:
The existence of a coordinated and inclusive community
process, including organizational structure(s), for developing and
implementing a Continuum of Care strategy which includes nonprofit
organizations (such as veterans service organizations, organizations
representing persons with disabilities, and other groups serving
homeless persons), State and local governmental agencies, other
homeless providers, housing developers and service providers, private
foundations, local businesses and the banking
[[Page 9829]]
community, neighborhood groups, and homeless or formerly homeless
persons; and
That a well-defined and comprehensive strategy has been
developed which addresses the components of a Continuum of Care system
(i.e., outreach, intake, and assessment; emergency shelter;
transitional housing; permanent and permanent supportive housing) and
that strategy has been designed to serve all homeless subpopulations in
the community (e.g., seriously mentally ill, persons with multiple
diagnoses, veterans, persons with HIV/AIDS), including those persons
living in emergency shelters, supportive housing for homeless persons,
or in places not designed for, or ordinarily used as, a regular
sleeping accommodation for human beings.
(b) Gaps and Priorities. HUD will award up to 20 points based on
the extent to which your application:
Describes the gap analysis performed, uses reliable
information and sources that are presented completely and accurately,
and establishes the relative priority of homeless needs identified in
the Continuum of Care strategy; and
Proposes projects that are consistent with the priority
analysis described in the Continuum of Care strategy, describes a fair
project selection process, explains how gaps identified through the
analysis are being addressed, and correctly completes the priority
chart.
When HUD reviews a community's Continuum of Care to determine the
points to assign, HUD will consider whether the community took its
renewal needs into account in preparing its project priority list. (See
discussion on renewals in Section III(A)(2) of this NOFA.)
(c) Supplemental Resources. HUD will award up to 10 points based on
the extent to which your application demonstrates leveraging of funds
requested under this program section of the SuperNOFA with other
resources, including private, other public, and mainstream services and
housing programs.
(d) EZ/EC bonus points. As provided for in Section III(C)(1) of the
General Section of this SuperNOFA, HUD will add a bonus of up to 2
points to the Continuum of Care score when: (1) at least one proposed
homeless assistance project will be located within the boundaries and/
or will principally serve the residents of a high performing federal
Empowerment Zone, Enterprise Community or Enhanced Enterprise Community
(collectively ``EZ/EC''); and (2) if priority placement will be given
by the project(s) to homeless persons living on the streets or in
shelters within the EZ/EC, or whose last known address was within the
high performing EZ/EC. In addition, and in order for a Continuum of
Care system to receive any of the bonus points, the applicant must
specifically state how it meets the requirements for the two EZ/EC
bonus points, and provide a narrative describing the extent of the
linkages and coordination between proposed projects and the EZ/EC.
Examples of such coordination include having common board or committee
membership (EZ/EC and Continuum of Care), and having EZ/EC resources
directed toward Continuum of Care activities. The greater the extent of
EZ/EC involvement in and coordination with the implementation strategy
for the Continuum of Care system and projects, the greater the
likelihood that bonus points will be awarded.
(e) Court-ordered consideration. Section III(C)(2) of the General
Section is applicable to this program.
(4) Need. HUD will award up to 40 points for need. There is a
three-step approach to determining the need scores to be awarded to
projects:
(a) Determining relative need: To determine the homeless assistance
need of a particular jurisdiction, HUD will use nationally available
data, including the following factors as used in the Emergency Shelter
Grants program: data on poverty, housing overcrowding, population, age
of housing, and growth lag. Applying those factors to a particular
jurisdiction provides an estimate of the relative need index for that
jurisdiction compared to other jurisdictions applying for assistance
under this program section of the SuperNOFA.
(b) Applying relative need: HUD will then apply that relative need
index to the total amount of funding estimated to be available under
this program section of the SuperNOFA to determine a jurisdiction's pro
rata need. However, in order to promote permanent housing for the
homeless, if a continuum of care's number one priority project
qualifies as an eligible, new permanent housing project, then the full
amount of that project's eligible activities, up to $250,000, will be
added to the final pro rata need amount for the continuum. HUD also
reserves the right to adjust pro rata need, if necessary, to address
the issue of project renewals.
(c) Awarding need points to projects: Once the pro rata need is
established, it is applied against the priority project list in the
application. Starting from the highest priority project, HUD proceeds
down the list to award need points to each project. An eligible project
will receive the full 40 points for need if at least one half of its
requested amount falls within the pro rata need amount for that
Continuum of Care (COC). Thereafter, HUD proceeds further down the
priority project list and awards 20 points for need to each project if
at least one half of its requested amount falls within the ``second
tier'' of pro rata need amount for that Continuum of Care (COC). The
``second tier'' is the amount between the pro rata need and twice the
pro rata need for the COC. Remaining projects each receive 10 points.
If projects are not prioritized for the continuum, then all projects
will receive 10 points for Need.
In the case of competing applications from a single jurisdiction or
service area, projects in the application that received the highest
score out of the possible 60 points for Continuum of Care are eligible
for up to 40 points under Need. Projects in the competing applications
with lower Continuum of Care scores are eligible for only 10 points
under Need.
(5) Ranking. HUD will add the score for Continuum of Care to the
Need score in order to obtain a total score for each project. The
projects will then be ranked from highest to lowest according to the
total combined score.
(6) Conditional Selection and Adjustments to Funding.
(a) Conditional Selection. Whether a project is conditionally
selected, as described in Section V(B) below, will depend on its
overall ranking compared to others, except that HUD reserves the right
to select lower rated eligible projects in order to meet the new 30
percent overall permanent housing requirement.
When insufficient funds remain to fund all projects having the same
total score, HUD will first fund permanent housing projects if
necessary to achieve the 30 percent overall permanent housing
requirement. HUD will then break ties among the remaining projects with
the same total score by comparing scores received by the projects for
each of the following scoring factors, in the order shown: Need,
Overall Continuum of Care (COC) score, COC Process and Strategy, COC
Gaps and Priorities, and COC Supplemental Resources. The final tie-
breaking factor is the priority number of the competing projects on the
applicable COC priority list(s).
(b) Adjustments to Funding. The Secretary of HUD has determined
that geographic diversity is appropriate to carrying out homeless
assistance programs in an effective manner. HUD believes that
geographic diversity can be
[[Page 9830]]
achieved best by awarding grants to as many COCs as possible. To this
end, in instances where any of the 50 States does not have at least one
funded COC, HUD reserves the right to fund eligible project(s)
receiving 40 Need points in the COC with the highest total score in
that State. In the case of two or more COCs with the same total score,
HUD will use the tie-breaking rules described above. In addition, if
the highest priority project passing threshold requirements within a
COC fails to meet the criteria for receiving 40 Need points, HUD
reserves the right to reduce the total requested amount for that
project in order to allow it to qualify for 40 Need points. HUD may
otherwise adjust funding of applications in accordance with the
provisions of Section III(E) of the General Section of the SuperNOFA.
In addition, HUD reserves the right to ensure that a project that is
applying for, and eligible for, selection under this competition is not
awarded funds that duplicate activities.
(7) Additional selection considerations. HUD also will apply the
limitations on funding described below in making conditional
selections.
In accordance with the appropriation for homeless assistance grants
in the Fiscal Year 1999 Appropriation Act for HUD (Pub. L. 105-276,
approved October 21, 1998), HUD will use not less than 30 percent of
the total FY 1999 homeless grant assistance appropriation to fund
projects that meet the definition of permanent housing. Projects
meeting the definition of permanent housing are: (1) New Shelter Plus
Care projects; (2) Shelter Plus Care renewal projects; (3) Section 8
SRO projects; and (4) new and renewal projects designated as permanent
housing for homeless persons with disabilities under the Supportive
Housing Program. Since the FY 1999 homeless grant assistance
appropriation is $975 million, not less than $292.5 million must be
awarded to permanent housing projects unless an insufficient number of
approvable permanent housing projects is submitted in which case HUD
will carry over the amount of the permanent housing funding shortfall
to next year's competition. This permanent housing funding requirement
may result in higher scoring non-permanent housing projects being
skipped over in order to fund lower scoring permanent housing projects
or, within a continuum, higher priority non-permanent housing projects
being skipped over in order to fund lower priority permanent housing
projects.
In accordance with section 429 of the McKinney Act, HUD will award
Supportive Housing funds as follows: not less than 25 percent for
projects that primarily serve homeless families with children; not less
than 25 percent for projects that primarily serve homeless persons with
disabilities; and not less than 10 percent for supportive services not
provided in conjunction with supportive housing. After projects are
rated and ranked, based on the factors described above, HUD will
determine if the conditionally selected projects achieve these minimum
percentages. If not, HUD will skip higher-ranked projects in order to
achieve these minimum percentages.
In accordance with section 463(a) of the McKinney Act, as amended
by the Housing and Community Development Act of 1992, at least 10
percent of Shelter Plus Care funds will be awarded for each of the four
components of the program: Tenant-based Rental Assistance; Sponsor-
based Rental Assistance; Project-based Rental Assistance; and Section 8
Moderate Rehabilitation of Single Room Occupancy Dwellings for Homeless
Individuals (provided there are sufficient numbers of approvable
projects to achieve these percentages). After projects are rated and
ranked, based on the factors described above, HUD will determine if the
conditionally selected projects achieve these minimum percentages. If
necessary, HUD will skip higher-ranked projects in order to achieve
these minimum percentages.
In accordance with section 455(b) of the McKinney Act, no more than
10 percent of the assistance made available for Shelter Plus Care in
any fiscal year may be used for programs located within any one unit of
general local government. In accordance with section 441(c) of the
McKinney Act, no city or urban county may have Section 8 SRO projects
receiving a total of more than 10 percent of the assistance made
available under this program. HUD is defining the 10 percent
availability this fiscal year as $10 million for Shelter Plus Care and
$10 million for Section 8 SRO. However, if the amount awarded under
either of these two programs exceeds $100 million, then the amount
awarded to any one unit of general local government (for purposes of
the Shelter Plus Care program) or city or urban county (for the
purposes of the SRO program) could be up to 10 percent of the actual
total amount awarded for that program.
Lastly, HUD reserves the right to reduce the amount of a grant if
necessary to ensure that no more than 10 percent of assistance made
available under this program section of the SuperNOFA will be awarded
for projects located within any one unit of general local government or
within the geographic area covered by any one Continuum of Care. If HUD
exercises a right it has reserved under this program section of the
SuperNOFA, that right will be exercised uniformly across all
applications received in response to this program section of the
SuperNOFA.
(B) Action on Conditionally Selected Applications
HUD will notify conditionally selected applicants in writing. As
necessary, HUD will subsequently request them to submit additional
project information, which may include documentation to show the
project is financially feasible; documentation of firm commitments for
cash match; documentation showing site control; information necessary
for HUD to perform an environmental review, where applicable; and such
other documentation as specified by HUD in writing to the applicant,
that confirms or clarifies information provided in the application. HUD
will notify SHP, SRO, S+C and S+C/SRO applicants of the deadline for
submission of such information. If an applicant is unable to meet any
conditions for fund award within the specified timeframe, HUD reserves
the right not to award funds to the applicant, but instead to either:
use them to select the next highest ranked application(s) from the
original competition for which there are sufficient funds available; or
add them to funds available for the next competition for the applicable
program.
VI. Application Submission Requirements
The application kit provides the application materials, including
Form SF-424 and certifications, that must be used in applying for
homeless assistance under this SuperNOFA. These application materials
substitute for the forms, certifications, and assurances listed in
Section II(G) of the General Section of the SuperNOFA.
The application requires a description of the Continuum of Care
system and proposed project(s). The application kit also contains
certifications that the applicant will comply with fair housing and
civil rights requirements, program regulations, and other Federal
requirements, and (where applicable) that the proposed activities are
consistent with the HUD-approved Consolidated Plan of the applicable
State or unit of general local government, including the Analysis of
Impediments to Fair Housing Choice and the Action Plan to address these
impediments. Projects funded under
[[Page 9831]]
this SuperNOFA shall operate in a fashion that does not deprive any
individual of any right protected by the Fair Housing Act (42 U.S.C.
3601-19), section 504 of the Rehabilitation Act of 1973 (29 U.S.C.
794), the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et
seq.), Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d),
Section 109 of the Housing and Community Development Act of 1974 (42
U.S.C. 5301) or the Age Discrimination Act of 1974 (42 U.S.C. 6101).
Section II(D) of the General Section of this SuperNOFA regarding
Affirmatively Furthering Fair Housing does not apply to the Continuum
of Care Homeless Assistance programs.
There are three options for submitting an application under this
program section of the SuperNOFA.
One: A ``Consolidated Application'' is submitted when a
jurisdiction (or a consortium of jurisdictions) submits a single
application encompassing a Continuum of Care strategy and containing
all the projects within that strategy for which funding is being
requested. Individual projects are contained within the one
consolidated application. Grant funding may go to one entity which then
administers all funded projects submitted in the application, or under
this option, grant funding may go to all or any of the projects
individually. Your application will specify the grantee for each
project.
Two: ``Associated Applications'' are submitted when applicants plan
and organize a single Continuum of Care strategy which is adopted by
project sponsors or operators who choose to submit separate
applications for projects while including the identical Continuum of
Care strategy. In this case, project funding would go to each
successful applicant individually and each would be responsible to HUD
for administering its separate grant.
Three: A ``Solo Application'' is submitted when an applicant
applies for a project exclusive of participation in any community-wide
or region-wide Continuum of Care development process.
Options one and two are not substantively different and will be
considered equally competitive. Applicants are advised that projects
that are not a part of a Continuum of Care strategy will receive few,
if any, points under the Continuum of Care rating factors.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications (See Section V of the General
Section).
VIII. Environmental and Local Resident Employment Requirements
(A) Environmental Requirements
All Continuum of Care assistance is subject to the National
Environmental Policy Act of 1969 and related Federal environmental
authorities. No Federal or non-Federal funds or assistance that limits
reasonable choices or could produce a significant adverse environmental
impact may be committed to a project until all required environmental
reviews and notifications have been completed. Conditional selection of
projects under the Continuum of Care Program is subject to the
environmental review requirements under 24 CFR 582.230, 583.230, and
882.804(c), as applicable.
(B) Local Resident Employment
To the extent that any housing assistance (including rental
assistance) funded through this program section of the SuperNOFA is
used for housing rehabilitation (including reduction and abatement of
lead-based paint hazards, but excluding routine maintenance, repair,
and replacement) or housing construction, then it is subject to section
3 of the Housing and Urban Rehabilitation Act of 1968, and the
implementing regulations at 24 CFR part 135. Section 3, as amended,
requires that economic opportunities generated by certain HUD financial
assistance for housing and community development programs shall, to the
greatest extent feasible, be given to low- and very low-income persons,
particularly those who are recipients of government assistance for
housing, and to businesses that provide economic opportunities for
these persons.
IX. Authority
The Supportive Housing Program is authorized by title IV, subtitle
C, of the Stewart B. McKinney Homeless Assistance Act (McKinney Act),
42 U.S.C. 11381. Funds made available under this program section of the
SuperNOFA for the Supportive Housing Program are subject to the program
regulations at 24 CFR part 583.
The Shelter Plus Care program is authorized by title IV, subtitle
F, of the McKinney Act, 42 U.S.C. 11403. Funds made available under
this program section of the SuperNOFA for the Shelter Plus Care program
are subject to the program regulations at 24 CFR part 582.
The Section 8 Moderate Rehabilitation Program for Single Room
Occupancy Dwellings for Homeless Individuals (SRO) is authorized by
section 441 of the McKinney Act, 42 U.S.C. 11401. Funds made available
under this NOFA for the SRO program are subject to the program
regulations at 24 CFR part 882, subpart H.
BILLING CODE 4210-32-P
[[Page 9832]]
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[GRAPHIC] [TIFF OMITTED] TN26FE99.040
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9835]]
[GRAPHIC] [TIFF OMITTED] TN26FE99.041
BILLING CODE 4210-32-C
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices
[[Page 9837]]
Funding Availability for the Housing Opportunities for Persons With
AIDS (HOPWA) Program
Program Overview
Purpose of the Program. To provide States and localities with the
resources and incentives to devise long-term comprehensive strategies
for meeting the housing needs of persons with HIV/AIDS and their
families.
Available funds. $22,275,000 (and under a related part of this
SuperNOFA, up to $2,250,000 for technical assistance for the HOPWA
program).
Eligible Applicants. (1) States, units of general local government,
and nonprofit organizations for grants for Special Projects of National
Significance (SPNS) grants.
(2) States and units of general local government may apply for
projects under the Long-Term category of grants, if activities will
serve areas that were not eligible for HOPWA formula allocations in
fiscal year 1999. An appendix in the application kit identifies the
formula areas.
Application Deadline. June 2, 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. You must submit applications on or before
12:00 midnight, Eastern time, on June 2, 1999 at HUD Headquarters.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. You must submit your completed
original application to: Department of Housing and Urban Development,
451 Seventh Street, SW, Room 7251, Washington, DC 20410. The original
application submitted to HUD headquarters is considered the official
application.
In addition, you must submit two (2) copies of your application to
the area CPD Field Office or Offices that serve the area in which
activities are proposed; the list of addresses for area CPD Field
Offices is provided in the HOPWA application kit. If you propose
nationwide activities, you must send all copies to the HUD headquarters
office. When submitting your applications, please refer to HOPWA, and
include your name, mailing address (including zip code) and telephone
number (including area code).
For Application Kits. For an application kit, please call the
SuperNOFA Information Center at 1-800-HUD-8929 (1-800-483-8929).
Persons with hearing or speech impairments may call the Center's TTY
number at 1-800-483-2209. The application kit also will be available on
the Internet through the HUD web site at http://www.hud.gov.
For Further Information and Technical Assistance. For answers to
your questions, you may call the HUD Field Office serving your area, at
the telephone number shown in the application kit for this program, or
you may contact the Community Connections Information Center at 1-800-
998-9999 (voice) or 1-800-483-2209 (TTY) or by Internet at: http://
www.comcon.org/ccprog.html.
II. Amount Allocated
Approximately $22,275,000 is being made available for funding under
this program section of the SuperNOFA. Additional funds may be awarded
if funds are recaptured, deobligated, appropriated or otherwise made
available during the fiscal year.
(A) Maximum grant amounts. The maximum amount that you may receive
is $1,200,000 for program activities (e.g., activities that directly
benefit low-income persons living with HIV/AIDS and their families).
You may also add-on up to 3 percent of this program activities amount
for grantee administrative costs and, if your program involves project
sponsors, add-on up to 7 percent for their administrative costs. In
addition, up to $50,000 may be requested to collect data on project
outcomes. HUD reserves the right to reduce the amount requested for
data collection on project outcomes in relation the amount requested
for program activities.
(B) Award Modifications. See the General Section of this SuperNOFA
for information with regard to adjustments to funding. HUD also
reserves the right to ensure that activities funded under the FY 1999
Continuum of Care will not duplicate activities funded under this
competition.
III. Program Description; Eligible Applicants, Eligible Activities
(A) Program Description
Funds under this program are to be used to fund projects for low-
income persons with HIV/AIDS and their families under two categories of
assistance:
(1) Grants for Special Projects of National Significance (SPNS)
that, due to their innovative nature or their potential for
replication, are likely to serve as effective models in addressing the
housing and related supportive service needs of low-income persons
living with HIV/AIDS and their families; and
(2) Grants for projects that are part of Long-Term Comprehensive
Strategies (Long-Term) which provide housing and related supportive
services for low-income persons living with HIV/AIDS and their families
in areas that are not eligible for HOPWA FY 99 formula allocations.
(B) Eligible Applicants and Project Sponsors
(1) States, units of general local government, and nonprofit
organizations may apply for grants for Special Projects of National
Significance;
(2) States and units of general local government may apply for
grants for projects under the Long-Term category of grants, if proposed
activities will serve areas that were not eligible to receive HOPWA
formula allocations in fiscal year 1999. An appendix in the application
kit describes the formula areas. Nonprofit organizations are not
eligible to apply directly for the Long-Term grants but may serve as a
project sponsor for an eligible State or local government grantee. You
must identify your project sponsors in your application.
(3) Nonprofit organizations must have appropriate credentials, in
accordance with HOPWA regulations at 24 CFR 574.3. If you are a
nonprofit organization, to be an eligible applicant or project sponsor,
you must either:
--Have, by the application due date, an IRS ruling that grants you tax
exempt status under section 501(c)(3) of the Internal Revenue Code; or
--Provide documentation that shows that your organization satisfies the
criteria in the statutory definition of nonprofit organization in 42
U.S.C. 12902(13).
