[Federal Register Volume 63, Number 61 (Tuesday, March 31, 1998)]
[Notices]
[Pages 15490-15620]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-8102]
[[Page 15489]]
_______________________________________________________________________
Part II
Department of Housing and Urban Development
_______________________________________________________________________
Super Notice of Funding Availability (SuperNOFA) for Housing and
Community Development Programs; Notice
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
[[Page 15490]]
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4340-N-01]
Super Notice of Funding Availability (SuperNOFA) for Housing and
Community Development Programs
AGENCY: Office of the Secretary, HUD.
ACTION: Super Notice of Funding Availability (SuperNOFA) for Housing
and Community Development Programs.
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SUMMARY: This Super NOFA of Funding Availability (SuperNOFA) announces
the availability of approximately $1,247,906,870 in HUD program funds
covering nineteen (19) Housing and Community Development Programs
operated and managed by the following HUD Offices: Community Planning
and Development (CPD), Public and Indian Housing (PIH), Housing, Policy
Development and Research (PD&R), Office of Lead Hazard Control, and
Fair Housing and Equal Opportunity (FHEO). The General Section of this
SuperNOFA contains the procedures and requirements applicable to all 19
programs. The applications for funding for these programs have been
consolidated into 6 applications. The Programs Section of this
SuperNOFA contains a description of the specific programs for which
funding is made available under this SuperNOFA and additional
procedures and requirements that are applicable to each.
APPLICATION DUE DATES: The information contained in this ``APPLICATION
DUE DATES'' section applies to all programs contained in this
SuperNOFA. Completed applications must be submitted to HUD no later
than the deadline established for the program for which you are seeking
funding. Applications may not be sent by facsimile (FAX). See the
Program Chart for specific application due dates.
ADDRESSES AND APPLICATION SUBMISSION PROCEDURES: Addresses. Completed
applications must be submitted to the location specified in the
Programs Section of this SuperNOFA. When submitting your application,
please refer to the program name for which you are seeking funding.
For Applications to HUD Headquarters. Applications to be submitted
to HUD Headquarters are due at: Department of Housing and Urban
Development, 451 Seventh Street, SW, Room ________ (See Program Chart
or Programs Section for room location), Washington DC 20410.
For Applications to HUD Field Offices. For those programs for which
applications are due to the HUD Field Offices, please see the Programs
Section for the exact locations for submission.
Applications Procedures. Mailed Applications. Applications will be
considered timely filed if 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. Applications
sent by overnight delivery or express mail will be considered timely
filed if received before or on the application due date, or upon
submission of documentary evidence that they were placed in transit
with the overnight delivery service by no later than the specified
application due date.
Hand Carried Applications. For applications submitted to HUD
Headquarters, hand carried applications delivered before and on the
application due date must be brought to the specified location 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, local time. Applications due
to HUD Field Office locations must be delivered to the appropriate HUD
Field Office in accordance with the instructions specified in the
Programs Section of the SuperNOFA.
For applications submitted to the HUD Field Offices, hand carried
applications will be accepted 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 to this SuperNOFA
listing the hours of operations for the HUD Field Offices.)
COPIES OF APPLICATIONS TO HUD OFFICES: The Programs Section of this
SuperNOFA may specify that to facilitate processing and review of your
submission a copy of the application also 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 requirements of the Programs Section
to ensure that you submit your application to the proper location. HUD
requests additional copies in order to expeditiously review your
application and appreciates your assistance in providing the copies.
Please note that for those applications for which copies are being
submitted to the Field Offices and HUD Headquarters, timeliness of
submission will be based on the time the application is received at HUD
Headquarters.
FOR APPLICATION KITS, FURTHER INFORMATION AND TECHNICAL ASSISTANCE: The
information contained in this section is applicable to all programs
contained in this SuperNOFA.
For Application Kits and SuperNOFA User Guide. HUD is pleased to
provide you with application kits and/or a guidebook to all HUD
programs. When requesting an application kit, please refer to the
program name 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).
Requests for application kits should be made immediately to ensure
sufficient time for application preparation. We will distribute
application kits as soon as they become available.
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.
Consolidated Application Submissions. Where an applicant can apply
for funding under more than one program in this SuperNOFA, the
applicant need only submit one originally signed SF-424 and one set of
original signatures for the other required assurances and
certifications, accompanied by the matrix contained in each application
kit. As long as the applicant submits one originally signed set of
these documents with an application, only copies of these documents may
be submitted with any additional application submitted by the
applicant.