The statutory definition reads:
The term ``nonprofit organization'' means any nonprofit
organization (including a State or locally chartered, nonprofit
organization) that--(A) is organized under State or local laws; (B)
has no part of its net earnings inuring to the benefit of any
member, founder, contributor, or individual; (C) complies with
standards of financial accountability acceptable to the Secretary;
and (D) has among its purposes significant activities related to
providing services or
[[Page 9838]]
housing to persons with acquired immunodeficiency syndrome or
related diseases.
HUD interprets the use of the term ``related diseases'' in this
definition to include HIV infection.
Adequate documentation of nonprofit status includes the following:
(a) In lieu of an IRS exemption for nonprofits in Puerto Rico, a
ruling from the Treasury Department of the Commonwealth of Puerto Rico
granting income tax exemption under section 101 of the Income Tax Act
of 1954, as amended (13 LPRA 3101);
(b) In lieu of documentation under section 501(c)(3), documentation
of an IRS ruling of tax exempt status under section 501(c)(4), (6),
(7), (9), or (19);
(c) Documentation of satisfying the statutory criteria by
submitting the following four items:
(i) Certification by the appropriate official of the jurisdiction
under whose laws the nonprofit organization was organized that the
organization was so organized and is in good standing;
(ii) Documentation that the organization is a certified United Way
member agency or other documentation that shows that no inurement of
benefits to the managers of the organization occurs;
(iii) Documentation from a CPA or Public Accountant that the
organization has a functioning accounting system that is operated in
accordance with generally acceptable accounting principles or that a
qualifying entity is designated for that activity, or the United Way
member agency certification noted in item (ii); and
(iv) A certified copy of the nonprofit organization's articles of
incorporation, by-laws, statement of purposes, board of director's
resolution or a similar document that includes a provision
demonstrating its purpose regarding significant activities for persons
living with HIV/AIDS.
If your organization does not provide the requested documentation,
you are not eligible to receive funds and serve as the grantee or as a
project sponsor. However, you may collaborate with eligible nonprofit
organizations or with a government agency that applies for the grant
and assist them, for example, in planning for the proposed activities,
identifying needs in your community and identifying clients who will be
assisted. In addition, you may do work under contract with a grantee
for services funded by this grant.
(C) Eligible Activities
(1) The following eligible activities are subject to standards and
limitations found in 24 CFR part 574, however, HUD will not approve
proposals that depend on future decisions on how funds are to be used,
for example, a proposal to establish a local request-for-proposal
process to select activities:
(a) Housing information services (including fair housing
counseling).
(b) Project-based or tenant-based rental assistance.
(c) New construction of a community residence or SRO dwelling.
(d) Acquisition, rehabilitation, conversion, lease or repair of
facilities to provide housing and services.
(e) Operating costs for housing.
(f) Short-term rent, mortgage and utility payments to prevent
homelessness.
(g) Supportive services.
(h) Administrative expenses (see limits for grantees and sponsors).
(i) Resource identification to establish, coordinate and develop
housing assistance resources and technical assistance in establishing
and operating a community residence. HUD will not select under this
notice an application that is primarily directed at providing these
activities, since national HOPWA technical assistance funds are being
made available under the CDTA part of this notice for this purpose. You
may propose a resource identification or technical assistance component
in your application, if the amount of funds designated for these
activities are less than 20 percent of the proposed program activity
costs; and
(j) As authorized by the statute, you may propose other activities
in your application, if approved by HUD, including data collection on
project outcomes, as described below in paragraph (2).
(2) Project Outcomes.
You may request up to $50,000 to collect information and report to
HUD, or a third party designated by HUD, on project outcomes. If you
requested these funds, you must propose data collection activities in
your application. The persons who will conduct these activities may
include an expert third-party. Generally, this assistance will help a
project:
(a) Define monitoring questions that will be addressed and examined
during the project period;
(b) Specify outcome measures;
(c) Develop instruments to assess project outcomes and systems
outcomes;
(d) Train project staff in the collection of data;
(e) Monitor data collection activities to assure that submissions
are complete and accurate, including data coding and entry;
(f) Summarize data collected; and
(g) Prepare reports summarizing findings, including the standard
HOPWA Annual Progress Report.
IV. Program Requirements
(A) Performance Measures and Project Goals and Objectives
You must use HUD's required performance measures that will show
your accomplishments in using HOPWA funds to expand the housing options
that benefit low-income persons with HIV/AIDS and their families. You
may also establish individual goals and objectives for your proposal.
They should be specific, achievable and measured within set time
periods. Your individual goals and objectives should result in possible
findings on the successes and lessons learned in undertaking your
activities that would be shared with other communities. In designing
your proposal, please use the following:
(1) The required HOPWA performance goals. Your proposed activities
must:
(a) Increase the amount of housing assistance and related
supportive services to low-income persons living with HIV/AIDS and
their families;
(b) Enable them to achieve housing stability; and
(c) Enable them to access health-care and supportive services.
(2) Measurement of your performance. After each year of operation,
report on the number of short-term and permanent housing units that
were provided with HOPWA funding, in connection with related supportive
services. The following are examples of performance measurement:
(a) In your community over the last year, a transitional housing
facility providing 5 units of housing was operated with HOPWA funds.
Residents also received drug and/or alcohol abuse treatment and
counseling by qualified staff. During that year, ten persons resided in
the facility and benefited from the intense on-site assistance, which
also included helping them develop and follow a plan to find permanent
housing and continue treatment after leaving the facility, including
monthly phone contacts or visits by staff; and
(b) Over the last 12 months, a nonprofit organization distributed
tenant-based rental assistance vouchers to 15 households within your
three-county metropolitan area. The vouchers provided for on-going
housing assistance (up to three years) and the program advised the
clients on tenant-landlord issues and arranged for housing quality
standard inspections of
[[Page 9839]]
the apartments selected. A case manager who is funded under the Ryan
White CARE Act program, advised the tenants and helped them access
health-care and other services from providers in this community. During
this year, 22 persons received permanent housing assistance with HOPWA
funds and for three of these families who were unable to find housing
within 30 days, additional efforts were made and an appropriate
apartment was located and used.
(B) Performance Benchmarks
Funds received under this competition are expected to be expended
within 3 years following the effective date of a grant agreement. If
you undertake the listed activities, you will be expected to meet the
following performance benchmarks:
(1) If you acquire or lease a site, you are required to gain site
control within one year of their selection (i.e, one year from the date
of the signing of their selection letter by HUD);
(2) If you propose to use HOPWA funds to undertake rehabilitation
or new construction activities, you are required to begin the
rehabilitation or construction within 18 months of your selection and
to complete that activity within 3 years from the date of your
selection letter by HUD; and
(3) Except as noted in paragraph (2) for rehabilitation or
construction activities, you must begin to operate your program within
one year from your selection. If a selected project does not meet the
appropriate performance benchmark, HUD reserves the right to cancel or
withdraw the grant funds.
(C) Availability of FY 1999 Formula Allocations
You are also encouraged to consider seeking funds for your proposed
activities under the formula component of the HOPWA program and from
other resources that are made available in communities. Ninety (90)
percent of the HOPWA program is allocated by formula and recipient
States and cities are required to consult with the public on designing
the use of these funds. In FY 1999, a total of $200.475 million was
allocated by formula to the qualifying cities for 63 eligible
metropolitan statistical areas (EMSAs) and to 34 eligible States for
areas outside of EMSAs. All HOPWA formula grants are available as part
of the jurisdiction's Consolidated Plan, which also includes the
Community Development Block Grant, HOME Investment Partnerships
program, and Emergency Shelter Grants. Plans are developed through a
public process that assesses area needs, creates a multiple-year
strategy and proposes an action plan for use of Federal funds and other
community resources in a coordinated and comprehensive manner.
Information on consolidated planning, including HOPWA formula programs
and descriptions of previously awarded competitive grants, is available
on the HUD HOME Page at www.hud.gov/cpd/cpdalloc.html.
(D) Availability of National HOPWA Technical Assistance
If you are interested in providing technical assistance activities
with HOPWA funds, submit an application for funds under the Community
Development Technical Assistance part of this notice, which is
published elsewhere in this SuperNOFA. The CDTA notice provides up to
$2,250,000 in HOPWA funds to organizations for technical assistance
support on a national or regional basis.
V. Application Selection Process
(A) HOPWA Application Reviews
HUD will review your HOPWA application to ensure that:
(1) It meets the threshold requirements found in the General
Section of the SuperNOFA;
(2) A Certification of Consistency with Consolidated Plans is
provided. Under the HOPWA program, proposed activities that are located
in a jurisdiction are required to be consistent with the jurisdiction's
current, approved Consolidated Plan, including the Analysis of
Impediments to Fair Housing and the Action Plan to address these
impediments, except that this certification is not required for
projects that propose to undertake activities on a national basis; and
(3) You are currently in compliance with the Federal requirements
contained in 24 CFR part 574, subpart G, ``Other Federal
Requirements.''
(B) The HOPWA Competition
This national competition will involve the review, rating, and
selection of HOPWA applications under each of the two categories of
assistance (Special Projects of National Significance (SPNS) and Long-
Term Comprehensive Strategies (Long-Term) in areas that do not qualify
for HOPWA formula allocations.
(C) Procedures for the Rating of Applications
HUD will rate all HOPWA applications based on the criteria listed
below.
(D) Factors for Award Used to Evaluate and Rate Applications
The factors for rating and ranking your application, and the
maximum points for each factor, are provided below. The points awarded
for the factors total 100. In addition, bonus points for projects in
high performing EZ/EC areas and by the City of Dallas may be available
under Section III(C)(2) of the General Section of this SuperNOFA apply
to this competition. After rating, all applications will be placed in
the rank order of their final score for selection within the
appropriate category of assistance.
Rating Factor 1: Capacity of the Applicant and Project Sponsors and
Relevant Organizational Experience (20 Points)
This factor addresses the extent to which you and any project
sponsor has the organizational resources necessary to successfully
implement the proposed activities in a timely manner. HUD will award up
to 20 points based on your and any project sponsor's ability to develop
and operate the proposed program, such as housing development,
management of housing facilities or units, and service delivery, in
relation to which entity is carrying out an activity.
(1) With regard to both you and any project sponsor(s), HUD will
consider:
(a) Past experience and knowledge in serving persons with HIV/AIDS
and their families;
(b) Past experience and knowledge in programs similar to those
proposed in your application;
(c) Experience and knowledge in monitoring and evaluating program
performance and disseminating information on project outcomes; and
(d) Past experience as measured by expenditures and measurable
progress in achieving the purpose for which funds were provided.
(2) In reviewing the elements of paragraph (1), HUD will consider
the extent to which your proposal demonstrates:
(a) The knowledge and experience of the proposed project director
and staff, including the day-to-day program manager, consultants and
contractors in planning and managing the kind of activities for which
you are requesting funds. You and any project sponsor will be judged in
terms of recent, relevant and successful experience of staff to
undertake eligible program activities, including experience and
knowledge in serving persons with HIV/AIDS and their families.
(b) Your and/or the sponsor's experience in managing complex
[[Page 9840]]
interdisciplinary programs, especially those involving housing and
community development programs directly relevant to the work activities
proposed and carrying out grant management responsibilities.
(c) If you and/or the sponsor received funding in previous years in
the program area for which you are currently seeking funding, you and
your sponsor's past experience will be evaluated in terms of their
ability to attain demonstrated measurable progress in the
implementation of their recent grant awards, as measured by
expenditures and measurable progress in achieving the purpose for which
funds were provided.
Rating Factor 2: Need/Extent of the Problem (20 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities and an indication of the
urgency of meeting the need in the target area. For up to 15 points,
HUD will award points as follows under paragraphs (1) to (3), and 5
points under paragraph (4).
(1) (5 Points) AIDS Cases. Up to five of these points will be
determined by the relative numbers of AIDS cases and per capita AIDS
incidence, in metropolitan areas of over 500,000 population and in
areas of a State outside of these metropolitan areas, in the State for
proposals involving state-wide activities, and in the nation for
proposals involving nation-wide activities. To determine these points,
HUD will obtain AIDS surveillance information from the Director of the
Centers for Disease Control and Prevention.
(2) (5 Points) Description of Unmet Need. Up to five of these
points will be determined by the extent to which there is a need for
funding eligible activities in the area to be served. To receive the
highest ratings in this factor, you must demonstrate that substantial
housing and related service needs of low-income persons living with
HIV/AIDS and their families are not being met in the area and that
reliable statistics and data sources show this unmet need. To receive
the highest number of points, you also must show that your
jurisdiction's Consolidated Plan and Analysis of Impediments to Fair
Housing Choice, Continuum of Care Homeless Assistance plans (if
homeless persons are to be served), and comprehensive HIV/AIDS housing
plans are applicable and identify the level of the problem and the
urgency of the need. Urgent and unmet needs may be demonstrated, as
follows:
(a) If you apply for a proposed Special Project of National
Significance, you must describe a need that is not currently addressed
by other projects or programs in the area; also describe any unresolved
or emerging issues, and the need to provide new or alternative forms of
assistance that, if provided, would enhance your area's programs for
housing and related care for persons living with HIV/AIDS and their
families; or
(b) If you apply for a project that is part of a Long-Term
Comprehensive Strategy in an area that does not receive a HOPWA formula
allocation, you must describe the need that is not currently addressed
by other projects or programs in the area; you must also describe any
unresolved or emerging issues, and/or the need to provide forms of
assistance that enhance the community's strategy for providing housing
and related services to eligible persons.
HUD will consider your presentation of statistics and data sources
based on soundness and reliability and the specificity of information
to the target population and the area to be served. If you propose to
serve a subpopulation of eligible persons on the basis that these
persons have been traditionally and are currently underserved (e.g.,
persons with multiple disabilities including AIDS), your application
must document the need for this targeted effort.
(3) (5 Points) Need in Non-Formula Areas and Need for Renewals.
Within the points available under this criterion, HUD will award points
under the following two circumstances:
(a) Five points will be awarded, if your SPNS application proposes
to serve clients in an area that does not qualify for HOPWA formula
allocation; or
(b) Up to five points will be awarded, if you propose to continue
the operations of HOPWA funded activities that have been supported by
HOPWA competitive funds in prior years and that have operated with
reasonable success. To receive the highest ratings in this factor, you
must describe what unmet need would result if funding for the project
was not renewed and describe your efforts to secure other sources of
funding to continue this project. You must also show that you operated
with reasonable success and your previous HOPWA-funded activities have
been carried out and are nearing completion of the planned activities
in a timely manner. You must also show that timely performance reports
were provided and that benchmarks, if any, in program development and
operation have been met, and that the number of persons assisted is
comparable to the number that was planned at the time of application.
(4) (5 Points) Highest Rated in a State or the Nation (for
nationwide activities). After the other rating factors have been
determined, HUD will award five of the points to help achieve greater
geographic diversity in funding activities within a variety of States.
Under this criterion, five points will be awarded to the highest rated
SPNS and Long-term applications in each State and to the highest rated
SPNS application among the applications that propose nationwide
activities.
Rating Factor 3: Soundness of Approach: Responsiveness and Model
Qualities (40 Points)
This factor addresses the quality of your plan in addressing the
needs that you identified in your community. HUD will award up to 40
points based on the extent to which your plan evidences a sound
approach in its responsiveness to the persons that you will be
assisting and how it offers model qualities in providing supportive
housing opportunities for low-income persons living with HIV/AIDS and
their families, when compared to other applications and projects funded
under previous HOPWA competitions. The points will be awarded as
follows:
A. Responsiveness (20 Points). HUD will award up to 20 points based
on how well your plan responds to the unmet needs that you described
under the Need Criterion. To receive the highest ratings in this
factor, you must demonstrate how the housing needs of clients will be
addressed and how on-going support for clients will be provided. For
example, if you propose to use more than 10% of your HOPWA funds for
supportive services, emergency or transitional housing activities, to
receive the highest number of rating points, you must address permanent
housing needs with HOPWA funds or other sources of funds. You can
fulfill this commitment by allocating housing vouchers for HOPWA
clients or building permanent housing. In addition, HUD will give
higher rating points to proposals that maximize client participation in
decision-making and allow clients and their families to access health
care and other supportive services.
B. Model Qualities (20 Points). HUD will award up to 20 points
based on how well your service delivery model offers or expands housing
opportunities and related supportive services for low-income persons
living with HIV/AIDS and their families. To receive the highest rating,
your service delivery model must describe in sufficient detail
[[Page 9841]]
your planned actions, how it expands housing opportunities and how
activities could be replicated in other similar jurisdictions. To
receive the highest ratings in this element, you must offer a plan that
evidences the following:
(i) Your project's goals and objectives. You must describe your
individual goals and objectives and how you will measure how well the
project is performing under the required HOPWA performance goal--
increasing the amount of housing assistance and related supportive
services to low-income persons living with HIV/AIDS and their families
to enable them to achieve housing stability and access to health-care
and supportive services.
(ii) Your plans for accomplishing these goals and objectives. You
must describe the service delivery model that you intend to implement
and explain how you will integrate the following items:
(a) Housing. You must demonstrate how the housing needs of clients
will be addressed by including: the type and number of units of housing
to be provided and/or made more appropriate if currently available in
the community; the connection of any emergency or transitional housing
in obtaining permanent housing; the roles and responsibilities of
project sponsors, staff, volunteers and other organizations in
undertaking these activities; any appropriate site features, including
accessibility and visitability; and how clients can have access to
other community amenities.
(b) Supportive Services. You must describe how the supportive
service needs of clients will be addressed by including: the type of
supportive services that will be offered and/or how services will be
coordinated and available; the connection of these services to in
helping clients obtain and/or maintain housing; the roles and
responsibilities of project sponsors, staff, volunteers and other
organizations in undertaking these activities.
(c) Operations. You must describe your outreach, intake, and
assessment procedures to identify clients and their needs; your client-
level service plan to help connect clients to available and identified
community resources; your assistance to clients who need to be
monitored and how you will adjust your program to meet their changing
needs; your methods for coordinating project sponsor's services, your
staff and volunteers, and any other organizations in order to benefit
clients; and the ability of your operations to remain viable and
sustaining.
(d) Management Oversight. You must describe your oversight of
project sponsors, staff, volunteers and management of your activities
to ensure sound fiscal and program operations and effective program
delivery.
(iii) Achieving Your Goals and Objectives. You should describe your
method for collecting data on the project outcomes; your method for
reviewing this data and other information on the program's operations;
and the basis for making relative adjustments based on outcomes and
lessons learned. HUD also will consider the extent to which you provide
for the dissemination of information on the success or lessons learned
from your proposed activities.
(iv) Innovative Qualities. If you propose a new program, or an
alternative method of meeting the needs of your clients, you should
describe the innovative qualities of your activities. HUD will consider
the extent to which these qualities will benefit persons or expand our
knowledge in offering assistance to persons living with HIV/AIDS and
their families, when compared to other applications and HOPWA projects
funded in the past.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure community resources
which can be combined with HUD's program resources to achieve program
purposes. HUD will award up to 10 points based on the extent to which
resources from other public or private sources have been committed at
the time of application, to support your project. To achieve the
highest ratings in this criteria, you must evidence commitments of
leveraged resources that match or exceed the amount of HOPWA funds that
are requested. Exhibit 4 of the application kit provides guidance on
the appropriate language that you must use to document these leveraged
resources.
In establishing leveraging, HUD will not consider other HOPWA-
funded activities, entitlement benefits inuring to eligible persons, or
conditioned commitments that depend on future fund-raising or actions.
In assessing the use of acceptable leveraged resources, HUD will
consider the likelihood that State and local resources will be
available and continue during the operating period of the grant. In
evaluating this factor HUD will also consider:
(1) The extent to which the applicant documents leveraged
resources, such as funding and/or in-kind services from governmental
entities, private organizations, resident management organizations,
educational institutions, or other entities in order to achieve the
purposes of the project for which the applicant is requesting HOPWA
funds.
(2) The extent to which the documented resources evidence that you
have partnered with other entities to make more effective use of
available public or private resources. Partnership arrangements may
include funding or in-kind services from local governments or
government agencies, nonprofit or for-profit entities, private
organizations, educational institutions, or other entities that are
willing to partner with you on proposed activities, or partnering with
other program funding recipients to make more effective use of
resources within the geographic area covered by your award.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you coordinated the
specific proposal with other known organizations, consulted prospective
clients or persons with HIV/AIDS in designing the proposal,
participates or promotes participation in the jurisdiction's
Consolidated Planning process, and in a community's Continuum of Care
Homeless Assistance planning process (if homeless persons are to be
served by proposed activities), and is working towards addressing a
need in a holistic and comprehensive manner through linkages with other
activities in the community. HUD will award up to 10 points based on
your proposal's comprehensiveness and coordination. In order to ensure
that resources are used to their maximum effect within the community,
it is important that you be involved in HUD's planning processes for
community development and homeless assistance resources. If you, your
sponsors, or others partnering with you have been involved in these
processes, you should describe that involvement under this factor.
HUD will consider the extent to which your activities were planned
and are proposed to be carried out with HOPWA funds and other resources
in order to provide a comprehensive and responsive range of housing and
related supportive services to meet the changing needs of persons with
HIV/AIDS. Your proposal should demonstrate that housing is provided in
conjunction with the client's access to health-care and other
supportive services in the area to be served, including assistance
provided under the Ryan White CARE Act programs.
[[Page 9842]]
In evaluating this factor, HUD will consider the extent to which
you demonstrate you have:
(1) Coordinated your proposed activities with those of other groups
or organizations prior to submission, to best complement, support, and
coordinate all known activities; and if funded, the specific steps you
will take to share information on solutions and outcomes with others.
You should describe any written agreements, memoranda of understanding
in place, or that will be in place after award.
(2) Been actively involved in your community's Continuum of Care
Homeless Assistance planning process (if homeless persons are to be
served by proposed activities), and/or the jurisdiction's Consolidated
Planning process established to identify and address a need/problem
that is related to the activities you propose to undertake.
In the case of technical assistance providers, you will be
evaluated on the specific steps you will take to work with recipients
of technical assistance services to inform them of, and get them
involved in, the community's Continuum of Care Homeless Assistance
planning process and/or the jurisdiction's Consolidated Planning
process, as applicable. HUD will review more favorably your application
if you can demonstrate you are active or are working with recipients of
technical assistance to get them involved in local and State planning
processes.
(3) Developed linkages, or specific steps you will take to develop
linkages with other activities, programs or projects through meetings,
information networks, planning processes, or other mechanisms, to
coordinate your activities so solutions are holistic and comprehensive,
including linkages with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other activities funded by the Federal, State, or local
government, including those proposed or on-going in the community.
(E) Selection of HOPWA Awards. Whether your HOPWA application is
conditionally selected will depend on your overall ranking compared to
other applications within each of the two categories of assistance. HUD
will select applications in rank order in each category of assistance
to the extent that funds are available, except as noted below. In
allocating amounts to the categories of assistance, HUD reserves the
right to ensure that sufficient funds are available for the selection
of at least one application with the highest ranking under each
category of assistance.
HUD reserves the right to achieve greater diversity in the
selection of applications by selecting a lower rated application where
no applicant in a State has been the recipient of any prior HOPWA
competitive grant or formula allocation. In selecting a lower rated
application, HUD will not select an application that is rated below 50
points.
In the event of a tie between applications in a category of
assistance, HUD reserves the right to break the tie: by selecting the
proposal that increases geographic diversity as defined in the prior
paragraph; and, if greater geographic diversity is not achievable, by
selecting the proposal that was scored higher on a rating criterion in
the following order: Soundness of Approach: Responsiveness and Model
Qualities (Rating Factor 3); Comprehensiveness and Coordination (Rating
Factor 5); the Capacity of the Applicant and Relevant Organizational
Experience (Rating Factor 1); the Need/Extent of the Problem (Rating
Factor 2); and Leveraging Resources (Rating Factor 4).
HUD will notify you in writing if you are conditionally selected.
You may be notified subsequently of any modification made by HUD, the
additional project information necessary for grant award, and the date
of deadline for submission of the required information. In the event
that a conditionally-selected applicant is unable to meet any
conditions for fund award within the specified timeframe or funds are
deobligated under a grant awarded under this competition, HUD reserves
the right not to award funds to the applicant, but use those funds to
make awards to the next highest rated applications in this competition;
to restore amounts to a funding request that had been reduced in this
competition; or to add amounts to funds available for the next
competition.
VI. Application Submission Requirements
The HOPWA application kit provides an application that must be used
in applying for program funds under this program section of the
SuperNOFA. The HOPWA application provides certifications and an SF-424
that are applicable to this program. HOPWA applicants are not required
to provide the forms, certifications, and assurances listed in Section
II(G) of the General Section of the SuperNOFA. Section II(D) of the
General Section of this SuperNOFA regarding Affirmatively Furthering
Fair Housing does not apply to the HOPWA program.
The required HOPWA certifications cover the following items: (1)
fair housing and non-discrimination; (2) drug-free workplace; (3)
uniform relocation assistance; (4) environmental laws and authorities;
(5) anti-lobbying requirements; (6) continued use periods for
structures assisted; and (7) debarred, suspended and ineligible
principals requirements.
Your HOPWA application must contain the following items:
(A) Project Sponsors. You must identify any organization that will
receive HOPWA funds as a project sponsor and the amount of funds to be
received.
(B) Narrative Statements. Your application must include narrative
statements that address each of the Factors for Award found at Section
III(D) of this program section of the SuperNOFA.
(C) Service Areas. Your application must identify the area(s) in
which you are proposing to offer housing and other assistance.
(D) Budget. You must propose a budget and use the form found in the
HOPWA Application Kit which lists the amount of HOPWA funds designated
for each type of HOPWA-eligible activity.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Other Requirements
(A) Environmental Requirements
Sec. 207(c) of the Departments of Veterans Affairs and Housing and
Urban Development, and Independent Agencies Appropriations Act, 1999
(Pub. L. 105-276, 112 Stat. 2461, approved October 22, 1998),
authorizes responsible entities (including units of general local
government, States, Indian tribes, and Alaska native villages) to
perform the environmental review for proposed HOPWA projects in
accordance with 24 CFR part 58. Under 24 CFR part 58, the recipient
must request the responsible entity, as defined in 24 CFR 58.2(a)(7),
to assume the environmental responsibilities for projects being funded
by a HOPWA grant.
HOPWA recipients may not commit or expend any grant or nonfederal
funds on project activities (other than activities exempted under
Sec. 58.34 or excluded under Sec. 58.35(b)) until HUD has approved the
Recipient's request for the release of funds (RROF) under part
[[Page 9843]]
58. Where HUD determines, under 24 CFR 58.11, that it will perform an
environmental review for a particular project in accordance with 24 CFR
part 50, the HOPWA recipient may not acquire, rehabilitate, convert,
lease, repair or construct property or commit or expend any grant or
nonfederal funds for these program activities until HUD provides
written notice to the recipient that HUD has completed the
environmental review. The expenditure or commitment of HOPWA or
nonfederal funds prior to the HUD approval of the RROF (or prior to
completion of a HUD environmental review) may result in denial of
assistance for the project under consideration.
(B) Local Resident Employment
For grants in excess of $200,000, to the extent that any housing
assistance funded through this program section of the SuperNOFA is used
for housing rehabilitation (including reduction and abatement of lead-
based paint hazards, but excluding routine maintenance, repair, and
replacement) or housing construction, then it is subject to section 3
of the Housing and Urban Rehabilitation Act of 1968, and the
implementing regulations at 24 CFR part 135. Section 3 requires that
economic opportunities generated by certain HUD financial assistance
for housing and community development programs shall, to the greatest
extent feasible, be given to low- and very low-income persons,
particularly those who are recipients of government assistance for
housing, and to businesses that provide economic opportunities for
these persons.
IX. Authority
This program is authorized under the AIDS Housing Opportunity Act
(42 U.S.C. 12901). The regulations for HOPWA are found at 24 CFR part
574.
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[[Page 9847]]
Funding Availability for Section 202 Supportive Housing for the
Elderly Program
Program Overview
Purpose of the Program. This program provides supportive housing
for very low-income persons 62 years of age or older.
Available Funds. Approximately $434,870,779.
Eligible Applicants. Private nonprofit organizations and nonprofit
consumer cooperatives.
Application Deadline. May 27, 1999.
Match Requirements. No.
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 on or
before 6:00 pm, local time on May 27, 1999 at the address shown below.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Submit your completed
application (an original and four copies) to the Director of the
appropriate Multifamily Hub Office or Multifamily Program Center as
listed in Appendix A to the Section 811 program section of this
SuperNOFA.
The application kit also includes a listing of the Multifamily Hubs
and Program Centers, their addresses, and telephone numbers, including
TTY numbers. This information is also available from HUD's SuperNOFA
Information Center at 1-800-HUD-8929 and from the Internet through the
HUD web site at http://www.hud.gov.
For Application Kits. For an application kit and any supplemental
information, please call HUD's 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 the Section 202 Program and provide your name,
address (including zip code), and telephone number (including area
code). The application kit also will be available on the Internet
through the HUD web site at http://www.hud.gov and from the appropriate
Multifamily Hub or Multifamily Program Center.
For Further Information and Technical Assistance. For further
information and technical assistance, please contact the appropriate
Multifamily Hub Office or Multifamily Program Center, or Aretha
Williams at HUD Headquarters at (202) 708-2866, or access the Internet
at http://www.hud.gov. HUD encourages minority organizations to
participate in this program and strongly recommends that prospective
applicants attend the local HUD Office workshop. At the workshops, HUD
will explain application procedures and requirements as well as address
concerns such as local market conditions, building codes and
accessibility requirements, historic preservation, floodplain
management, displacement and relocation, zoning, and housing costs. If
you are interested in attending the workshop, make sure that your name
is on the appropriate HUD Office's mailing list so that you will be
informed of the date, time and place of the workshop. Persons with
disabilities should call the appropriate HUD Office to ensure that any
necessary arrangements can be made to enable your attendance and
participation in the workshop.
If you cannot attend the workshop, call the appropriate HUD Office
if you have any questions concerning the submission of applications to
that particular office and to request any materials distributed at the
workshop.
II. Amount Allocated
Approximately, $434,870,779 is available for the supportive housing
for the elderly program. The FY 1999 HUD Appropriations Act
(Appropriations Act) provides $660,000,000 for capital advances,
including amendments to capital advance contracts, for supportive
housing for the elderly as authorized by section 202 of the Housing Act
of 1959 (as amended by the National Affordable Housing Act and the
Housing and Community Development Act of 1992), and for project rental
assistance, and amendments to contracts for project rental assistance,
for supportive housing for the elderly under section 202(c)(2) of the
Housing Act of 1959, as amended.
In accordance with the waiver authority provided in the
Appropriations Act, the Secretary is waiving the following statutory
and regulatory provision: the term of the project rental assistance
contract is reduced from 20 years to 5 years. HUD anticipates that at
the end of the contract terms, renewals will be approved subject to the
availability of funds. In addition to this provision, HUD will reserve
project rental assistance contract funds based on 75 percent rather
than on 100 percent of the current operating cost standards for
approved units in order to take into account the average tenant
contribution toward rent.
The allocation formula used for Section 202 reflects the ``relevant
characteristics of prospective program participants,'' as specified in
24 CFR 791.402(a). The FY 1999 formula consists of one data element: a
measure of the number of one and two person renter households with
incomes at or below HUD's Very-low Income Limit (50 percent of area
median family income, as determined by HUD, with an adjustment for
household size), which have housing deficiencies. The counts of elderly
renter households with housing deficiencies were taken from a special
tabulation of the 1990 Decennial Census. The formula focuses the
allocation on targeting the funds based on the unmet needs of elderly
renter households with housing problems.
Under Section 202, 85 percent of the total capital advance amount
is allocated to metropolitan areas and 15 percent to nonmetropolitan
areas. In addition, each HUD Office jurisdiction receives sufficient
capital advance funds for a minimum of 20 units in metropolitan areas
and 5 units in nonmetropolitan areas. The total amount of capital
advance funds to support these minimum set-asides are subtracted from
the respective (metropolitan or nonmetropolitan) total capital advance
amounts available. The remainder is fair shared to each HUD Office
jurisdiction whose fair share exceeds the minimum set-aside based on
the allocation formula fair share factors described below. NOTE: The
allocations for metropolitan and nonmetropolitan portions of the
Multifamily Hub or Program Center jurisdictions reflect the most
current definitions of metropolitan and nonmetropolitan areas, as
defined by the Office of Management and Budget.
A fair share factor is developed for each metropolitan and
nonmetropolitan portion of each local HUD Office jurisdiction by
dividing the number of renter households for the jurisdiction by the
total number of rental households in the United States. The resulting
percentage for each local HUD Office jurisdiction is then adjusted to
reflect the relative cost of providing housing among the HUD Office
jurisdictions. The adjusted needs percentage for the applicable
metropolitan or nonmetropolitan portion of each jurisdiction is then
multiplied by the
[[Page 9848]]
respective total remaining capital advance funds available nationwide.
Based on the allocation formula, HUD has allocated the available
capital advance funds as shown on the following chart:
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[[Page 9853]]
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description
HUD provides capital advances and contracts for project rental
assistance in accordance with 24 CFR part 891. Capital Advances may be
used for the construction or rehabilitation of a structure, or
acquisition of a structure from the Federal Deposit Insurance
Corporation (formerly held by the Resolution Trust Corporation) (FDIC/
RTC). Capital Advance funds bear no interest and are based on
development cost limits published in this SuperNOFA. Repayment of the
capital advance is not required as long as the housing remains
available for occupancy by very low-income elderly persons for at least
40 years.
Project rental assistance contract (PRAC) funds are used to cover
the difference between what the residents pay for rent and the HUD-
approved expense to operate the project. Project Rental Assistance
Contract funds may also be used to provide supportive services and to
hire a service coordinator in those projects serving the frail elderly
residents. The supportive services must be appropriate to the category
or categories of frail elderly residents to be served.
(B) Eligible Applicants
Private nonprofit organizations and nonprofit consumer cooperatives
are the only eligible applicants under this Section 202 Program.
Neither a public body nor an instrumentality of a public body is
eligible to participate in the program.
A Sponsor or Co-sponsor may not apply for more than 200 units of
housing for the elderly in a single Hub or more than 10 percent of the
total units allocated to all HUD Offices. Also, no single application
may propose more than the number of units allocated to a HUD office or
125 units, whichever is less. Reservations for projects will not be
approved for fewer than 5 units. Affiliated entities that submit
separate applications are considered to be a single entity for the
purpose of these limits.
(C) Eligible Activities
Section 202 capital advance funds must be used to finance the
development of housing through new construction, rehabilitation, or
acquisition of housing from the FDIC/Resolution Trust Corporation.
Project Rental Assistance funds are provided to cover the difference
between the HUD-approved operating costs and the amount the residents
pay (each resident pays 30 percent of adjusted income) as well as to
provide supportive services to frail elderly residents. In projects
principally serving the frail elderly, eligible costs include the
salary of a service coordinator.
(D) Ineligible Activities
Section 202 funds may not be used for nursing homes, infirmaries,
medical facilities, mobile home projects, community centers,
headquarters for organizations for the elderly, nonhousekeeping
accommodations, or refinancing of sponsor-owned facilities without
rehabilitation.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, as an applicant, you must comply with the
following requirements:
(A) Statutory and Regulatory Requirements. You must comply with all
Section 202 Program statutory and regulatory requirements, as listed in
Sections III(A) and IX of this program section of the SuperNOFA.
(B) HUD/RHS Agreement. HUD and the Rural Housing Service (RHS) have
an agreement to coordinate the administration of the agencies'
respective rental assistance programs. As a result, HUD is required to
notify RHS of applications for housing assistance it receives. This
notification gives RHS the opportunity to comment if it has concerns
about the demand for additional assisted housing and possible harm to
existing projects in the same housing market area. HUD will consider
RHS' comments in its review and application selection process.
(C) Development Cost Limits. (1) The following development cost
limits, adjusted by locality as described in Section IV(C)(2) of this
program section of the SuperNOFA, below, will be used to determine the
capital advance amount to be reserved for projects for the elderly:
(a) The total development cost of the property or project
attributable to dwelling use (less the incremental development cost and
the capitalized operating costs associated with any excess amenities
and design features you must pay for) may not exceed:
Nonelevator Structures
$33,638 per family unit without a bedroom;
$38,785 per family unit with one bedroom;
$46,775 per family unit with two bedrooms;
For Elevator Structures
$35,400 per family unit without a bedroom;
$40,579 per family unit with one bedroom;
$49,344 per family unit with two bedrooms.
(b) These cost limits reflect those costs reasonable and necessary
to develop a project of modest design that complies with HUD minimum
property standards; the accessibility requirements of Sec. 891.120(b);
and the project design and cost standards of Sec. 891.120 and
Sec. 891.210.
(2) Increased development cost limits.
(a) HUD may increase the development cost limits set forth in
Section IV(C)(1) of this program section of the SuperNOFA, above, by up
to 140 percent in any geographic area where the cost levels require,
and may increase the development cost limits by up to 160 percent on a
project-by-project basis. This increase may include covering additional
costs to make dwelling units accessible through rehabilitation.
(b) If HUD finds that high construction costs in Alaska, Guam, the
Virgin Islands, or Hawaii make it infeasible to construct dwellings,
without the sacrifice of sound standards of construction, design, and
livability, within the development cost limits provided in Section
IV(C)(1) of this program section of the SuperNOFA, above, the amount of
the capital advances may be increased to compensate for such costs. The
increase may not exceed the limits established under this section
(including any high cost area adjustment) by more than 50 percent.
(D) Minimum Capital Investment. Selected nonprofit organizations
must provide a minimum capital investment of one-half of one percent of
the HUD-approved capital advance amount, not to exceed $10,000. If you,
as Sponsor or Co-Sponsor, have one or more Section 202 or one or more
Section 811 project(s) under reservation, construction, or management
in two or more different HUD geographical regions, the minimum capital
investment shall be one half of one percent of the HUD-approved capital
advance amount, not to exceed $25,000.
(E) Economic Opportunities for Low and Very Low-Income Persons
(Section 3). You must comply with section 3 of the Housing and Urban
Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for
Low and Very Low Income Persons), and its implementing regulations at
24 CFR part 135. You must ensure that training, employment
[[Page 9854]]
and other economic opportunities shall, to the greatest extent
feasible, be directed toward low- and very low-income persons,
particularly those who are recipients of government assistance for
housing and to business concerns which provide economic opportunities
to low and very low income persons.
V. Application Selection Process
(A) Review for Curable Deficiencies
HUD will screen all applications received by the deadline for
curable deficiencies. A curable deficiency is a missing Exhibit or
portion of an Exhibit that will not affect the rating of the
application. The following is a list of the deficiencies that will be
considered curable in a Section 202 application:
Exhibits
(1)
*Form 92015-CA (Application Form)
(2)
*(a) Articles of Incorporation
*(b) By-laws
*(c) IRS tax exemption ruling
(4)
(c)(ii) Energy efficiency
*(d)(i) Evidence of site control
(d)(vi) SHPO letter
(5)
Applications submitted to other Offices
(6)
Relocation
(7)
*(a) Standard Form 424
(b) Drug-free Workplace
(c) Form-HUD 50071 and Standard Form-LLL
(d) Form-HUD 2880
(e) Form-HUD 2992
(f) Executive Order 12372
(g) Form-HUD 2991, Certification of Consistency with Consolidated
Plan
(h) Conflict of Interest Resolution
*(i) Resolution for Commitment to Project
(k) Combined Certifications
The HUD Office will notify you in writing if your application is
missing any of the exhibits or portions of exhibits and you will be
given 14 days from the date of the HUD notification to submit the
information required to cure the noted deficiencies. The items
identified by an asterisk (*) must be dated on or before the
application deadline date.
(B) Rating
HUD will review and rate your application in accordance with the
Application Selection Process in the General Section of this SuperNOFA
with the following exception. HUD will not reject your application
based on technical review without notifying you of that rejection with
all the reasons for rejection, and providing you an opportunity to
appeal. You will have 14 calendar days from the date of HUD's written
notice to appeal a technical rejection to the HUD office. The HUD
office will make a determination on an appeal before making its
selection recommendations. All applications will be either rated or
technically rejected at the end of technical review. If your
application meets all program eligibility requirements after completion
of technical review, it will be rated according to the rating factors
in Section V(D) of this Section 202 Program section of the SuperNOFA.
(C) Ranking and Selection Procedures
Applications submitted in response to the advertised metropolitan
allocations or nonmetropolitan allocations that have a total base score
(without the addition of EC/EZ bonus points) of 60 points or more and
meet all of the applicable threshold requirements of Section II(B) of
the General Section of the SuperNOFA will be eligible for selection,
and HUD will place them in rank order per metropolitan or
nonmetropolitan allocation. These applications, after adding any bonus
points for EC/EZ, will be selected based on rank order, up to and
including the last application that can be funded out of each HUD
office's metropolitan or nonmetropolitan allocation. HUD offices must
not skip over any applications in order to select one based on the
funds remaining. After making the initial selections in each allocation
area, however, HUD may use any residual funds to select the next rank-
ordered application by reducing the number of units by no more than 10
percent, rounded to the nearest whole number, provided the reduction
will not render the project infeasible. For this purpose, however, HUD
will not reduce the number of units in projects of five units or less.
Once this process has been completed, HUD offices may combine their
unused metropolitan and nonmetropolitan funds in order to select the
next ranked application in either category, using the unit reduction
policy described above, if necessary.