For Further Information. For answers to your questions about this
SuperNOFA, you have several options. You may call the HUD Office or
Processing Center serving your area at the telephone number listed in
your program area section to this SuperNOFA, or you may contact the
SuperNOFA Information Center at 1-800-HUD-8929. Persons with hearing or
speech impairment may call the Center's TTY number at 1-800-483-2209.
Information on this SuperNOFA also may be obtained 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 general guidance
[[Page 15491]]
and technical assistance about this SuperNOFA. Current law does not
permit HUD staff to assist in preparing the application. Following
selection of applicants, but prior to award, HUD staff will be
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.
Introduction to the SuperNOFA Process
To further HUD's objective, under the direction of Secretary Andrew
Cuomo, of improving customer service and providing the necessary tools
for revitalizing communities and improving the lives of people within
those communities, HUD will publish three SuperNOFAs in 1998, which
coordinate program funding for 39 programs and cut across traditional
program lines.
(1) The first is this SuperNOFA and consolidated application
process for Housing and Community Development Programs, published in
today's Federal Register, covering 19 Housing and Community Development
Programs.
(2) The second is the SuperNOFA and consolidated application
process for Economic Development and Empowerment Programs. This second
SuperNOFA includes funding for the following programs and initiatives:
Brownfields; Youthbuild; Economic Development Initiative; Neighborhood
Initiatives; Tenant Opportunity Program, Economic Development and
Supportive Services; and the Section 8 Family Self-Sufficiency Service
Coordinators.
(3) The third is the SuperNOFA and consolidated application process
for Targeted Housing and Homeless Assistance Programs. This third
SuperNOFA includes the following programs and initiatives: Housing
Opportunities for Persons with AIDS; Continuum of Care Assistance;
Section 202 Elderly Housing; Section 811 Disabled Housing; Service
Coordinators; Section 8 Designated Housing; Section 8 Mainstream
Housing Opportunities; Family Unification; and Elderly Housing
Revitalization.
All three SuperNOFAs and consolidated applications, to the greatest
extent possible, given statutory, regulatory and program policy
distinctions, will have one set of rules that, together, offer a
``menu'' of approximately 39 programs. From this menu, communities will
be made aware of funding available for their jurisdictions. Nonprofits,
public housing agencies, local and State governments, tribal
governments and tribally designated housing entities, veterans service
organizations, faith-based organizations and others will be able to
identify the programs for which they are eligible for funding. HUD is
anticipating publishing all three SuperNOFAs before May 1, 1998.
The National Competition NOFA. In addition to the three SuperNOFAs,
HUD also will publish a single NOFA for three national competitions:
the Fair Housing Initiatives Program National Competition; the Lead-
Based Paint Hazard Control National Competition; and the Housing
Counseling National Competition. HUD also anticipates publishing this
national competition NOFA before May 1, 1998.
The Housing and Community Development SuperNOFA. This first
SuperNOFA announces the availability of approximately $1,247,906,870 in
HUD program funds covering nineteen (19) Housing and Community
Development Programs operated and managed by the following HUD Offices:
Community Planning and Development (CPD), Public and Indian Housing
(PIH), Housing, Policy Development and Research (PD&R), Office of Lead
Hazard Control, and Fair Housing and Equal Opportunity (FHEO).
Assisting Communities To Make Better Use of Available Resources
This first SuperNOFA represents a marked departure from, and HUD
believes a significant improvement over, HUD's past approach to the
funding process. In the past, HUD has issued as many as 40 separate
NOFAs, all with widely varying rules and application processing
requirements. This individual program approach to funding, with NOFAs
published at various times throughout the fiscal year, did not
encourage and, at times, unintentionally impeded local efforts directed
at comprehensive planning and development of comprehensive local
solutions. Additionally, the old approach seemed to require communities
to respond to HUD's needs rather than HUD responding to local needs.
Secretary Cuomo brings 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.
The SuperNOFA approach builds upon Consolidated Planning
implemented by the Secretary Cuomo in HUD's community development
programs, and also reflects the Secretary's organizational changes for
HUD, as described in the Secretary's management reform plan. On June
26, 1997, Secretary Cuomo released the HUD 2020 Management Reform Plan,
which provides for significant management reforms at HUD. This plan
calls for significant consolidation of like programs to maximize
efficiency and dramatically improve customer service. The plan also
calls for HUD to improve customer service by adopting a principle of
``menus not mandates.''