After the offices have funded all possible projects based on the
process above, combined metropolitan and nonmetropolitan residual funds
from all HUD Offices in each Multifamily Hub will be combined. These
funds will be used first to restore units to projects reduced by HUD
offices based on the above instructions. Second, additional
applications within each Multifamily Hub will be selected in rank order
with only one application selected per HUD Office. More than one
application may be selected per HUD Office if there are no approvable
applications in other HUD Offices within the Multifamily Hub. This
process will continue until there are no more approvable applications
within the Multifamily Hub that can be selected with the remaining
funds without skipping over any application. HUD may use any remaining
residual funds, however, to select the next rank-ordered application by
reducing the number of units by no more than 10 percent rounded to the
nearest whole number, provided the reduction will not render the
project infeasible or result in the project being less than five units.
Funds remaining after these processes are completed will be
returned to Headquarters. HUD will use these residual funds first to
fund American Indian Council, in the jurisdiction of the Milwaukee
Multifamily Program Center, a FY 1994 application which was not funded
due to litigation. Second, HUD will use these funds to restore units to
projects reduced by HUD offices as a result of the instructions for
using their residual funds. Third, HUD will use these funds for
selecting applications based on field offices' rankings beginning with
the highest rated application nationwide. Only one application will be
selected per HUD office from the national residual amount (excluding
the Milwaukee Multifamily Program Center, already funded). If there are
no approvable applications in other HUD offices, the process will begin
with the selection of the next highest rated application nationwide.
This process will continue until all approvable applications are
selected using the available remaining funds.
(D) Factors For Award Used To Evaluate and Rate Applications
HUD will rate applications that successfully complete technical
processing using the Rating Factors set forth below and in accordance
with the application submission requirements identified in Section
VI(B) below. The maximum number of points an application may receive
under this program is 102. This includes two EZ/EC bonus points, as
described in the General Section of the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Staff (25 Points)
This factor addresses the extent to which you have the
organizational resources to successfully implement the proposed
activities in a timely manner.
[[Page 9855]]
Submit information responding to this factor in accordance with
Application Submission Requirements in paragraphs (B)(2), (B)(3)(a),
(B)(3)(b), and (B)(3)(e) of Section VI of this program section of the
SuperNOFA.
In rating this factor, HUD will consider the extent to which your
application demonstrates your ability to develop and operate the
proposed housing on a long-term basis, considering the following:
(1) (15 points) The scope, extent, and quality of your experience
in providing housing or related services to those proposed to be served
by the project and the scope of the proposed project (i.e., number of
units, services, relocation costs, development, and operation) in
relationship to your demonstrated development and management capacity
as well as your financial management capability; and
(2) (10 points) The scope, extent, and quality of your experience
in providing housing or related services to minority persons or
families. For purposes of this program section of the SuperNOFA,
``minority'' means the basic racial and ethnic categories for Federal
statistics and administrative reporting, as defined in OMB's
Statistical and Policy Directive No. 15. (See 62 FR 58782, October 30,
1997.);
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for
funding the proposed activities to address a documented problem in the
target area. Submit information responding to this factor in accordance
with Application Submission Requirements in paragraphs (B)(4)(a) and
(B)(4)(b) of Section VI of this program section of the SuperNOFA. In
evaluating this factor, HUD will consider:
The extent of the need for the project in the area based on a
determination by the HUD Office. In making this determination, HUD will
consider your evidence of need in the area, as well as other economic,
demographic, and housing market data available to the HUD office. The
data could include information on the number of existing Federally
assisted housing units (HUD and RHS) for the elderly in the area and
current occupancy in such facilities; Federally assisted housing for
the elderly under construction or for which fund reservations have been
issued; and in accordance with an agreement between HUD and the RHS,
comments from the RHS on the demand for additional assisted housing and
the possible harm to existing projects in the same housing market area.
The Department will also review more favorably those applications which
establish a connection between the proposed project and the community's
Analysis of Impediments to Fair Housing Choice (AI) or other planning
document that analyzes fair housing issues and is prepared by a local
planning or similar organization. You must show how the proposed
project will address an impediment to fair housing choice described in
the AI or meet a need identified in the other type of planning
document.
Rating Factor 3: Soundness of Approach (40 Points)
This factor addresses the quality and effectiveness of your
proposal. There must be a clear relationship between the proposed
activities, the community's needs and purposes of the program funding
for your application to receive points for this factor. Submit
information responding to this factor in accordance with Application
Submission Requirements in paragraphs (B)(4)(c), (B)(4)(d) and
(B)(4)(e) of Section VI of this program section of the SuperNOFA. In
evaluating this factor, HUD will consider the following:
(1) (15 points) The proximity or accessibility of the site to
shopping, medical facilities, transportation, places of worship,
recreational facilities, places of employment, and other necessary
services to the intended occupants; adequacy of utilities and streets;
freedom of the site from adverse environmental conditions; compliance
with site and neighborhood standards (24 CFR 891.125);
(2) (10 points) The suitability of the site from the standpoints of
promoting a greater choice of housing opportunities for minority
elderly persons/families, and affirmatively furthering fair housing. In
reviewing this criterion, HUD will assess whether the site meets the
site and neighborhood standards at 24 CFR 891.125(b) and (c) by
examining relevant data in your application or in the HUD Office. Where
appropriate, HUD may visit the site. The site will be deemed acceptable
if it increases housing choice and opportunity by (a) expanding housing
opportunities in non-minority neighborhoods (if located in such a
neighborhood); or (b) contributing to the revitalization of and
reinvestment in minority neighborhoods, including improvement of the
level, quality and affordability of services furnished to minority
elderly;
(3) (3 points) The extent to which the proposed design will meet
the special physical needs of elderly persons;
(4) (3 points) The extent to which the proposed size and unit mix
of the housing will enable you to manage and operate the housing
efficiently and ensure that the provision of supportive services will
be accomplished in an economical fashion;
(5) (3 points) The extent to which the proposed design of the
housing will accommodate the provision of supportive services that are
expected to be needed, initially and over the useful life of the
housing, by the category or categories of elderly persons the housing
is intended to serve;
(6) (3 points) The extent to which the proposed supportive services
meet the identified needs of the anticipated residents; and
(7) (3 points) The extent to which you demonstrate that the
identified supportive services will be provided on a consistent, long-
term basis.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure other community
resources which can be combined with HUD's program resources to achieve
program purposes. Submit information responding to this factor in
accordance with Application Submission Requirements in paragraphs
(B)(3)(c) and (B)(3)(d) of Section VI of this program section of the
SuperNOFA.
(1) (5 points) The extent of local government support (including
financial assistance, donation of land, provision of services, etc.)
for the project; and
(2) (5 points) The extent of your activities in the community,
including previous experience in serving the area where the project is
to be located, and your demonstrated ability to enlist volunteers and
raise local funds.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you coordinated your
activities with other known organizations, participate or promote
participation in a community's Consolidated Planning process, and are
working toward addressing a need in a holistic and comprehensive manner
through linkages with other activities in the community. Submit
information responding to this factor in accordance with Application
Submission Requirements in paragraphs (B)(3)(f), (B)(3)(g), (B)(3)(h)
and (B)(3)(i) of Section VI of this program section of the SuperNOFA.
(1) (4 points) Your involvement of elderly persons, particularly
minority elderly persons, in the development of the application, and
your intent to
[[Page 9856]]
involve elderly persons, particularly minority elderly persons, in the
development and operation of the project;
(2) (2 points) The extent to which you coordinated your application
with other organizations to complement and/or support the proposed
project;
(3) (2 points) The extent to which you demonstrated that you have
been actively involved, or if not currently active, the steps you will
take to become actively involved in your community's Consolidated
Planning process to identify and address a need/problem that is related
in whole or part, directly or indirectly to the proposed project;
(4) (2 points) The extent to which you developed or plan to develop
linkages with other activities, programs or projects related to the
proposed project to coordinate your activities so solutions are
holistic and comprehensive; and
Bonus Points
(2 bonus points) Location of proposed site in an EZ/EC area, as
described in the General Section of this SuperNOFA. Submit the
information responding to the bonus points in accordance with the
Application Submission Requirements in paragraph (B)(7)(j) of Section
VI of this program section of the SuperNOFA.
VI. Application Submission Requirements
(A) Application
Your application must include all of the information, materials,
forms, and exhibits listed in Section VI(B) (unless you were selected
for a Section 202 fund reservation within the last three funding
cycles). If you qualify for this exception, you are not required to
submit the information described in Sections VI(B)(2) (a), (b), and (c)
of this program section of the SuperNOFA (Exhibits 2.a., b., and c. of
the application kit), which are the articles of incorporation, (or
other organizational documents), by-laws, and the IRS tax exemption,
respectively. If there has been a change in any of the eligibility
documents since your previous HUD approval, you must submit the updated
information in your application. HUD offices will verify your
indication of previous HUD approval by checking the project number and
approval status with the appropriate HUD Office.
In addition to this relief of paperwork burden in preparing
applications, you will be able to submit information and exhibits you
have previously prepared for prior applications under Section 202,
Section 811, or other funding programs. Examples of exhibits that may
be readily adapted or amended to decrease the burden of application
preparation include, among others, those on previous participation in
the Section 202 or Section 811 Programs, your experience in provision
of housing and services, supportive services plan, community ties, and
experience serving minorities.
(B) General Application Requirements
(1) Form HUD-92015-CA, Application for Section 202 Supportive
Housing Capital Advance.
(2) Evidence of your and each Co-Sponsor's legal status as a
private nonprofit organization or nonprofit consumer cooperative,
including the following:
(a) Articles of Incorporation, constitution, or other
organizational documents;
(b) By-laws;
(c) IRS tax exemption ruling (this must be submitted by you and
each Co-Sponsor, including churches). A consumer cooperative that is
tax exempt under State law, has never been liable for payment of
Federal income taxes, and does not pay patronage dividends may be
exempt from the requirement set out in the previous sentence if it is
not eligible for tax exemption.
Note: If you received a Section 202 Fund Reservation within the
last Three Funding Cycles, you are not required to submit the
documents described in paragraphs (a), (b), and (c), above. Instead,
you must submit the project number of the latest application
selected and the HUD office to which it was submitted. If there have
been any modifications or additions to the subject documents,
indicate such, and submit the new material.
(3) A description of your purpose, community ties, and experience,
including the following:
(a) A description of your purpose, current activities and how long
you have been in existence;
(b) A description of your ties to the community at large and to the
minority and elderly communities in particular;
(c) A description of local government support for the project
(including financial assistance, donation of land, provision of
services, etc.);
(d) Letters of support for your organization and for the proposed
project from organizations familiar with the housing and supportive
services needs of the elderly that you expect to serve in the proposed
project;
(e) A description of your housing and/or supportive services
experience. The description should include any rental housing projects
and/or supportive services facilities that you have sponsored, owned,
and/or operated; your past or current involvement in any programs other
than housing that demonstrates your management capabilities (including
financial management) and experience; your experience in serving the
elderly, including elderly persons with disabilities, and/or families
and minorities; and the reasons for receiving any increases in fund
reservations for developing and/or operating previously funded Section
202 or Section 811 projects. The description should include data on the
facilities and services provided, the racial/ethnic composition of the
populations served, if available, and information and testimonials from
residents or community leaders on the quality of the activities.
Examples of activities that could be described include housing
counseling, nutrition and food services, special housing referral,
screening and information projects.
(f) A description, if applicable, of your efforts to involve
elderly persons, including minority elderly persons, in the development
of the application, as well as your intent to involve elderly persons
in the development and operation of the project.
(g) A description of the steps you took to identify and coordinate
your application with other organizations to complement and/or support
the proposed project as well as the steps you will take, if funded, to
share information on solutions and outcomes relative to the development
of the proposed project.
(h) A description of your involvement in your community's
Consolidated Planning process including:
(i) An identification of the lead/facilitating agency that
organizes/administers the process;
(ii) An identification of the Consolidated Plan issue areas in
which you participate;
(iii) Your level of participation in the process, including active
involvement with any neighborhood-based organizations, associations, or
any committees that support programs and activities that enhance
projects or the lives of residents of the projects, such as the one
proposed in your application.
If you are not currently active, describe the specific steps you
will take to become active in the Consolidated Planning process.
(Consult the local HUD Office for the identification of the
Consolidated Plan community process for the appropriate area.)
(i) A description of the linkages that you have developed or plan
to develop with other related activities, programs or projects in order
that the development of the project provides a
[[Page 9857]]
comprehensive and holistic solution to the needs of the target
population.
(4) Project information, including the following:
(a) Evidence of need for supportive housing. Such evidence would
include a description of the category or categories of elderly persons
the housing is intended to serve and evidence demonstrating sustained
effective demand for supportive housing for that population in the
market area to be served, taking into consideration the occupancy and
vacancy conditions in existing Federally assisted housing for the
elderly (HUD and RHS; e.g., public housing); State or local data on the
limitations in activities of daily living among the elderly in the
area; aging in place in existing assisted rentals; trends in
demographic changes in elderly population and households; the numbers
of income eligible elderly households by size, tenure, and housing
condition; the types of supportive services arrangements currently
available in the area; and the use of such services as evidenced by
data from local social service agencies or agencies on aging. Also, a
description of how information in the community's Analysis of
Impediments to Fair Housing Choice was used in documenting the need for
the project.
(b) A description of how the proposed project will benefit the
target population and the community in which it will be located.
(c) A description of the project, including the following:
(i) A narrative description of the building design, including a
description of the number of units with bedroom distributions, any
special design features, amenities, and/or community space, and how
this design will facilitate the delivery of services in an economical
fashion and accommodate the changing needs of the residents over the
next 10-20 years. NOTE: If these community spaces, amenities, or
features would not comply with the project design and cost standards of
24 CFR 891.120 and the special project standards of 24 CFR 891.210, you
must state your ability and willingness to contribute both the
incremental development cost and continuing operating cost associated
with the community spaces, amenities, or features;
(ii) A description of whether and how the project will promote
energy efficiency, and, if applicable, innovative construction or
rehabilitation methods or technologies to be used that will promote
efficient construction.
(d) Evidence of site control and permissive zoning, including the
following:
(i) Acceptable evidence of site control is limited to any one of
the following:
(1) Deed or long-term leasehold which evidences that you have title
to or a leasehold interest in the site. If a leasehold, the term of the
lease must be at least 50 years;
(2) Contract of sale for the site which is free of any limitations
affecting ability to deliver ownership to you after you receive and
accept a notice of Section 202 capital advance. The only condition for
closing on the sale can be your receipt and acceptance of the capital
advance;
(3) Option to purchase or for a long-term leasehold which must
remain in effect for one year from the date on which the applications
are due. The option agreement may consist of a single one year term or
may include one or more rights to renew up to one year solely at your
discretion. The only condition on which the option may be terminated is
if you are not awarded a fund reservation.
(4) If the site is covered by a mortgage under a HUD program, you
must submit evidence that consent to release of the site from the
mortgage has been obtained or is being requested.
(5) For sites to be acquired from a public body, evidence is needed
that the public body possesses clear title to the site and has entered
into a legally binding agreement to lease or convey the site to you
after you receive and accept a notice of Section 202 capital advance.
Where HUD determines that time constraints of the funding round will
not permit all of the required official actions (e.g., approval of
Community Planning Boards) that are necessary to convey publicly-owned
sites, a letter in the application from the mayor or director of the
appropriate local agency indicating that conveyance or leasing of the
site is acceptable and only contingent on the necessary approval
action. In its review of such cases, HUD will consider whether it has
had satisfactory experience with timely conveyance of sites from that
public body.
Whether you have title to the site, a contract of sale, an option
to purchase, or are acquiring the site from a public body, you must
provide evidence (a title policy or other acceptable evidence) that the
site is free of any limitations, restrictions, or reverters which could
adversely affect the use of the site for the proposed project for the
40-year capital advance period under HUD's regulations and requirements
(e.g., reversion to seller if title is transferred). Mortgages are not
considered to be limitations or restrictions that would adversely
affect the use of the site. If the site is subject to any such
limitations, restrictions, or reverters the application will be
rejected.
Note: A proposed project site may not be acquired or optioned
from a general contractor (or its affiliate) that will construct the
Section 202 Project or from any other development team member.
(ii) Evidence that the project as proposed is permissible under
applicable zoning ordinances or regulations, or a statement of the
proposed action required to make the proposed project permissible and
the basis for your belief that the proposed action will be completed
successfully before the submission of the firm commitment application
(e.g., a summary of the results of any requests for rezoning and/or the
procedures for obtaining special or conditional use permits on land in
similar zoning classifications and the time required for such rezoning,
or preliminary indications of acceptability from zoning bodies, etc.);
(iii) A narrative topographical and demographic description of the
suitability of the site and area, and how the site will promote greater
housing opportunities for minority elderly and elderly persons with
disabilities, thereby affirmatively furthering fair housing; (NOTE: You
can best demonstrate your commitment to affirmatively furthering fair
housing by describing how your proposed activities will assist the
jurisdiction in overcoming impediments to fair housing choice
identified in the applicable jurisdictions's Analysis of Impediments to
Fair Housing Choice (AI), which is a component of the jurisdiction's
Consolidated Plan, or any other planning document that addresses fair
housing issues. The applicable Consolidated Plan and AI may be the
Community's, the County's, or the State's, to which input should have
been provided by local community organizations, agencies in the
community, and residents of the community. Alternatively, a document
that addresses fair housing issues and remedies to barriers to fair
housing in the community that was previously prepared by a local
planning, or similar organization, may be used. Applicable impediments
could include the need for improved housing quality and services for
elderly minority families, lack of affirmative marketing and outreach
to minority elderly persons, and the need for quality eldercare
services within areas of minority concentration when
[[Page 9858]]
compared with the type and quality of similar services and housing in
nonminority areas.
(iv) A map showing the location of the site and the racial
composition of the neighborhood, with the area of racial concentration
delineated;
(v) A Phase I Environmental Site Assessment, in accordance with the
American Society for Testing and Material (ASTM) Standards E 1527-93,
as amended. The Phase I study must be completed and submitted with the
application. Therefore, it is important that you start the site
assessment process as soon after publication of this SuperNOFA as
possible.
If the Phase I study indicates the possible presence of
contamination and/or hazards, you must decide whether to continue with
this site or choose another site. Should you choose another site, the
same environmental site assessment procedure identified above must be
followed for that site. NOTE: For properties to be acquired from the
FDIC/RTC, include a copy of the FDIC/RTC prepared Transaction Screen
Checklist or Phase I Environmental Site Assessment, and applicable
documentation, per the FDIC/RTC Environmental Guidelines.
If you choose to continue with the original site on which the Phase
I study indicated contamination or hazards, you must undertake a
detailed Phase II Environmental Site Assessment by an appropriate
professional. If the Phase II Assessment reveals site contamination,
the extent of the contamination and a plan for clean-up of the site
must be submitted to the local HUD office. The plan for clean-up must
include a contract for remediation of the problem(s) and an approval
letter from the applicable Federal, State, and/or local agency with
jurisdiction over the site. In order for the application to be
considered for review under this FY 1999 funding competition, you must
submit this information to the local HUD office on or before June 28,
1999.
Note: This could be an expensive undertaking. You must pay for
the cost of any clean-up and/or remediation.
(vi) A letter from the State Historic Preservation Officer (SHPO)
indicating whether the proposed site has any historical significance.
If you cannot obtain a letter from the SHPO due to the SHPO not
responding to your request or the SHPO responding that it cannot or
will not comply with the requirement, you must submit the following:
(1) a letter indicating that you attempted to get the required letter
from the SHPO but that the SHPO either had not responded to your
request or would not honor or recognize your request; (2) a copy of
your letter to the SHPO requesting the required letter; and, (3) a copy
of the SHPO's response, if available.
(e) Provision of supportive services and proposed facility:
(i) A detailed description of the supportive services proposed to
be provided to the anticipated occupancy;
(ii) A description of public or private sources of assistance that
reasonably could be expected to fund the proposed services;
(iii) The manner in which such services will be provided to such
persons (i.e., on or off-site), including whether a service coordinator
will facilitate the adequate provision of such services, and how the
services will meet the identified needs of the residents. NOTE: You may
not require residents, as a condition of occupancy, to accept any
supportive service.
(5) A list of the applications, if any, that you have submitted or
are planning to submit to any other HUD office in response to this
announcement of Section 202 Program funding availability or the
announcement of Section 811 Program (Supportive Housing for Persons
with Disabilities) funding availability, published elsewhere in today's
Federal Register). Indicate by HUD office, the proposed location by
city and State, and the number of units requested for each application.
Include a list of all FY 1998 and prior year projects to which you are
the Sponsor that have not been finally closed. Such projects must be
identified by project number and HUD office.
(6) A statement that:
(a) Identifies all persons (families, individuals, businesses, and
nonprofit organizations), by race/minority group, and status as owners
or tenants, occupying the property on the date of submission of the
application for a capital advance;
(b) Indicates the estimated cost of relocation payments and other
services;
(c) Identifies the staff organization that will carry out the
relocation activities; and
(d) Identifies all persons that have moved from the site within the
past 12 months.
Note: If any of the relocation costs will be funded from sources
other than the section 202 capital advance, you must provide
evidence of a firm commitment of these funds. When evaluating
applications, HUD will consider the total cost of proposals (I.E.,
cost of site acquisition, relocation, construction, and other
project costs).
(7) Certifications and Resolutions. In addition to the
certifications and assurances listed in the General Section of this
SuperNOFA with the exception of SF-424A, SF-424B, SF-424C, SF-424D and
the OMB Circulars which are not required, you are required to submit
signed copies of the following:
(a) Standard Form 424. Application for Federal Assistance and
indication of whether you are delinquent on any Federal debt. (See
instructions for submitting this form in the Consolidated Application
Submission section of the General Section of the SuperNOFA.)
(b) Drug-Free Workplace (HUD-50070). Certification to provide a
drug-free workplace.
(c) Payments to Influence Federal Transactions (HUD-50071) and
Standard Form LLL, Disclosure of Lobbying Activities. Certification of
whether any of the funds received will be used to influence any Federal
transactions and disclosure of those activities, if applicable.
(d) Applicant/Recipient Disclosure/Update Report, including Social
Security Numbers and Employee Identification Numbers, (HUD-2880). A
disclosure of assistance from other government sources received in
connection with the project.
(e) Employment, Engagement of Services, Awarding or Funding of
Contracts, Subgrants, etc. (24 CFR 24.510).
(f) Executive Order 12372 Certification. A certification that you
have submitted a copy of your application, if required, to the State
agency (single point of contact) for State review in accordance with
Executive Order 12372.
(g) Certification of Consistency with the Consolidated Plan (Plan),
Form HUD-2991, for the jurisdiction in which the proposed project will
be located. The certification must be made by the unit of general local
government if it is required to have, or has, a complete Plan.
Otherwise, the certification may be made by the State, or by the unit
of general local government if the project will be located within the
jurisdiction of the unit of general local government authorized to use
an abbreviated strategy, and if it is willing to prepare such a Plan.
All certifications must be made by the public official responsible
for submitting the Plan to HUD. The certifications must be submitted as
part of the application by the application submission deadline date set
forth in this program section of the SuperNOFA. The Plan regulations
are published in 24 CFR part 91.
(h) A certified Board Resolution that no officer or director of the
Sponsor or Owner has or will have any financial interest in any
contract with the Owner
[[Page 9859]]
or in any firm or corporation that has or will have a contract with the
Owner, including a current listing of all duly qualified and sitting
officers and directors by title, and the beginning and ending dates of
each person's term.
(i) A certified Board Resolution, acknowledging the
responsibilities of sponsorship, long-term support of the project(s),
willingness to assist the Owner to develop, own, manage, and provide
appropriate services in connection with the proposed project, and that
it reflects the will of its membership. Also, evidence, in the form of
a certified Board Resolution, of your willingness to fund the estimated
start-up expenses, the Minimum Capital Investment (one-half of 1
percent of the HUD-approved capital advance, not to exceed $10,000, if
nonaffiliated with a National Sponsor; one-half of 1 percent of the
HUD-approved capital advance, not to exceed $25,000, for all other
Sponsors;), and the estimated cost of any amenities or features (and
operating costs related thereto) that would not be covered by the
approved capital advance.
(j) Certification of Consistency with the EZ/EC Strategic Plan. A
certification that the project is consistent with the EZ/EC strategic
plan, is located within the EZ/EC, and serves EZ/EC residents.
(k) Sponsor's Combined Certifications. (i) Certification in
Connection with the Development and Operation of a Section 202 Project.
A certification of compliance with the requirements of the Fair Housing
Act, Title VI of the Civil Rights Act, the Age Discrimination Act of
1975, Section 3 of the Housing and Urban Development Act of 1968 (12
U.S.C. 1701u) and the implementing regulations at 24 CFR Part 135, the
affirmative fair housing marketing requirements of 24 CFR part 200,
subpart M and the implementing regulations at 24 CFR part 108, and
other applicable Federal, State and local laws prohibiting
discrimination and promoting equal opportunity including affirmatively
furthering fair housing.
(ii) Design and Cost Standards. Certification of Compliance with
HUD's Section 202 project design and cost standards (24 CFR 891.120 and
891.210), the Uniform Federal Accessibility Standards (24 CFR 40.7),
Section 504 of the Rehabilitation Act of 1973 and HUD's implementing
regulations at 24 CFR part 8, and for covered multifamily dwellings
designed and constructed for first occupancy after March 13, 1991, the
design and construction requirements of the Fair Housing Act and HUD's
implementing regulations at 24 CFR part 100, and the Americans with
Disabilities Act of 1990;
(iii) Acquisition and Relocation. Certification of Compliance with
the acquisition and relocation requirements of the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970, as
amended (49 CFR part 24 and 24 CFR part 891.155(e));
(iv) Formation of Owner Corporation. Certification that you will
form an ``Owner'' (24 CFR 891.205) after issuance of the capital
advance; cause the Owner to file a request for determination of
eligibility and a request for capital advance, and provide sufficient
resources to the Owner to insure the development and long-term
operation of the project, including capitalizing the Owner at firm
commitment processing in an amount sufficient to meet its obligations
in connection with the project;
(v) Supportive Services. Certification that you will not require
residents to accept any supportive services as a condition of
occupancy; and,
(vi) Davis-Bacon. Certification of compliance with the Davis-Bacon
requirements and the Contract Work Hours and Safety Standards Act.
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 part 50, all Section 202 assistance is
subject to the National Environmental Policy Act of 1969 and applicable
related Federal environmental authorities. The environmental review
provisions of the Section 202 Program regulations are in 24 CFR
891.155(b).
IX. Authority
The Section 202 Supportive Housing for the Elderly Program is
authorized by section 202 of the Housing Act of 1959 (12 U.S.C. 1701q),
as amended. See section 801 of the Cranston-Gonzalez National
Affordable Housing Act (NAHA)(Pub. L. 101-625; approved November 28,
1990); the Housing and Community Development Act of 1992 (HCD Act of
1992)(Pub.L. 102-550; approved October 28, 1992), and the Rescissions
Act (Pub.L. 104-19; enacted on July 27, 1995).
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Notices
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Notices
[[Page 9863]]
Funding Availability for the Section 811 Program of Supportive
Housing for Persons With Disabilities
Program Overview
Purpose of the Program. This program provides funding for
supportive housing for very low-income persons with disabilities who
are at least 18 years old.
Available Funds. Approximately $87,236,604.
Eligible Applicants. Nonprofit organizations that have a section
501(c)(3) tax exemption from the Internal Revenue Service.
Application Deadline. May 27, 1999.
Match Requirements. No.
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 application on or
before 6:00 pm, local time on May 27, 1999 at the address shown below.
See the Application Submission Procedures of the General Section of
this SuperNOFA for further information.
Address for Submitting Applications. Submit your completed
application(s) (an original and four copies) to the Director of the
appropriate Multifamily Hub Office or Multifamily Program Center as
listed in Appendix A to this program section of the SuperNOFA.
The application kit also includes a listing of the Multifamily Hubs
and Program Centers, their addresses and telephone numbers, including
TTY numbers. This information is also available from HUD's SuperNOFA
Information Center at 1-800-HUD-8929 and from the Internet through the
HUD web site at http://www.hud.gov.
For Application Kits. For an application kit and any supplemental
information, please call HUD's 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 the Section 811 Program and provide your name,
address (including zip code), and telephone number (including area
code). The application kit also will be available on the Internet
through the HUD web site at http://www.hud.gov and from the appropriate
Multifamily Hub Office or Multifamily Program Center.
For Further Information and Technical Assistance. For further
information and technical assistance, please contact the appropriate
Multifamily Hub Office or Multifamily Program Center, or Gail
Williamson at HUD Headquarters at (202) 708-2866, or access the
Internet at http://www.hud.gov. HUD encourages minority organizations
to participate in this program and strongly recommends prospective
applicants attend the local HUD Office workshop. At the workshops, HUD
will explain application procedures and requirements, as well as
address concerns such as local market conditions, building codes and
accessibility requirements, historic preservation, floodplain
management, displacement and relocation, zoning, and housing costs. If
you are interested in attending the workshop, make sure that your name,
address and telephone number are on the appropriate HUD Office's
mailing list so that you will be informed of the date, time and place
of the workshop. Persons with disabilities should call the appropriate
HUD Office to assure that any necessary arrangements can be made to
enable their attendance and participation in the workshop.
If you cannot attend the workshop, call the appropriate HUD Office
if you have any questions regarding the submission of applications to
that particular office and to request any materials distributed at the
workshop.
II. Amount Allocated
Approximately $87,236,604 is available for the Section 811 Program
of Supportive Housing for Persons with Disabilities. The FY 1999 HUD
Appropriations Act (Appropriations Act) provides $194,000,000 for
capital advances, including amendments to capital advance contracts;
for supportive housing for persons with disabilities, as authorized by
section 811 of the NAHA; and for project rental assistance, including
amendments to contracts for project rental assistance. Twenty-five
percent of this amount is being set aside for tenant-based rental
assistance for persons with disabilities administered through public
housing agencies (PHAs) and nonprofit organizations and will be
announced in the Federal Register at a later date.
In accordance with the waiver authority provided in the
Appropriations Act, the Secretary is waiving the following statutory
and regulatory provision: The term of the project rental assistance
contract is reduced from 20 years to 5 years. HUD anticipates that at
the end of the contract terms, renewals will be approved subject to the
availability of funds. In addition to this provision, HUD will reserve
project rental assistance contract funds based on 75 percent rather
than on 100 percent of the current operating cost standards for
approved units in order to take into account the average tenant
contribution toward rent.
The allocation formula used for Section 811 reflects the ``relevant
characteristics of prospective program participants,'' as specified in
24 CFR 791.402(a). The FY 1999 formula consists of two data elements
from the 1990 Decennial Census: (1) the number of non-institutionalized
persons age 16 or older with a work disability and a mobility or self-
care limitation and (2) the number of non-institutionalized persons age
16 or older having a mobility or self-care limitation but having no
work disability.
A work disability is defined as a health condition that had lasted
for 6 or more months which limited the kind (restricted the choice of
jobs) or amount (not able to work full time) of work a person could do
at a job or business. A mobility limitation is defined as a health
condition that lasted for 6 or more months, making it difficult for the
person to go outside the home alone. This includes outside activities,
such as shopping or visiting a doctor's office. A self-care limitation
is defined as a health care limitation that had lasted for 6 or more
months which made it difficult for the person to take care of his/her
own personal needs such as dressing, bathing, or getting around inside
the home. Temporary (short term) problems such as broken bones that are
expected to heal normally are not considered problems.
Under the Section 811 Program, each HUD Office jurisdiction
receives sufficient capital advance funds for a minimum of 10 units.
The total amount of capital advance funds to support this minimum set-
aside is then subtracted from the total capital advance available. The
remainder is fair shared to each HUD Office jurisdiction whose fair
share would exceed the set-aside based on the allocation formula fair
share factors described below.
The fair share factors were developed by taking the sum of the
number of persons in each of the two elements for each state, or state
portion, of each local HUD Office jurisdiction as a percent of the sum
of the two data elements from the Decennial Census, described above,
for the total United States. The resulting percentage for each local
HUD Office is then adjusted to reflect the relative cost of providing
housing among the local
[[Page 9864]]
HUD Office jurisdictions. The adjusted needs percentage for each local
HUD Office is then multiplied by the total amount of capital advance
funds available nationwide.
The Section 811 capital advance funds have been allocated, based on
the formula above, to 51 local HUD Offices as shown on the following
chart:
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[[Page 9865]]
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[[Page 9866]]
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[[Page 9868]]
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[[Page 9869]]
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description
HUD provides capital advances and contracts for project rental
assistance in accordance with 24 CFR part 891. Capital advances may be
used to construct, rehabilitate, or acquire structures (including
structures from the Federal Deposit Insurance Corporation (formerly
held by the Resolution Trust Corporation) (FDIC/RTC), to be developed
into a variety of housing options described in C. below. Capital
advance funds bear no interest and are based on development cost limits
published in this SuperNOFA. Repayment of the capital advance is not
required as long as the housing remains available for at least 40 years
for occupancy by very low-income persons with disabilities.
Project rental assistance contract (PRAC) funds are used to cover
the difference between the tenants' contributions toward rent (30
percent of adjusted income) and the HUD-approved cost to operate the
project.
(B) Eligible Applicants
Nonprofit organizations with a section 501(c)(3) tax exemption from
the Internal Revenue Service are the only eligible applicants for this
program. A Sponsor or Co-sponsor may not apply for more than 100 units
of housing for persons with disabilities in a single Hub. In addition,
a Sponsor or Co-sponsor may not apply for more units in a given HUD
Office than allocated for the Section 811 program in that HUD Office,
or for more than 10 percent of the total units allocated in all HUD
offices. A single application must propose at least five units, not
necessarily in one structure. Affiliated entities that submit separate
applications are considered a single entity for the purposes of these
limits.
(C) Eligible Activities
The types of housing that can be developed with Section 811 capital
advance funds include small group homes, independent living projects
and dwelling units in multifamily housing developments, condominium and
cooperative housing.
(D) Ineligible Activities
Section 811 funds may not be used for any of the following:
(1) Nursing homes, infirmaries and medical facilities;
(2) Transitional housing facilities;
(3) Manufactured housing facilities;
(4) Intermediate care facilities;
(5) Community centers, with or without special components for use
by persons with disabilities;
(6) Sheltered workshops and centers for persons with disabilities;
(7) Headquarters for organizations for persons with disabilities;
and
(8) Refinancing of Sponsor-owned facilities without rehabilitation.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, you must comply with the following
requirements:
(A) Statutory Requirements and Regulatory Requirements
You must comply with all statutory and regulatory requirements
listed in Sections III(A) and IX of this program section of the
SuperNOFA.
(B) HUD/RHS Agreement
HUD and the Rural Housing Service (RHS) have an agreement to
coordinate the administration of the agencies' respective rental
assistance programs. As a result, HUD is required to notify RHS of
applications for housing assistance it receives. This notification
gives RHS the opportunity to comment if it has concern about the demand
for additional assisted housing and possible harm to existing projects
in the same housing market area. HUD will consider RHS comments in its
review and application selection process.
(C) Development Cost Limits
(1) The following development cost limits, adjusted by locality as
described in paragraph (C)(3) below, must be used to determine the
capital advance amount reserved for projects for persons with
disabilities:
(a) For independent living projects and dwelling units in
multifamily housing developments, condominium and cooperative housing:
The total development cost of the project attributable to dwelling use
(less the incremental development cost and the capitalized operating
costs associated with any excess amenities and design features you will
pay for) may not exceed:
Non-elevator Structures
$33,638 per family unit without a bedroom;
$38,785 per family unit with one bedroom;
$46,775 per family unit with two bedrooms;
$59,872 per family unit with three bedrooms;
$66,700 per family unit with four bedrooms.
For Elevator Structures
$35,400 per family unit without a bedroom;
$40,579 per family unit with one bedroom;
$49,344 per family unit with two bedrooms;
$63,834 per family unit with three bedrooms;
$70,070 per family unit with four bedrooms.
(b) For group homes only:
------------------------------------------------------------------------
Type of disability
---------------------------
No. residents chronic
physical/ mental
developmental illness
------------------------------------------------------------------------
3........................................... $154,452 $149,094
4........................................... 165,276 158,376
5........................................... 176,100 167,658
6........................................... 186,912 176,940
------------------------------------------------------------------------
(c) These cost limits reflect those costs reasonable and necessary
to develop a project of modest design that complies with HUD minimum
property standards; the minimum group home requirements of 24 CFR
891.310(a) (if applicable); the accessibility requirements of 24 CFR
891.120(b) and 891.310(b); and the project design and cost standards of
24 CFR 891.120.
(2) Increased development cost limits.
(a) HUD may increase the development cost limits set forth in
Section IV(C)(1) of this program section of the SuperNOFA by up to 140
percent in any geographic area where the cost levels require, and may
increase the development cost limits by up to 160 percent on a project-
by-project basis. This increase may include covering additional costs
to make dwelling units accessible through rehabilitation.
(b) If HUD finds that high construction costs in Alaska, Guam, the
Virgin Islands or Hawaii make it infeasible to construct dwellings,
without the sacrifice of sound standards of construction, design, and
livability, within the development cost limits provided in Section
IV(C)(1) of this program section of the SuperNOFA, the amount of
capital advances may be increased to compensate for such costs. The
increase may not exceed the limits established under this section
(including any high cost area adjustment) by more than 50 percent.
(c) For group homes only, HUD Offices may approve increases in the
development cost limits in paragraph (C)(1)(b), above, in areas where
you can provide sufficient documentation that high land costs limit or
prohibit project feasibility. An example of acceptable documentation is
evidence of at least three land sales which have actually
[[Page 9870]]
taken place (listed prices for land are not acceptable) within the last
two years in the area where your project is to be built. The average
cost of the documented sales must exceed seven percent of the
development cost limit for your project in order for an increase to be
considered.
(D) Sites
The National Affordable Housing Act requires you to provide in your
application either (1) evidence of site control, or (2) a reasonable
assurance that you will have control of a site within six months of
notification of fund reservation. Accordingly, if you have control of a
site at the time you submit your application, you must include evidence
of such as described in Section VI(B)(4)(d)(i) of this program section
of the SuperNOFA relative to site control and in the application kit.
If you do not have site control, you must provide the information
required in Section VI(B)(4)(d)(ii) of this program section of the
SuperNOFA relative to identification of a site and in the application
kit for identified sites as a reasonable assurance that site control
will be obtained within six months of fund reservation notification.
Under Criterion 1 of Rating Factor 3 in Section V(D), below,
related to your proposed site, your application has the potential of
earning 15 points. Criterion 1(a) is related to site approvability and
is worth a maximum of 10 points. Regardless of whether you submit
evidence of site control or have identified a site without obtaining
control of it, the site will be evaluated based on its proximity or
accessibility to shopping, medical facilities, transportation, places
of worship, recreational facilities, places of employment and other
necessary services to the intended tenants. It will also be evaluated
to determine whether it complies with the site and neighborhood
standards in 24 CFR 891.125. Criterion 1(b) relates to the existence of
legally acceptable site control. If you (1) submit evidence of site
control for all proposed sites in your application, (2) the evidence is
determined to be legally acceptable for all of the sites and (3) all of
the sites are approvable (i.e., receive a score of 1 or higher for
Criterion 1(a), your application will receive 5 points for Criterion
1(b)).
If your application contains evidence of site control where either
the evidence or the site is not approvable, it will not be rejected
provided you indicate in your application that you are willing to seek
an alternate site and provide an assurance that site control will be
obtained within six months of fund reservation notification.
(E) Supportive Services
You are required to include a supportive services plan and a
certification from the appropriate State or local agency that the
provision of services identified in your Supportive Services Plan is
well designed to serve the special needs of persons with disabilities
who will live in your proposed project. Section VI(B)(4)(e) of this
program section of the SuperNOFA, below, outlines the information that
must be in the Supportive Services Plan. You must submit one copy of
your Supportive Services Plan to the appropriate State or local agency
well in advance of the application submission deadline date for the
State or local agency to review your Supportive Services Plan (Exhibit
4(d) of the application kit) and complete the Supportive Services
Certification (Exhibit 7(l) of the application kit) and return it to
you so that you can include it in the application you submit to HUD.
(1) HUD will reject your application if the supportive services
certification:
(i) Is not submitted with your application and is not submitted to
HUD within the 14-day cure period; or
(ii) Indicates that the provision of supportive services is not
well designed to meet the special needs of persons with disabilities.
(2) In addition, if the agency completing the certification will be
a major funding or referral source for your proposed project or be
responsible for licensing the project, HUD will reject your application
if either the agency's supportive services certification indicates--or,
where the agency fails to complete item 2 or 3 of the certification,
HUD determines that:
(i) You failed to demonstrate that supportive services will be
provided on a consistent long-term basis; and/or
(ii) The proposed housing is not consistent with State or local
agency plans/policies governing development and operation of housing
for persons with disabilities.
Any prospective resident of a Section 811 project who believes he/
she needs supportive services must be given the choice to be
responsible for acquiring his/her own services or to take part in your
Supportive Services Plan which must be designed to meet the individual
needs of each resident. Residents or applicants may not be required to
accept any supportive service as a condition of occupancy or admission.