By announcing the funding of these nineteen programs in one NOFA,
HUD hopes to assist communities in making better use of available
resources to address their needs and the needs of those living within
the communities in a holistic and effective fashion. These funds are
available for eligible applicants to support individual program
objectives, as well as cross-cutting and coordinated approaches to
improving the overall effective use of available HUD program funds.
To date, HUD has been consolidating and simplifying the submission
requirements of many of its formula grant and discretionary grant
programs to offer local communities a better opportunity to shape
available resources into effective and coordinated neighborhood housing
and community development strategies that will help revitalize and
strengthen their communities, physically, socially and economically. To
complement this overall consolidation and simplification effort, HUD
designed this process to increase the ability of applicants to consider
and apply for funding under a wide variety of HUD programs in response
to a single NOFA. Everyone interested in HUD's housing and community
development assistance programs can benefit from having this
information made available in one NOFA.
Coordination, Flexibility, and Simplicity in the HUD Funding Process
This 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 eligible applicants to determine what HUD program
resources best fit the community's needs, as identified in local
Consolidated Plans
[[Page 15492]]
and Analysis of Impediments to Fair Housing Choice (``Analysis of
Impediments'' (AI)).
This SuperNOFA will simplify the application process; promote
effective and coordinated use of program funds in communities; reduce
duplication in the delivery of services and housing and community
development programs; allow interested 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.
HUD 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, and 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 for which funding is available
under this NOFA. HUD programs that provide assistance for similar
activities, e.g., technical assistance, drug elimination, modernization
and revitalization, have a consolidated application that reduces the
administrative and paperwork burden applicants may otherwise encounter
in submitting an 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.
The funding of these nineteen programs through this SuperNOFA will
not affect the ability of eligible applicants to seek HUD funding.
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 each of the
nineteen separate programs continue to apply to each programs. The
SuperNOFA reflects, 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 nineteen programs identified
in this SuperNOFA.
The SuperNOFA contains two major sections. The General Section of
the SuperNOFA contains the procedures and requirements applicable to
all applications. The Programs Section of the SuperNOFA describes each
program for which funding is made available in the NOFA. As in the
past, each program provides a description of eligible applicants,
eligible activities, factors for awards, 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. This 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 nineteen programs for which funding availability is announced
in this SuperNOFA are identified in the following chart. The
approximate available funds for each program are listed as expected
funding levels based on appropriated funds. Should recaptured 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.
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Funding
Program name available Due date Submission location and room
----------------------------------------------------------------------------------------------------------------
Community Development Technical Assistance $82,395,140 6-24-98 HUD Headquarters Processing and
Programs. Control Branch, Room 7251 and
copies to appropriate CPD Field
Offices.
Community Development Block Grant (CDBG) 5,000,000
Technical Assistance.
CFDA No.: 14.227
OMB Approval No.: pending
Community Housing Development Organization 42,000,000
(CHDO) Technical Assistance.
CFDA No: 14.239
OMB Approval No.: pending
HOME Technical Assistance................. 31,000,000
CFDA No: 14.239
OMB Approval No.: pending
Supportive Housing Program (SHP) Technical 4,395,140
Assistance.
CFDA No.: 14.235
OMB Approval No.: pending
University and College Programs............... 13,500,000 7-8-98 HUD Headquarters, Processing and
Control Branch, Room 7251, and
Appropriate Field Offices where
noted in Programs Section.
Community Outreach Partnership Centers 7,000,000
(COPCs).
CFDA No.: 14.511
OMB Approval No.: 2528-0180
Historically Black Colleges and 6,500,000
Universities (HBCUs) Program.
CFDA No.: 14.237
OMB Approval No.: 2506-0122
Fair Housing Initiatives and Assisted Housing 29,500,000 6-1-98 HUD Headquarters Room 5234,
Counseling Programs. except if only applying for
Assisted Housing Counseling.
Education and Outreach Initiative (EOI)... 1,000,000
[[Page 15493]]
CFDA No.: 14.409
OMB Approval No.: 2529-0033
Private Enforcement Initiative (PEI)...... 9,300,000
CFDA No.: 14.410
OMB Approval No.: 2529-0033
Fair Housing Organizations Initiative 1,200,000
(FHOI).