(F) Project Size Limits
(1) Group home--The minimum number of persons with disabilities
that can reside in a group home is three, and the maximum number is
six. Only one person per bedroom is allowed, unless two residents
choose to share one bedroom or a resident determines he/she needs
another person to share his/her bedroom.
(2) Independent living project--The minimum number of units that
can be applied for in one application is five; not necessarily in one
structure. The maximum number of persons with disabilities that can be
housed in an independent living project is 18.
(3) Exceptions--If you are submitting an application with site
control, you may request an exception to the above project size limits
by providing the information required in Section VI(B) in this program
section of the SuperNOFA, below.
(G) Minimum Capital Investment
Selected nonprofit organizations must provide a minimum capital
investment of one-half of one percent of the HUD-approved capital
advance amount not to exceed a maximum of $10,000.
(H) Economic Opportunities for Low and Very Low Income Persons
You must comply with section 3 of the Housing and Urban Development
Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for Low and Very
Low Income Persons) and its implementing regulations at 24 CFR part
135. To comply, you must ensure that training, employment and other
economic opportunities are directed, to the greatest extent feasible,
toward low and very low income persons, particularly those who are
recipients of government assistance for housing; and to business
concerns which provide economic opportunities to low and very low
income persons.
(I) Accessibility
If you intend to construct, substantially rehabilitate, or acquire,
with or without rehabilitation, structures to be used as housing for
persons with disabilities, you should note 24 CFR 891.310, which
requires that your project meets accessibility requirements. In
addition, you should note that 24 CFR 8.4(b)(5) prohibits the selection
of a site or location which has the purpose or effect of excluding
persons with disabilities from the Federally assisted program or
activity. Thus, if you choose an existing structure, make sure that it
can be made accessible without resulting in an infeasible project.
[[Page 9871]]
V. Application Selection Process
(A) Review for Curable Deficiencies
You should ensure that your application is complete before
submitting it to the appropriate HUD office. HUD will screen all
applications received by the deadline to determine if there are any
curable deficiencies. A curable deficiency is a missing Exhibit or
portion of an Exhibit that will not affect the rating of your
application. The following is a list of the only deficiencies that will
be considered curable in a Section 811 application:
Exhibits
(1)
*Form 92016-CA (Application Form)
(2)
*(a) Articles of Incorporation
*(b) By-laws
*(c) IRS tax exemption ruling
(4)
(c)(ii) Energy efficiency
*(d)(i) Evidence of site control (if submitted with application)
(d)(vi) SHPO letter
(d)(vii) Seek alternate site
(d)(viii) Exception to project size limits
(5)
Applications submitted to other offices
(6)
Relocation
(7)
*(a) Standard Form 424
(b) Drug-free Workplace
(c) Form-HUD 50071 and Standard Form-LLL
(d) Form-HUD 2880
(e) Form-HUD 2992
(f) Executive Order 12372
(g) Form-HUD 2991 Certification of Consistency with Consolidated
Plan
(h) Conflict of Interest Resolution
*(i) Resolution for Commitment to Project
(k) Combined Certifications
(l) Supportive Services Certification
(m) Lead-Based Paint Certification
The HUD Office will notify you in writing if your application is
missing any of the above exhibits or portions of exhibits and will give
you 14 days from the date of the notification to submit the information
required to cure the noted deficiencies. The items identified by an
asterisk (*) must be dated on or before the application deadline date.
(B) Rating
HUD will review and rate your application(s) in accordance with the
Application Selection Process in the General Section of this SuperNOFA
with the following exception. HUD will not reject your application
based on technical review without notifying you of the rejection with
all the reasons for rejection and providing you an opportunity to
appeal. You will have 14 calendar days from the date of HUD's written
notice to appeal a technical rejection to the HUD Office. The HUD
Office will make a determination on an appeal before making its
selection recommendations. Your application(s) will be either rated or
technically rejected at the end of technical review. If your
application meets all program eligibility requirements after completion
of technical review, it will be rated according to the Rating Factors
in V(D) below.
(C) Ranking and Selection Procedures
Applications that have a total base score of 60 points or more
(without the addition of EC/EZ bonus points) and meet all of the
applicable threshold requirements of Section II(B) of the General
Section of the SuperNOFA will be eligible for selection and will be
placed in rank order. HUD will select applications, after adding any
bonus points for EC/EZ, based on rank order, up to and including the
last application that can be funded out of each HUD office's
allocation. HUD Offices must not skip over any applications in order to
select one based on the funds remaining. After making the initial
selections, however, HUD may use any residual funds to select the next
rank-ordered application by reducing the number of units by no more
than 10 percent rounded to the nearest whole number, provided the
reduction will not render the project infeasible. For this purpose,
however, HUD will not reduce the number of units in projects of five
units or less.
After this process is completed, residual funds from all HUD
Offices within each Multifamily Hub will be combined. These funds will
be used first to restore units to projects reduced by HUD Offices based
on the above instructions. Second, additional applications within each
Multifamily Hub will be selected in rank order with only one
application selected per HUD Office. More than one application may be
selected per HUD office if there are no approvable applications in
other HUD Offices within the Multifamily Hub. This process will
continue until there are no more approvable applications within the
Multifamily Hub that can be selected with the remaining funds.
Applications may not be skipped over to select one based on funds
remaining. However, HUD may use any remaining residual funds, to select
the next rank-ordered application by reducing the number of units by no
more than 10 percent rounded to the nearest whole number, provided the
reduction will not render the project infeasible or result in the
project being less than 5 units.
Funds remaining after these processes are completed will be
returned to Headquarters. HUD will use these residual funds first to
fund Ryder Memorial Hospital, Inc., in the jurisdiction of the HUD
Caribbean Multifamily Program Center, a FY 1998 application which was
not funded due to HUD error. Second, HUD will use these funds to
restore units to projects reduced by HUD Offices as a result of the
instructions for using their residual funds. Third, HUD will use these
funds for selecting applications based on field offices' rankings,
beginning with the highest rated application nationwide. Only one
application will be selected per HUD Office from the national residual
amount, excluding the Caribbean Multifamily Program Center, already
funded. If there are no approvable applications in other HUD Offices,
the process will begin again with the selection of the next highest
rated application nationwide. This process will continue until all
approvable applications are selected using the available remaining
funds.
(D) Factors for Award Used To Evaluate and Rate Applications
HUD will rate applications that successfully complete technical
processing using the Rating Factors set forth below and in accordance
with the application submission requirements in Section VI(B), below.
The maximum number of points an application may receive under this
program is 102. This includes two (2) EZ/EC bonus points, as described
in the General Section of this SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Staff (25 Points)
This factor addresses the extent to which you have the
organizational resources to successfully implement the proposed
activities in a timely manner. Submit information responding to this
factor in accordance with Application Submission Requirements in
paragraphs (B)(2), (B)(3)(a), (B)(3)(b), and (B)(3)(e) of Section VI of
this program section of the SuperNOFA.
In rating this factor, HUD will consider the extent to which your
application demonstrates your ability to develop and operate the
proposed housing on a long-term basis, considering the following:
(1) (15 points) The scope, extent, and quality of your experience
in providing
[[Page 9872]]
housing or related services to those proposed to be served by the
project and the scope of the proposed project (i.e., number of units,
services, relocation costs, development, and operation) in relationship
to your demonstrated development and management capacity as well as
your financial management capability; and
(2) (10 points) The scope, extent, and quality of your experience
in providing housing or related services to minority persons or
families. For purposes of this program section of the SuperNOFA,
``minority'' means the basic racial and ethnic categories for Federal
statistics and administrative reporting, as defined in OMB's
Statistical and Policy Directive No. 15. (See 62 FR 58782 October 30,
1997.)
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for
funding the proposed activities to address a documented problem in the
target area. Submit information responding to this factor in accordance
with Application Submission Requirements in paragraphs (B)(4)(a) and
(B)(4)(b) of Section VI of this program section of the SuperNOFA. In
evaluating this factor, HUD will consider:
The extent of the need for the project in the area based on a
determination by the HUD Office. In making this determination, HUD will
consider your evidence of need in the area, as well as other economic,
demographic, and housing market data available to the HUD Office. The
data could include the availability of existing comparable subsidized
housing for persons with disabilities and current occupancy in such
housing, comparable subsidized housing for persons with disabilities
under construction or for which fund reservations have been issued,
and, in accordance with an agreement between HUD and RHS, comments from
RHS on the demand for additional comparable subsidized housing and the
possible harm to existing projects in the same housing market area. The
Department also will review more favorably those applications which
establish a connection between the proposed project and the community's
Analysis of Impediments to Fair Housing Choice (AI) or other planning
document that analyzes fair housing issues and is prepared by a local
planning or similar organization. You must show how the proposed
project will address an impediment to fair housing choice described in
the AI or meet a need identified in the other type of planning
document.
Rating Factor 3: Soundness of Approach (40 Points)
This factor addresses the quality and effectiveness of your
proposal. There must be a clear relationship between the proposed
activities, the community's needs and purposes of the program funding
for your application to receive points for this factor. Submit
information responding to this factor in accordance with Application
Submission Requirements in paragraphs (B)(4)(c), (B)(4)(d), and
(B)(4)(e) of Section VI of this program section of the SuperNOFA. In
evaluating this factor, HUD will consider the following:
(1)(a) (10 points) Site approvability--The proximity or
accessibility of the site to shopping, medical facilities,
transportation, places of worship, recreational facilities, places of
employment, and other necessary services to the intended tenants;
adequacy of utilities and streets, and freedom of the site from adverse
environmental conditions (based on site visit for site control projects
only); and compliance with site and neighborhood standards in 24 CFR
891.125;
(b) (5 points) Site control--If your application contains legally
acceptable site control for all proposed sites and all of the proposed
sites are approvable (i.e., receive a score of 1 or higher on Criterion
1(a)), your application will receive 5 points for site control;
(2) (10 points) The suitability of the site from the standpoints of
promoting a greater choice of housing opportunities for minorities and
persons with disabilities and affirmatively furthering fair housing. In
reviewing this criterion, HUD will assess whether the site meets the
site and neighborhood standards at 24 CFR 891.125(b) and (c) by
examining relevant data in your application or in the HUD Office. If
appropriate, HUD may visit the site. The site will be deemed acceptable
if it increases housing choice and opportunity by (a) expanding housing
opportunities in non-minority neighborhoods (if located in such a
neighborhood); or (b) contributing to the revitalization of and
reinvestment in minority neighborhoods, including improvement of the
level, quality and affordability of services furnished to minority
persons with disabilities.
(3) (5 points) The extent to which the proposed design of the
project, including both the exterior and interior design, will meet any
special needs of persons with disabilities the housing is expected to
serve;
(4) (5 points) The extent to which the proposed design of the
project and its placement in the neighborhood will facilitate the
integration of the residents into the surrounding community; and
(5) (5 points) Your board includes persons with disabilities
(including persons who have disabilities similar to those of the
prospective residents).
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure other community
resources which can be combined with HUD's program resources to achieve
program purposes. Submit information responding to this factor in
accordance with Application Submission Requirements in paragraphs
(B)(3)(c) and (B)(3)(d) of Section VI of this program section of the
SuperNOFA.
(1) (5 points) The extent of local government support (including
financial assistance, donation of land, provision of services, etc.)
for the project; and
(2) (5 points) The extent of your activities in the community,
including previous experience in serving the area where the project is
to be located, and your demonstrated ability to enlist volunteers and
raise local funds.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you coordinated your
activities with other known organizations, participate or promote
participation in the community's Consolidated Planning process, and are
working towards addressing a need in a holistic and comprehensive
manner through linkages with other activities in the community. Submit
information responding to this factor in accordance with Application
Submission Requirements in paragraphs (B)(3)(f), (B)(3)(g), (B)(3)(h),
and (B)(3)(i) of Section VI of this program section of the SuperNOFA.
(1) (4 points) You involved persons with disabilities (including
minority persons with disabilities) in the development of the
application, and will involve persons with disabilities (including
minority persons with disabilities) in the development and operation of
the project;
(2) (2 points) The extent to which you coordinated your application
with other organizations to complement and/or support the proposed
project;
(3) (2 points) The extent to which you demonstrated that you have
been actively involved, or if not currently active, the steps you will
take to become actively involved in the community's Consolidated
Planning process to identify and address a need/problem that is related
in whole or part, directly
[[Page 9873]]
or indirectly to the proposed project; and
(4) (2 points) The extent to which you developed or plan to develop
linkages with other activities, programs or projects related to the
proposed project to coordinate your activities so solutions are
holistic and comprehensive.
Bonus Points
(2 bonus points) Location of proposed site in an EZ/EC area, as
described in the General Section of this SuperNOFA. Submit the
information responding to the bonus points in accordance with the
Application Submission Requirements in paragraph (B)(7)(j) of Section
VI of this program section of the SuperNOFA.
VI. Application Submission Requirements
(A) Application. Your application must include all of the
information, materials, forms, and exhibits listed in Section VI(B) of
this program section of the SuperNOFA (unless you were selected for a
Section 811 fund reservation within the last three funding cycles). If
you qualify for this exception, you are not required to submit the
information described in Section VI(B)(2)(a), (b), and (c), below, of
this program section of the SuperNOFA (Exhibits 2.a., b., and c. of the
application kit), which are the articles of incorporation (or other
organizational documents), by-laws, and the IRS tax exemption,
respectively. If there has been a change in any of the eligibility
documents since your previous HUD approval, you must submit the updated
information in your application. The HUD Office will verify your
indication of previous HUD approval by checking the project number and
approval status with the appropriate HUD Office.
In addition to this relief of paperwork burden in preparing
applications, you are able to use information and exhibits previously
prepared for prior applications under Section 811, Section 202, or
other funding programs. Examples of exhibits that may be readily
adapted or amended to decrease the burden of application preparation
include, among others, those on previous participation in the Section
202 or Section 811 programs, your experience in the provision of
housing and services, supportive services plans, community ties, and
experience serving minorities.
Note: You may apply for a scattered site project in one
application.
(B) General Application Requirements.
(1) Form HUD-92016-CA, Application for Section 811 Supportive
Housing Capital Advance.
(2) Evidence of your and each Co-Sponsor's legal status as a
nonprofit organization, including the following:
(a) Articles of Incorporation, constitution, or other
organizational documents;
(b) By-laws;
(c) IRS section 501(c)(3) tax exemption ruling (this must be
submitted by you and all Co-Sponsors, including churches).
Note: If you received a section 811 fund reservation within the
last three funding cycles, you are not required to submit the
documents described in (a), (b), and (c), above. instead, you must
submit the project number of the latest application selected and the
hud office to which it was submitted. If there have been any
modifications or additions to the subject documents, indicate such,
and submit the new material.
(d) The number of people on your board and the number of those
people who have disabilities (including disabilities similar to those
of the prospective residents).
(3) A description of your purpose, community ties, and experience,
including the following:
(a) A description of your purpose, current activities and how long
you have been in existence;
(b) A description of your ties to the community at large and to the
minority and disabled communities in particular;
(c) A description of local government support for the project
(including financial assistance, donation of land, provision of
services, etc.);
(d) Letters of support for your organization and for the proposed
project from organizations familiar with the housing and supportive
services needs of the persons with disabilities that you expect to
serve in the proposed project;
(e) A description of your housing and/or supportive services
experience. The description should include any rental housing projects
(including integrated housing developments) and/or supportive services
facilities that you have sponsored, owned, and/or operated; your past
or current involvement in any programs other than housing that
demonstrates your management capabilities (including financial
management) and experience, and your experience in serving persons with
disabilities and minorities; and the reasons for receiving any
increases in fund reservations for developing and/or operating any
previously funded Section 811 or Section 202 projects. The description
should include data on the facilities and services provided, the
racial/ethnic composition of the populations served, if available, and
information and testimonials from residents or community leaders on the
quality of the activities. Examples of activities that could be
described include housing counseling, nutrition and food services,
special housing referral, screening and information projects.
(f) A description, if applicable, of your efforts to involve
persons with disabilities (including minority persons with disabilities
and persons with disabilities similar to those of the prospective
residents) in the development of your application and in the
development and operation of the project.
(g) A description of the steps you took to identify and coordinate
your application with other organizations to complement and/or support
your proposed project as well as the steps you will take, if funded, to
share information on solutions and outcomes relative to the development
of your proposed project.
(h) A description of your involvement in the community's
Consolidated Planning process, including:
(i) An identification of the lead/facilitating agency that
organizes/administers the process;
(ii) An identification of the Consolidated Plan issue areas in
which you participate;
(iii) Your level of participation in the process, including active
involvement with any neighborhood-based organizations, associations or
any committees that support programs and activities that enhance
projects, or the lives of residents of projects, such as the one
proposed in your application.
If you are not currently active, describe the specific steps you
will take to become active in the Consolidated Planning process.
(Consult the local HUD Office for the identification of the
Consolidated Plan community process for the appropriate area.)
(i) A description of the linkages that you have developed or plan
to develop with other related activities, programs or projects in order
that the development of the project provides a comprehensive and
holistic solution to the needs of the target population.
(4) Project information including the following:
(a) Evidence of need for supportive housing. Such evidence would
include a description of the proposed population and evidence
demonstrating sustained effective demand for supportive housing for the
proposed population in the market area to be served, taking into
consideration the
[[Page 9874]]
occupancy and vacancy conditions in existing comparable subsidized
housing for persons with disabilities, State or local needs assessments
of persons with disabilities in the area, the types of supportive
services arrangements currently available in the area, and the use of
such services as evidenced by data from local social service agencies.
Also, a description of how information in the community's Analysis of
Impediments to Fair Housing Choice was used in documenting the need for
the project.
(b) A description of how the proposed project will benefit the
target population and the community in which it will be located;
(c) A description of the project, including the following:
(i) A narrative description of the building(s) including the number
and type of structure(s), number of bedrooms if group home, number of
units with bedroom distribution if independent living units (including
dwelling units in multifamily housing developments, condominiums and
cooperatives), number of residents with disabilities, and any resident
staff per structure; an identification of all community spaces,
amenities, or features planned for the housing and a description of how
the spaces, amenities, or features will be used, and the extent to
which they are necessary to accommodate the needs of the proposed
residents. If these community spaces, amenities, or features would not
comply with the project design and cost standards of Sec. 891.120 and
the special project standards of Sec. 891.310, you must demonstrate
your ability and willingness to contribute both the incremental
development cost and continuing operating cost associated with the
community spaces, amenities, or features; and a description of how the
design of the proposed project will promote the integration of the
residents into the surrounding community; and (ii) A description of
whether and how the project will promote energy efficiency, and, if
applicable, innovative construction or rehabilitation methods or
technologies to be used that will promote efficient construction.
(d) Evidence of control of an approvable site, OR identification of
a site for which you provide a reasonable assurance that you will
obtain control within 6 months from the date of fund reservation (if
you are approved for funding).
(i) If you are submitting an application with site control, you
must submit the following:
(1) Acceptable evidence of site control, as evidenced by one of the
following:
(A) Deed or long-term leasehold which evidences that you have title
to or a leasehold interest in the site. If a leasehold, the term of the
lease must be at least 50 years;
(B) Contract of sale for the site which is free of any limitations
affecting ability to deliver ownership to you after you receive and
accept a notice of Section 811 capital advance. The only condition for
closing on the sale can be your receipt and acceptance of the capital
advance;
(C) Option to purchase or for a long-term leasehold which must
remain in effect for one year from the date on which the applications
are due. The option agreement may consist of a single one year term or
may include one or more rights to renew up to one year solely at your
discretion. The only condition on which the option may be terminated is
if you are not awarded a fund reservation.
(D) If the site is covered by a mortgage under a HUD program, you
must submit evidence that consent to release of the site from the
mortgage has been obtained or is being requested.
(E) For sites to be acquired from a public body, evidence is needed
that the public body possesses clear title to the site and has entered
into a legally binding agreement to lease or convey the site to you
after you receive and accept a notice of Section 811 capital advance.
If HUD determines that time constraints of the funding round will not
permit you to obtain all of the required official actions (e.g.,
approval of Community Planning Boards) that are necessary to convey
publicly-owned sites, you may include in your application a letter from
the mayor or director of the appropriate local agency indicating that
conveyance or leasing of your site is acceptable and only contingent on
the necessary approval action. In its review of such cases, HUD will
consider whether it has had satisfactory experience with timely
conveyance of sites from that public body.
Whether you have title to the site, a contract of sale, an option
to purchase or are acquiring a site from a public body, you must
provide evidence (a title policy or other acceptable evidence) that the
site is free of any limitations, restrictions, or reverters which could
adversely affect the use of the site for the proposed project for the
40-year capital advance period under HUD's regulations and requirements
(e.g., reversion to seller if title is transferred). Mortgages are not
considered to be limitations or restrictions that would adversely
affect the use of the site. If the site is subject to any such
limitations, restrictions, or reverters, the site will be rejected.
Note: A Proposed project site may not be acquired or optioned
from a general contractor (or its affiliate) that will construct the
section 811 project or from any other development team member.
(2) Evidence that your project as proposed is permissible under
applicable zoning ordinances or regulations, or a statement of the
proposed action required to make your proposed project permissible. You
must provide the basis for your belief that the proposed action will be
completed successfully before the submission of the firm commitment
application (e.g., a summary of the results of any requests for
rezoning on land in similar zoning classifications and the time
required for such rezoning, the procedures for obtaining special or
conditional use permits or preliminary indications of acceptability
from zoning bodies, etc.).
Note: You should be aware that under certain circumstances the
Fair Housing Act requires localities to make reasonable
accommodations to their zoning ordinances or regulations to offer
persons with disabilities an opportunity to live in an area of their
choice. If you are relying upon a theory of reasonable accommodation
to satisfy the zoning requirement, then you must clearly articulate
the basis for your reasonable accommodation theory.
(3) A narrative topographical and demographic description of the
suitability of the site and area as well as a description of the area
surrounding the site, the characteristics of the neighborhood, how the
site will promote greater housing opportunities for minorities and
persons with disabilities thereby affirmatively furthering fair
housing.
Note: You can best demonstrate your commitment to affirmatively
furthering fair housing by describing how proposed activities will
assist the jurisdiction in overcoming impediments to fair housing
choice identified in the applicable jurisdiction's Analysis of
Impediments (AI) to Fair Housing Choice, which is a component of the
jurisdiction's Consolidated Plan, or any other planning document
that addresses fair housing issues. The applicable Consolidated Plan
and AI may be the Community's, the County's, or the State's, to
which input should have been provided by local community
organizations, agencies in the community, and residents of the
community. Alternatively, a document that addresses fair housing
issues and remedies to barriers to fair housing in the community
that was previously prepared by a local planning, or similar
organization, may be used. Applicable impediments could include a
lack
[[Page 9875]]
of units that are accessible to persons with disabilities, a lack of
transportation services or other assistance that would serve persons
with disabilities, or the need for improved housing quality and
services for all persons with disabilities.
(4) A map showing the location of the site and the racial
composition of the neighborhood, with the area of racial concentration
delineated;
(5) A Phase I Environmental Site Assessment, in accordance with the
American Society for Testing and Material (ASTM) Standards E 1527-93,
as amended. The Phase I study must be completed and submitted with the
application. Therefore, it is important that you start the site
assessment process as soon after publication of this SuperNOFA as
possible.
If the Phase I study indicates the possible presence of
contamination and/or hazards, you must decide whether to continue with
this site or choose another site. Should you choose another site, the
same environmental site assessment procedure identified above must be
followed for that site.
Note: For properties to be acquired from the FDIC/RTC, include a
copy of the FDIC/RTC prepared Transaction Screen Checklist or Phase
I Environmental Site Assessment, and applicable documentation, per
the FDIC/RTC Environmental Guidelines.
If you choose to continue with the original site on which the Phase
I study indicated contamination or hazards, you must undertake a
detailed Phase II Environmental Site Assessment by an appropriate
professional. If the Phase II Assessment reveals site contamination,
the extent of the contamination and a plan for clean-up of the site
must be submitted to the local HUD Office. The plan for clean-up must
include a contract for remediation of the problem(s) and an approval
letter from the applicable Federal, State, and/or local agency with
jurisdiction over the site. In order for your application to be
considered as an application with site control you must submit this
information to the local HUD Office on or before June 28, 1999.
Note: This could be an expensive undertaking. you must pay for
the cost of any clean-up and/or Remediation.
(6) A letter from the State Historic Preservation Officer (SHPO)
indicating whether the proposed site(s) has any historical
significance. If you cannot obtain a letter from the SHPO due to the
SHPO not responding to your request or the SHPO responding that it
cannot or will not comply with the requirement, you must submit the
following:
(A) a letter indicating that you attempted to get the required
letter from the SHPO but that the SHPO either had not responded to your
request or would not honor or recognize your request;
(B) a copy of your letter to the SHPO requesting the required
letter; and
(C) a copy of the SHPO's response, if available.
(7) A statement that you are willing to seek a different site if
the preferred site is unapprovable and that site control will be
obtained within six months of notification of fund reservation.
(8) If you are requesting an exception to the project size limits
found in Section IV(F) of this program section of the SuperNOFA,
describe why the site was selected and demonstrate the following:
(A) People with disabilities similar to those of the prospective
tenants have indicated their acceptance or preference to live in
housing with as many units/people as proposed for your project;
(B) The increased number of people is necessary for the economic
feasibility of your project;
(C) Your project is compatible with other residential development
and the population density of the area in which your project is to be
located;
(D) The increased number of people will not prohibit their
successful integration into the community;
(E) Your project is marketable in the community;
(F) The size of your project is consistent with State and/or local
policies governing similar housing for the proposed population; and
(G) A statement that you are willing to have your application
processed at the project size limit should HUD not approve the
exception.
(ii) If you have identified a site, but do not have it under
control, you must submit the following information:
(1) A description of the location of the site, including its street
address, its unit number (if condominium), neighborhood/community
characteristics (to include racial and ethnic data), amenities,
adjacent housing and/or facilities, and how the site will promote
greater housing opportunities for minorities and persons with
disabilities thereby affirmatively furthering fair housing. You can
best demonstrate your commitment to affirmatively furthering fair
housing by describing how your proposed activities will assist the
jurisdiction in overcoming impediments to fair housing choice
identified in the community's AI or any other planning document that
addresses fair housing issues. Examples of the applicable impediments
include the need for improved housing quality and services for minority
persons with disabilities and the need for quality services for persons
with disabilities within the type and quality of similar services and
housing in minority areas;
(2) A description of the activities undertaken to identify the
site, as well as what actions must be taken to obtain control of the
site, if approved for funding;
(3) An indication as to whether the site is properly zoned. If it
is not, an indication of the actions necessary for proper zoning and
whether these can be accomplished within six months of fund reservation
award, if approved for funding;
(4) A status of the sale of the site; and
(5) An indication as to whether the site would involve relocation.
(e) A supportive services plan (a copy of which must be sent to the
appropriate State or local agency as instructed in Section IV(E) of
this program section of the SuperNOFA) that includes:
(i) A detailed description of whether the housing is expected to
serve persons with physical disabilities, developmental disabilities,
chronic mental illness or any combination of the three. Include how and
from whom/where persons will be referred to and accepted for occupancy
in the project. You may, with the approval of the Secretary, limit
occupancy within housing developed under this program section of the
SuperNOFA to persons with disabilities who have similar disabilities
and require a similar set of supportive services in a supportive
housing environment. However, the Owner must permit occupancy by any
qualified person with a disability who could benefit from the housing
and/or services provided, regardless of the person's disability.
(ii) If you are requesting approval to limit occupancy in your
proposed project(s), you must submit the following:
(1) A description of the population of persons with disabilities to
which occupancy will be limited;
(2) An explanation of why it is necessary to limit occupancy of the
proposed project(s) to the population described in (1) above. This
should include but is not limited to:
(A) An explanation of how limiting occupancy to a subcategory of
persons with disabilities promotes the goals of the Section 811
Program; and,
(B) An explanation of why the housing and/or service needs of this
population cannot be met in a more integrated setting.
(3) A description of your experience in providing housing and/or
supportive services to the proposed occupants; and
(4) A description of how you will ensure that the occupants of the
[[Page 9876]]
proposed project(s) will be integrated into the neighborhood and
surrounding community.
(iii) A detailed description of the supportive service needs of the
persons with disabilities that the housing is expected to serve.
(iv) You must develop, and submit with your application, a list of
community service providers, including those that are consumer-
controlled, and include letters of intent to provide services to
residents of the proposed project(s) from as many potential service
providers as possible. You must make this list available to any
residents who wish to be responsible for acquiring their own supportive
services. However, a provider may not require residents to accept any
particular service.
(v) A detailed description of a comprehensive supportive services
plan that you have organized for those residents who do not wish to
take responsibility for acquiring their own services. Such a plan must
include the following:
(1) The name(s) of the agency(s) that will be responsible for
providing the supportive services;
(2) The evidence of each service provider's capability and
experience in providing such supportive services (applicable even if
you will be the service provider);
(3) A description of how, when, how often, and where (on/off-site)
the services will be provided;
(4) Identification of the extent of State and/or local agency
involvement in the project (i.e., funding for the provision of
supportive services, referral of residents, or licensing the project).
If there will be any State or local agency involvement, a description
of the State or local agency's philosophy/policy concerning housing for
the population to be served and a demonstration that your application
is consistent with State or local plans and policies governing the
development and operation of housing for the same disabled population;
and
(5) Letters of intent from service providers (including those that
are consumer-controlled) or funding sources, indicating commitments to
fund or to provide the supportive services, or that a particular
service will be available to proposed residents. If you will be
providing any supportive services or will be coordinating the provision
of any of the supportive services, a letter indicating your commitment
to either provide the supportive services or ensure their provision for
the life of the project.
(vi) A description of residential staff, if needed.
(vii) Assurances that any supportive services you provide to
residents who wish to receive them will be based on the resident's
individual needs; and
(viii) A statement that you will not condition occupancy on the
resident's acceptance of any supportive services.
(5) A list of the applications, if any, that you have submitted or
are planning to submit to any other HUD Office in response to this
Section 811 funding announcement under this SuperNOFA or announcement
for funding under this SuperNOFA of the Section 202 Program of
Supportive Housing for the Elderly. Indicate, by HUD Office, the number
of units requested and the proposed location by city and State for each
application. Include a list of all FY 1998 and prior year projects to
which you are a party, identified by project number and HUD Office,
which have not been finally closed.
(6) A statement that:
(a) Identifies all persons (families, individuals, businesses, and
nonprofit organizations) by race/minority group and status as owners or
tenants occupying the property on the date of submission of the
application for a capital advance;
(b) Indicates the estimated cost of relocation payments and other
services;
(c) Identifies the staff organization that will carry out the
relocation activities; and
(d) Identifies all persons that have moved from the site within the
last 12 months. (This requirement applies to applications with site
control only. Sponsors of applications with identified sites that are
selected will be required to submit this information at a later date
once they have obtained site control.)
Note: If any of the relocation costs will be funded from sources
other than the section 811 capital advance, you must provide
evidence of a firm commitment of these funds. When evaluating
applications, HUD will consider the total cost of proposals (i.e.,
cost of site acquisition, relocation, construction and other project
costs).
(7) Certifications and Resolutions. In addition to the
certifications listed in the General Section of this SuperNOFA with the
exception of SF-424A, SF-424B, SF-424C, SF-424D and the OMB Circulars
which are not required, you are required to submit signed copies of the
following:
(a) Standard Form 424. Application for Federal Assistance and
indication of whether you are delinquent on any Federal debt. (See
instructions for submitting this form in the Consolidated Application
Submissions section of the General Section of the SuperNOFA.)
(b) Drug-Free Workplace (HUD-50070). Certification to provide a
drug-free workplace.
(c) Payments to Influence Federal Transactions (HUD-50071) and
Standard Form LLL, Disclosure of Lobbying Activities. Certification of
whether any of the funds received will be used to influence any Federal
transactions and disclosure of those activities, if applicable.
(d) Applicant/Recipient Disclosure/Update Report, including Social
Security Numbers and Employee Identification Numbers, (HUD-2880). A
disclosure of assistance from other government sources received in
connection with the project.
(e) Employment, Engagement of Services, Awarding or Funding of
Contracts, Subgrants, etc. (24 CFR 24.510).
(f) Executive Order 12372 Certification. A certification that you
have submitted a copy of your application, if required, to the State
agency (single point of contact) for State review in accordance with
Executive Order 12372.
(g) Certification of Consistency with the Consolidated Plan (Plan)
(Form HUD-2991) for the jurisdiction in which the proposed project will
be located. The certification must be made by the unit of general local
government if it is required to have, or has, a complete Plan.
Otherwise, the certification may be made by the State, or by the unit
of general local government if the project will be located within the
jurisdiction of the unit of general local government authorized to use
an abbreviated strategy, and if it is willing to prepare such a Plan.
All certifications must be made by the public official responsible
for submitting the Plan to HUD. The certifications must be submitted as
part of the application by the application submission deadline date set
forth in this SuperNOFA. The Plan regulations are published in 24 CFR
part 91.
(h) A certified Board Resolution that no officer or director of the
Sponsor or Owner has or will have any financial interest in any
contract with the Owner or in any firm or corporation that has or will
have a contract with the Owner, including a current listing of all duly
qualified and sitting officers and directors by title and the beginning
and ending dates of each person's term.
(i) A Certified Board Resolution Acknowledging Responsibilities of
Sponsorship, long-term support of the project(s), your willingness to
assist the Owner to develop, own, manage and provide appropriate
services in connection with the proposed project,
[[Page 9877]]
and that it reflects the will of your membership, and your willingness
to fund the estimated start-up expenses, the Minimum Capital Investment
(one-half of one-percent of the HUD-approved capital advance, not to
exceed $10,000), and the estimated cost of any amenities or features
(and operating costs related thereto) that would not be covered by the
approved capital advance.
(j) Certification of Consistency with the EZ/EC Strategic Plan. A
certification that the project is consistent with the EZ/EC strategic
plan, is located within the EZ/EC, and serves EZ/EC residents.
(k) Sponsor's Combined Certifications. (i) Certification in
Connection with the Development and Operation of a Section 811 Project.
A certification of compliance with the requirements of the Fair Housing
Act, Title VI of the Civil Rights Act, the Age Discrimination Act of
1975, Section 3 of the Housing and Urban Development Act of 1968 (12
U.S.C. 1701u) and the implementing regulations at 24 CFR part 135, the
affirmative fair housing marketing requirements of 24 CFR part 200,
subpart M and the implementing regulations at 24 CFR part 108, and
other applicable Federal, State and local laws prohibiting
discrimination and promoting equal opportunity including affirmatively
furthering fair housing.
(ii) Design and Cost Standards. Certification of Compliance with
HUD's Section 811 project design and cost standards (24 CFR 891.120 and
891.310), the Uniform Federal Accessibility Standards (24 CFR 40.7),
Section 504 of the Rehabilitation Act of 1973 and HUD's implementing
regulations at 24 CFR part 8, and for covered multifamily dwellings
designed and constructed for first occupancy after March 13, 1991, the
design and construction requirements of the Fair Housing Act and HUD's
implementing regulations at 24 CFR part 100, and the Americans with
Disabilities Act of 1990.
(iii) Acquisition and Relocation. Certification of Compliance with
the acquisition and relocation requirements of the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970, as
amended (49 CFR part 24 and 24 CFR part 891.155(e)).
(iv) Formation of Owner Corporation. Certification that you will
form an ``Owner'' (24 CFR 891.305) after issuance of the capital
advance; cause the Owner to file a request for determination of
eligibility and a request for capital advance, and provide sufficient
resources to the Owner to insure the development and long-term
operation of the project, including capitalizing the Owner at firm
commitment processing in an amount sufficient to meet its obligations
in connection with the project.
(v) Supportive Services. Certification that you will not require
residents to accept any supportive services as a condition of
occupancy; and,
(vi) Davis-Bacon. Certification of compliance with the Davis-Bacon
requirements and the Contract Work Hours and Safety Standards Act.
(l) Supportive Services Certification. A certification from the
appropriate State or local agency identified in the application kit
indicating whether the:
(i) Provision of supportive services is well designed to serve the
needs of persons with disabilities the housing is expected to serve;
(ii) Supportive services will be provided on a consistent, long-
term basis; and
(iii) Proposed housing is consistent with State or local plans and
policies governing the development and operation of housing to serve
individuals of the proposed occupancy category if the State or local
agency will provide funding for the provision of supportive services,
refer residents to the project or license the project. (The name,
address, and telephone number of the appropriate agency will be
identified in the application kit and can also be obtained from the
appropriate HUD Office.)
(m) Certification that you will comply with the requirements of the
Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846) and
implementing regulations at 24 CFR part 35 (except as superseded in 24
CFR 891.325).
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 part 50, all Section 811 assistance is
subject to the National Environmental Policy Act of 1969 and applicable
related Federal environmental authorities. The environmental review
provisions of the Section 811 Program regulations are in 24 CFR
891.155(b).
IX. Authority
Section 811 of the Cranston-Gonzalez National Affordable Housing
Act (the NAHA) (Pub. L. 101-625, approved November 28, 1990), as
amended by the Housing and Community Development Act of 1992) (HCD Act
of 1992) (Pub. L. 102-550, approved October 28, 1992), and by the
Rescissions Act (Pub. L. 104-19, approved July 27, 1995) authorized a
new supportive housing program for persons with disabilities, and
replaced assistance for persons with disabilities previously covered by
section 202 of the Housing Act of 1959 (section 202 continues, as
amended by section 801 of the NAHA, and the HCD Act of 1992, to
authorize supportive housing for the elderly).
Appendix A--Local HUD Offices
Note: The first line of the mailing address for all offices is
Department of Housing and Urban Development. Telephone numbers
listed are not toll-free.