CFDA No.: 14.413
OMB Approval No.: 2529-0033
Housing Counseling Program................ 18,000,000 .............. Appropriate HUD Field Office.
Local Housing Counseling Agencies
($5,000,000)
National, Regional and Multi-
State Intermediaries ($6,000,000)
State Housing Finance Agencies
($7,000,000)
CFDA No.: 14.169
OMB Approval No: 2502-0261
Lead-Based Paint Hazard Control Program....... 50,000,000 6-1-98 Postal Service: HUD
Headquarters, Office of Lead
Hazard Control, Room B-133
Courier Service or Hand
Carried: HUD Office of Lead
Hazard Control, 490 East
L'Enfant Plaza, S.W., Suite
3206, Washington, DC 20024.
CFDA No.: 14.900
OMB Approval No.: 2539-0005
Modernization and Revitalization Programs..... 745,762,796 6-29-98 HUD Headquarters, Room 4138, and
copies to appropriate Local HUD
Field Office, where noted in
the Programs Section.
Comprehensive Improvement Assistance 304,000,000
Program (CIAP).
CFDA No.: 14.852
OMB Approval No.: 2577-0044
HOPE VI Public Housing Revitalization..... 441,762,796
CFDA No.: 14.866
OMB Approval No.: 2577-0208
Drug Elimination in Public and Assisted 326,748,934 6-15-98 Appropriate local Field Office
Housing Programs. except if only applying for
Drug Elimination TA.
Public Housing Drug Elimination Program *288,498,934
(Including Youth Sports Eligible
Activities).
CFDA No.: 14.854
OMB Approval No.: 2577-0124
Public Housing Drug Elimination Program-- 20,000,000
New Approaches (Formerly Safe
Neighborhood Grant).
CFDA No.: 14.854
OMB Control No.: 2577-0124
Drug Elimination Grants for Multifamily 16,250,000
Low Income Housing.
CFDA No.: 14.193
OMB Approval No.: 2502-0476
Public Housing Drug Elimination Program- 2,000,000 HUD Headquarters, Room 4112.
Technical Assistance.
CFDA No.: 14.854
OMB Approval No: 2577-0124
----------------------------------------------------------------------------------------------------------------
*This amount includes $44,935,934 in FY 97 funds for applicants not funded in 1997.
Paperwork Reduction Act Statement. For those programs listed in the
chart above which have OMB approval numbers, the information collection
requirements contained in this SuperNOFA for those programs have been
approved by the Office of Management and Budget (OMB) in accordance
with the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). For
those programs listed in the chart for which an OMB approval number is
pending, the approval number when received will be announced by HUD in
the Federal Register. 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; Purpose; Amount Allocated; Eligible Applicants and
Eligible Activities
(A) Authorities
The authority for Fiscal Year 1998 funding availability under this
SuperNOFA is the Department of Veterans Affairs and Housing and Urban
Development and Independent Agencies Appropriations Act, 1998 (Pub. L.
105-65, approved October 27, 1997) (FY 1998 HUD Appropriations Act).
Where applicable, additional authority for each program in this
SuperNOFA is identified in the Programs Section.
(B) Purpose
The purpose of this SuperNOFA is to:
(1) Make funding available through a variety of programs to empower
communities and their residents, particularly the poor and
disadvantaged, to develop viable communities, provide decent housing
and a suitable living environment for all citizens, without
discrimination in order to improve themselves both as individuals and
as a community.
[[Page 15494]]
(2) Simplify and streamline the application process for funding
under HUD programs. By making available to State and local governments,
public housing agencies, tribal governments, non-profit organizations
and others, the application requirements for HUD housing and community
development programs in one NOFA, HUD hopes that the result will be a
less time consuming and less complicated application process. This new
process also allows an applicant to submit one application for funds
for several programs. Except where statutory or regulatory requirements
or program policy mandate differences, the SuperNOFA strives to provide
for one set of rules, standardized rating factors, and uniform and
consolidated application procedures.