HUD--Boston Hub
Hartford Office
One Corporate Center, 19th Floor, Hartford, CT 06106-1860, (860)
240-4800, TTY Number: (860) 240-4665
Boston Office
Room 375, Thomas P. O'Neill, Jr. Federal Building, 10 Causeway
Street, Boston, MA 02222-1092, (617) 565-5234, TTY Number: (617)
565-5453
Manchester Office
Norris Cotton Federal Building, 275 Chestnut Street, Manchester, NH
03101-2487, (603) 666-7681, TTY Number: (603) 666-7518
Providence Office
Sixth Floor, 10 Weybosset Street, Providence, RI 02903-3234, (401)
528-5351, TTY Number: (401) 528-5403
HUD--New York Hub
New York Office
26 Federal Plaza, New York, NY 10278-0068, (212) 264-6500, TTY
Number: (212) 264-0927
HUD--Buffalo Hub
Buffalo Office
Fifth Floor, Lafayette Court, 465 Main Street, Buffalo, NY 14203-
1780, (716) 551-5755, TTY Number: (716) 551-5787
HUD--Philadelphia Hub
Philadelphia Office
The Wanamaker Building, 100 Penn Square East, Philadelphia, PA
19107-3390, (215) 656-0600, TTY Number: (215) 656-3452
Charleston Office
Suite 708, 405 Capitol Street, Charleston, WV 25301-1795, (304) 347-
7000, TTY Number: (304) 347-5332
Newark Office
Thirteenth Floor, One Newark Center, Newark, NJ 07102-5260, (201)
622-7900, TTY Number: (201) 645-3298
Pittsburgh Office
339 Sixth Avenue, Sixth Floor, Pittsburgh, PA 15222-2515, (412) 644-
6428, TTY Number: (412) 644-5747
[[Page 9878]]
HUD--Baltimore Hub
Baltimore Office
Fifth Floor, City Crescent Building, 10 South Howard Street,
Baltimore, MD 21201-2505, (410) 962-2520, TTY Number: (410) 962-0106
Washington Office
820 First Street, NE, Washington, D.C. 20002-4502, (202) 275-9200,
TTY Number: (202) 275-0772
Richmond Office
The 3600 Centre, 3600 West Broad Street, P.O. Box 90331, Richmond,
VA 23230-0331, (804) 278-4507, TTY Number: (804) 278-4501
HUD--Greensboro Hub
Greensboro Office
Koger Building, 2306 West Meadowview Road, Greensboro, NC 27407-
3707, (919) 547-4001, TTY Number: (919) 547-4055
Columbia Office
Strom Thurmond Federal Building, 1835-45 Assembly Street, Columbia,
SC 29201-2480, (803) 765-5592, TTY Number: (803) 253-3071
HUD--Atlanta Hub
Atlanta Office
Richard B. Russell Federal Building, 75 Spring Street, S.W.,
Atlanta, GA 30303-3388, (404) 331-5136, TTY Number: (404) 730-2654
San Juan Office
New San Juan Office Building, 159 Carlos Chardon Avenue, San Juan,
PR 00918-1804, (809) 766-6121, TTY Number: (809) 766-5909
Louisville Office
601 West Broadway, P.O. Box 1044, Louisville, KY 40201-1044, (502)
582-5251, TTY Number: 1-800-648-6056
Knoxville Office
Third Floor, John J. Duncan Federal Building, 710 Locust Street,
Knoxville, TN 37902-2526, (423) 545-4384, TTY Number: (423) 545-4559
Nashville Office
Suite 200, 251 Cumberland Bend Drive, Nashville, TN 37228-1803,
(615) 736-5213, TTY Number: (615) 736-2886
HUD--Jacksonville Hub
Jacksonville Office,
Suite 2200, Southern Bell Tower, 301 West Bay Street, Jacksonville,
FL 32202-5121, (904) 232-2626, TTY Number: (904) 232-1241
Birmingham Office
Suite 300, Beacon Ridge Tower, 600 Beacon Parkway, West, Birmingham,
AL 35209-3144, (205) 290-7617, TTY Number: (205) 290-7630
Jackson Office
Suite 910, Doctor A.H. McCoy Federal Building, 100 West Capitol
Street, Jackson, MS 39269-1096, (601) 965-5308, TTY Number: (601)
965-4171
HUD--Chicago Hub
Chicago Office
Ralph H. Metcalfe Federal Building, 77 West Jackson Boulevard,
Chicago, IL 60604-3507, (312) 353-5680, TTY Number: (312) 353-5944
Indianapolis Office
151 North Delaware Street, Indianapolis, IN 46204-2526, (317) 226-
6303, TTY Number: (317) 226-7081
HUD--Detroit
Detroit Office
Patrick V. McNamara Federal Building, 477 Michigan Avenue, Detroit,
MI 48226-2592, (313) 226-7900, TTY Number: (313) 226-6899
HUD--Columbus Hub
Columbus Office
200 North High Street, Columbus, OH 43215-2499, (614) 469-5737, TTY
Number: (614) 469-6694
CLeveland Office
Fifth Floor, Renaissance Building, 1350 Euclid Avenue, Cleveland, OH
44115-1815, (216) 522-4065, TTY Number: (216) 522-2261
HUD--Minneapolis Hub
Minneapolis Office
220 Second Street, South, Minneapolis, MN 55401-2195, (612) 370-
3000, TTY Number: (612) 370-3186
Milwaukee Office
Suite 1380, Henry S. Reuss Federal Plaza, 310 West Wisconsin Avenue,
Milwaukee, WI 53203-2289, (414) 297-3214, TTY Number: (414) 297-3123
HUD--Ft. Worth Hub
Little Rock Office
Suite 900, TCBY Tower, 425 West Capitol Avenue, Little Rock, AR
72201-3488, (501) 324-5931, TTY Number: (501) 324-5931
New Orleans Office
Ninth Floor, Hale Boggs Federal Building 501 Magazine Street, New
Orleans, LA 70130-3099, (504) 589-7200, TTY Number: (504) 589-7279
Ft. Worth Office
1600 Throckmorton Street, P.O. Box 2905, Fort Worth, TX 76113-2905,
(817) 978-9000, TTY Number: (817) 978-9273
Houston Office
Suite 200, Norfolk Tower 2211 Norfolk, Houston, TX 77098-4096, (713)
313-2274, TTY Number: (713) 834-3274
San Antonio Office
Washington Square, 800 Dolorosa Street, San Antonio, TX 78207-4563,
(210) 472-6800, TTY Number: (210) 472-6885
HUD--Great Plains
Des Moines Office
Room 239, Federal Building, 210 Walnut Street, Des Moines, IA 50309-
2155, (515) 284-4512, TTY Number: (515) 284-4728
Kansas City Office
Room 200, Gateway Tower II, 400 State Avenue, Kansas City, KS 66101-
2406, (913) 551-5462, TTY Number: (913) 551-6972
Omaha Office
Executive Tower Centre, 10909 Mill Valley Road, Omaha, NE 68154-
3955, (402) 492-3100, TTY Number: (402) 492-3183
Saint Louis Office
Third Floor, Robert A. Young Federal Building, 1222 Spruce Street,
St. Louis, MO 63103-2836, (314) 539-6583, TTY Number: (314) 539-6331
Oklahoma City Office
500 Main Plaza, 500 West Main Street, Suite 400, Oklahoma City, OK
73102-2233, (405) 553-7400, TTY Number: (405) 553-7480
HUD--Denver Hub
Denver Office
633 17th Street, Denver, CO 80202-3607, (303) 672-5440, TTY Number:
(303) 672-5248
HUD--San Francisco Hub
Phoenix Office
Suite 1600, Two Arizona Center, 400 North 5th Street, Phoenix, AZ
85004-2361, (602) 379-4434, TTY Number: (602) 379-4464
San Francisco Office
Philip Burton Federal Building and U.S. Courthouse, 450 Golden Gate
Avenue, P.O. Box 36003, San Francisco, CA 94102-3448, (415) 436-
6532, TTY Number: (415) 436-6594
Honolulu Office
Suite 500, 7 Waterfront Plaza, 500 Ala Moana Boulevard, Honolulu, HI
96813-4918, (808) 522-8175, TTY Number: (808) 522-8193
HUD--Los Angeles Hub
Los Angeles Office
611 West 6th Street, Suite 800, Los Angeles, CA 90015-3801, (213)
894-8000, TTY Number: (213) 894-8133
HUD--Seattle Hub
Portland Office
400 Southwest Sixth Avenue, Suite 700, Portland, OR 97204-1632,
(503) 326-2561, TTY Number: (503) 326-3656
BILLING CODE 4210-32-P
Federal Register / Vol. 64, No. 38 / Friday, February 26, 1999 /
Notices.
[[Page 9879]]
[GRAPHIC] [TIFF OMITTED] TN26FE99.052
BILLING CODE 4210-32-C
[[Page 9880]]
Appendix A To SuperNOFA--HUD Field Office Contact Information
While all Field Offices have staff who can answer your general
questions about the SuperNOFA, not all offices have specialists who
can provide detailed technical guidance. Applicants should look to
the SuperNOFAs for contact numbers for information on specific
programs. Office Hour listings are local time. Persons with hearing
or speech impediments may access any of these numbers via TTY by
calling the Federal Relay Service at 1-800-877-8339.
New England
Connecticut State Office, One Corporate Center, 19th Floor,
Hartford, CT 06103-3220, 860-240-4800, Office Hours: 8:00-4:30 PM
Maine State Office, 202 Harlow Street, Chase Bldg. Suite 101, P.O.
Box 1384, Bangor, ME 04402-1384, 207-945-0467, Office Hours: 8:00
AM-4:30 PM
Massachusetts State Office, Thomas P. O'Neill, Jr., Federal
Building, 10 Causeway Street, Room 375, Boston, MA 02222-1092, 617-
565-5234, Office Hours: 8:30 AM-5:00 PM
New Hampshire State Office, Norris Cotton Federal Building, 275
Chestnut Street, Manchester, NH 03101-2487, 603-666-7681, Office
Hours: 8:00 AM-4:30 PM
Rhode Island State Office, Sixth Floor, 10 Weybosset Street, 6th
floor, Providence, RI 02903-2808, 401-528-5230, Office Hours: 8:00
AM-4:30 PM
Vermont State Office, U.S. Federal Building, Room 237, 11 Elmwood
Avenue, P.O. Box 879, Burlington, VT 05402-0879, 802-951-6290,
Office Hours: 8:00 AM-4:30 PM
New York/New England
Albany Area Office, 52 Corporate Circle, Albany, NY 12203-5121, 518-
464-4200, Office Hours: 8:00 AM-4:30 PM
Buffalo Area Office, Lafayette Court, 465 Main Street, Fifth Floor,
Buffalo, NY 14203-1780, 716-551-5755, Office Hours: 8:00 AM-4:30 PM
Camden Area Office, Hudson Building, 800 Hudson Square, Second
Floor, Camden, NJ 08102-1156, 609-757-5081, Office Hours: 8:00 AM-
4:30 PM
New Jersey State Office, One Newark Center, 13th Floor, Newark, NJ
07102-5260, 973-622-7900, Office Hours: 8:00 AM-4:30 PM
New York State Office, 26 Federal Plaza, New York, NY 10278-0068,
212-264-6500, Office Hours: 8:30 AM-5:00 PM
Mid Atlantic
Delaware State Office, 824 Market Street, Suite 850, Wilmington, DE
19801-3016, 302-573-6300, Office Hours: 8:00 AM-4:30 PM
District of Columbia Office, 820 First Street, N.E., 3rd Floor,
Washington, DC 20002-4205, 202-275-9200, Office Hours: 8:00 AM-4:30
PM
Maryland State Office, City Crescent Building, 10 South Howard
Street, Fifth Floor, Baltimore, MD 21201-2505, 410-962-2520, Office
Hours: 8:00 AM-4:30 PM
Pennsylvania State Office, The Wanamaker Building, 100 Penn Square
East, Philadelphia, PA 19107-3380, 215-656-0600, Office Hours: 8:00
AM-4:30 PM
Pittsburgh Area Office, 339 Sixth Avenue, Sixth Floor, Pittsburgh,
PA 15222-2515, 412-644-6428, Office Hours: 8:00 AM-4:30 PM
Virginia State Office, The 3600 Centre, 3600 West Broad Street,
Richmond, VA 23230-4920, 804-278-4539, Office Hours: 8:00 AM-4:30 PM
West Virginia State Office, 405 Capitol Street, Suite 708,
Charleston, WV 25301-1795, 304-347-7000, Office Hours: 8:00 AM-4:30
PM
Southeast/Caribbean
Alabama State Office, Beacon Ridge Tower, 600 Beacon Parkway West,
Suite 300, Birmingham, AL 35209-3144, 205-290-7617, Office Hours:
8:00 AM-4:30 PM
Caribbean Office, New San Juan Office Building, 159 Carlos E.
Chardon Avenue, San Juan, PR 00918-1804, 787-766-5201, Office,
Hours: 8:00 AM-4:30 PM
Florida State Office, 909 Southeast First Avenue, Rm. 500, Miami, FL
33131, 305-536-4421, Office Hours: 8:30 AM-5 PM
Georgia State Office, Richard B. Russell Federal Building, 75 Spring
Street, S.W., Atlanta, GA 30303-3388, 404-331-5136, Office Hours:
8:00 AM-4:30 PM
Jacksonville Area Office, Southern Bell Tower, 301 West Bay Street,
Suite 2200, Jacksonville, FL 32202-5121, 904-232-2627, Office Hours:
8:00 AM-4:30 PM
Kentucky State Office, 601 West Broadway, P.O. Box 1044, Louisville,
KY 40201-1044, 502-582-5251, Office Hours: 8:00 AM-4:45 PM
Knoxville Area Office, John J. Duncan Federal Building, 710 Locust
Street, 3rd Floor, Knoxville, TN 37902-2526, 423-545-4384, Office
Hours: 7:30 AM-4:15 PM
Memphis Area Office, One Memphis Place, 200 Jefferson Avenue, Suite
1200, Memphis, TN 38103-2335, 901-544-3367, Office Hours: 8:00 AM-
4:30 PM
Mississippi State Office, Doctor A. H. McCoy Federal Building, 100
West Capital Street, Room 910, Jackson, MS 39269-1096, 601-965-4738,
Office Hours: 8:00 AM-4:45 PM
North Carolina State Office, Koger Building, 2306 West Meadowview
Road, Greensboro, NC 27401-3707, 910-547-4000, Office Hours: 8:00
AM-4:45 PM
Orlando Area Office, Langley Building, 3751 Maguire Blvd, Suite 270,
Orlando, FL 32803-3032, 407-648-6441, Office Hours: 8:00 AM-4:30 PM
South Carolina State Office, Strom Thurmond Federal Building, 1835
Assembly Street, Columbia, SC 29201-2480, 803-765-5592, Office
Hours: 8:00 AM-4:45 PM
Tampa Area Office, Timberlake Federal Building Annex, 501 East Polk
Street, Suite 700, Tampa, FL 33602-3945, 813-228-2501, Office Hours:
8:00 AM-4:30 PM
Tennessee State Office, 251 Cumberland Bend Drive, Suite 200,
Nashville, TN 37228-1803, 615-736-5213, Office Hours: 8:00 AM-4:30
PM
Midwest
Cincinnati Area Office, 525 Vine Street, 7th Floor, Cincinnati, OH
45202-3188, 513-684-3451, Office Hours: 8:00 AM-4:45 PM
Cleveland Area Office, Renaissance Building, 1350 Euclid Avenue,
Suite 500, Cleveland, OH 44115-1815, 216-522-4065, Office Hours:
8:00 AM-4:40 PM
Flint Area Office, The Federal Building, 605 North Saginaw, Suite
200, Flint, MI 48502-2043, 810-766-5108, Office Hours: 8:00 AM-4:30
PM
Grand Rapids Area Office, Trade Center Building, 50 Louis Street,
NW, 3rd Floor, Grand Rapids, MI 49503-2648, 616-456-2100, Office
Hours: 8:00 AM-4:30 PM
Illinois State Office, Ralph H. Metcalfe Federal Building, 77 West
Jackson Blvd, Chicago, IL 60604-3507, 312-353-5680, Office Hours:
8:15 AM-4:45 PM
Springfield Area Office, 320 W. Washington Street, Springfield, IL
62701, 217-492-4120, Office Hours: 8:15 AM-4:45 pm
Indiana State Office, 151 North Delaware Street, Indianapolis, IN
46204-2526, 317-226-6303, Office Hours: 8:00 AM-4:45 PM
Michigan State Office, Patrick V. McNamara Federal Building, 477
Michigan Avenue, Detroit, MI 48226-2592, 313-226-7900, Office Hours:
8:00 AM-4:30 PM
Minnesota State Office, 220 Second St., South, Minneapolis, MN
55401-2195, 612-370-3000, Office Hours: 8:00 AM-4:30 PM
Ohio State Office, 200 North High Street, Columbus, OH 43215-2499,
614-469-5737, Office Hours: 8:00 AM-4:45 PM
Wisconsin State Office, Henry S. Reuss Federal Plaza, 310 West
Wisconsin Avenue, Suite 1380, Milwaukee, WI 53203-2289, 414-297-
3214, Office Hours: 8:00 AM-4:30 PM
Southwest
Arkansas State Office, TCBY Tower, 425 West Capitol Avenue, Suite
900, Little Rock, AR 72201-3488, 501-324-5931, Office Hours: 8:00
AM-4:30 PM
Dallas Area Office, Maceo Smith Federal Building, 525 Griffin
Street, Room 860, Dallas, TX 75202-5007, 214-767-8359, Office Hours:
8:00 AM-4:30 PM
Houston Area Office, Norfolk Tower, 2211 Norfolk, Suite 200,
Houston, TX 77098-4096, 713-313-2274, Office Hours: 7:45 AM-4:30 PM
Louisiana State Office, Hale Boggs Federal Building, 501 Magazine
Street, 9th Floor, New Orleans, LA 70130-3099, 504-589-7201, Office
Hours: 8:00 AM-4:30 PM
Lubbock Area Office, George H. Mahon Federal Building and United
States Courthouse, 1205 Texas Avenue, Lubbock, TX 79401-4093, 806-
472-7265, Office Hours: 8:00 AM-4:45 PM
New Mexico State Office, 625 Silver Avenue S.W., Suite 100,
Albuquerque, NM 87102, 505-346-6463, Office Hours: 8:00 A.M.-5:00 PM
Oklahoma State Office, 500 West Main Street, Suite 400, Oklahoma
City, OK 73102, 405-553-7401, Office Hours: 8:00 AM-4:30 PM
San Antonio Area Office, Washington Square, 800 Dolorosa Street, San
Antonio, TX 78207-4563, 210-472-6800, Office Hours: 8:00 AM-4:30 PM
Shreveport Area Office, 401 Edwards Street, Suite 1510, Shreveport,
LA 71101-3289, 318-676-3385, Office Hours: 7:45 AM-4:30 PM
Texas State Office, 1600 Throckmorton Street, P.O. Box 2905, Fort
Worth, TX 76113-2905, 817-978-9000, Office Hours: 8:00 AM-4:30 PM
[[Page 9881]]
Tulsa Area Office, 50 East 15th Street, Tulsa, OK 74119-4030, 918-
581-7434, Office Hours: 8:00 AM-4:30 PM
Great Plains
Iowa State Office, Federal Building, 210 Walnut Street, Room 239,
Des Moines, IA 50309-2155, 515-284-4512, Office Hours: 8:00 AM-4:30
PM
Kansas/Missouri State Office, Gateway Tower II, 400 State Avenue,
Kansas City, KS 66101-2406, 913-551-5462, Office Hours: 8:00 AM-4:30
PM
Nebraska State Office, Executive Tower Centre, 10909 Mill Valley
Road, Omaha, NE 68154-3955, 402-492-3100, Office Hours: 8:00 AM-4:30
PM
St. Louis Area Office, Robert A. Young Federal Building, 1222 Spruce
Street, 3rd Floor, St. Louis, MO 63103-2836, 314-539-6583, Office
Hours: 8:00 AM-4:30 PM
Rocky Mountains
Colorado State Office, 633--17th Street, 14th Floor, Denver, CO
80202-3607, 303-672-5440, Office Hours: 8:00 AM-4:30 PM
Montana State Office, Federal Office Building, 301 South Park, Room
340, Drawer 10095, Helena, MT 59626-0095, 406-441-1298, Office
Hours: 8:00 AM-4:30 PM
North Dakota State Office, Federal Building, P.O. Box 2483, 657
Second Avenue North, Rm 366, Fargo, ND 58108-2483, 701-239-5136,
Office Hours: 8:00 AM-4:30 PM
South Dakota State Office, 2400 West 49th Street, Suite I-201, Sioux
Falls, SD 57105-6558, 605-330-4223, Office Hours: 8:00 AM-4:30 PM
Utah State Office, 257 Tower Building, 257 East--200 South, Suite
550, Salt Lake City, UT 84111-2048, 801-524-3323, Office Hours: 8:00
AM-4:30 PM
Wyoming State Office, Federal Office Building, 100 East B Street,
Room 4229, Casper, WY 82601-1918, 307-261-6250, Office Hours: 8:00
AM-4:30 PM
Pacific/Hawaii
Arizona State Office, Two Arizona Center, 400 North 5th Street,
Suite 1600, Phoenix, AZ 85004, 602-379-4434, Office Hours: 8:00 AM-
4:30 PM
California State Office, Philip Burton Federal Building and U.S.
Courthouse, 450 Golden Gate Avenue, San Francisco, CA 94102-3448,
415-436-6550, Office Hours: 8:15 AM-4:45 PM
Fresno Area Office, 2135 Fresno Street, Suite 100, Fresno, CA 93721-
1718, 209-487-5033, Office Hours: 8:00 AM-4:30 PM
Hawaii State Office, Seven Waterfront Plaza, 500 Ala Moana
Boulevard, Suite 500, Honolulu, HI 96813-4918, 808-522-8175, Office
Hours: 8:00 AM-4:00 PM
Los Angeles Area Office, 611 West 6th Street, Suite 800, Los
Angeles, CA 90017-3127, 213-894-8000, Office Hours: 8:00 AM-4:30 PM
Nevada State Office, 333 North Rancho Drive, Suite 700, Las Vegas,
NV 89106-3714, 702-388-6525, Office Hours: 8:00 AM-4:30 PM
Reno Area Office, 3702 South Virginia Ave, Suite G-2, Reno, NV
89502, 702-784-5356, Office Hours: 8:00 AM-4:30 PM
Sacramento Area Office, 925 L Street, Sacramento, CA 95814-1997,
916-498-5220, Office Hours: 8:00 AM-4:30 PM
San Diego Area Office, Mission City Corporate Center, 2365 Northside
Drive, Suite 300, San Diego, CA 92108-2712, 619-557-5310, Office
Hours: 8:00 AM-4:30 PM
Santa Ana Area Office, 1600 Broadway, Suite 100, Santa Ana, CA
92706-3927, 1-888-827-5605, 714-796-1200, Office Hours: 8:00 AM-4:30
PM
Tucson Area Office, Security Pacific Bank Plaza, 33 North Stone
Avenue, Suite 700, Tucson, AZ 85701-1467, 520-670-6237, Office
Hours: 8:00 AM-4:30 PM
Northwest/Alaska
Alaska State Office, University Plaza Building, 949 East 36th
Avenue, Suite 401, Anchorage, AK 99508-4399, 907-271-4170, Office
Hours: 8:00 AM-4:30 PM
Idaho State Office, Plaza IV, 800 Park Boulevard, Suite 220, Boise,
ID 83712-7743, 208-334-1990, Office Hours: 8:00 AM-4:30 PM
Oregon State Office, 400 Southwest Sixth Avenue, Suite 700,
Portland, OR 97204-1632, 503-326-2561, Office Hours: 8:00 AM-4:30 PM
Spokane Area Office, US Courthouse Bldg., 920 W. Riverside, Suite
588, Spokane, WA 99201-1010, 509-353-0674, Office Hours: 8:00 AM-
4:30 PM
Washington State Office, Seattle Federal Office Building, 909 1st
Avenue, Suite 200, Seattle, WA 98104-1000, 206-220-5101, Office
Hours: 8:00 AM-4:30 PM
[FR Doc. 99-4476 Filed 2-25-99; 8:45 am]
BILLING CODE 4210-32-P