(3) Enhance the ability of applicants to make more effective and
efficient use of housing and community development funding when
addressing community needs and implementing coordinated housing and
community development strategies established in local Consolidated
Plans, which is the single application for HUD housing and community
development and other formula funds submitted by the local or State
government. Through this SuperNOFA process, applicants are encouraged
to: (i) create opportunities for strategic planning and citizen
participation in a comprehensive context at the local level in order to
establish a full continuum of housing and services; and (ii) promote
methods for developing more coordinated and effective approaches to
dealing with urban, suburban, and rural problems by recognizing the
interconnections among the underlying problems and ways to address them
through layering of available HUD programs;
(4) Promote the ability of eligible non-profit organizations to
participate in many of the programs contained in this SuperNOFA;
provide an increased opportunity to assist communities in maintaining,
rehabilitating, and constructing affordable housing for low and
moderate income families; improve the quality of life for residents of
public housing; develop and implement programs which promote fair
housing practices and open housing opportunities within a community or
geographic area; and provide technical assistance and services to
improve program results and increase the productivity of HUD programs
in meeting community needs; and
(5) Recognize and make better use of the expertise that each of the
programs, and organizations eligible for funding under this SuperNOFA,
can contribute when developing and implementing local housing and
community development plans, the Consolidated Plan, and the HUD
required Analysis of Impediments to Fair Housing Choice.
(C) Amounts Allocated
The amounts allocated to specific programs in this SuperNOFA are
based on appropriated funds. Should recaptured funds become available
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 eligible applicants and eligible activities for each program
are identified and described for the program in the Programs Section of
the SuperNOFA.
II. Requirements and Procedures Applicable to All Programs
Except as may be modified in the Programs Section of this Super
NOFA, or as noted within the specific provisions of this Section II,
the following principles apply to all programs. Please be sure to read
the program area section of the SuperNOFA for additional requirements
or information.
(A) Statutory Requirements
All applicants must meet and comply with all statutory and
regulatory requirements applicable to the program for which they are
seeking funding in order to be awarded funds. Copies of the regulations
are available from the SuperNOFA Information Center or through the
Internet at http://www.HUD.gov. HUD may reject an application from
further funding consideration if the activities or projects proposed
are ineligible, or 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
All applicants, with the exception of Federally recognized Indian
tribes, must comply with all Fair Housing and civil rights laws,
statutes, regulations and executive orders as enumerated in 24 CFR
Sec. 5.105(a). Federally recognized Indian tribes must comply with the
Age Discrimination Act of 1975, Section 504 of the Rehabilitation Act
of 1973, and the Indian Civil Rights Act. If an applicant (1) has been
charged with a violation of the Fair Housing Act by the Secretary; (2)
is the defendant in a Fair Housing Act lawsuit filed by the Department
of Justice; or (3) has received a letter of noncompliance findings
under Title VI of the Civil Rights Act, Section 504 of the
Rehabilitation Act, or Section 109 of the Housing and Community
Development Act, the applicant is not eligible to apply for funding
under this SuperNOFA until the applicant resolves such charge, lawsuit,
or letter of findings to the satisfaction of the Department.
(C) Additional Nondiscrimination Requirements
Applicants 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, each successful applicant will have a duty to affirmatively
further fair housing. Applicants should include in their work plans the
specific steps that they 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, applicants have a duty to carry out the
specific activities cited in their responses to the rating factors that
address affirmatively furthering fair housing in the Programs Section
of this SuperNOFA.
(E) Economic Opportunities for Low and Very Low-Income Persons (Section
3)
Certain programs in this SuperNOFA require recipients of HUD
assistance to comply with section 3 of the Housing and Urban
Development Act of 1968, 12 U.S.C. Sec. 1701u (Economic Opportunities
for Lower Income Persons in Connection with Assisted Projects), and the
HUD regulations at 24 CFR part 135, including the reporting
requirements in subpart E. Section 3 provides that recipients shall
ensure that training, employment and other economic opportunities, to
the greatest extent feasible, 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. Section 3 is
applicable to the following programs in this SuperNOFA: HOPE VI
Revitalization; CIAP; and Lead-Based Paint Hazard Reduction, and may be
applicable to certain activities of other programs of this SuperNOFA.
[[Page 15495]]
(F) Relocation
Any person (including individuals, partnerships, corporations or
associations) who moves from real property or moves personal property
from real property as a direct result of a written notice to acquire or
the acquisition of the real property, in whole or in part, for a HUD-
assisted activity is covered by 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. Any
person who moves permanently from real property or moves personal
property from real property as a direct result of rehabilitation or
demolition for an activity undertaken with HUD assistance is covered by
the relocation requirements of the URA and the governmentwide
regulation.
(G) Forms, Certifications and Assurances
Each applicant is required to submit signed copies of the standard
forms, certifications, and assurances, listed in this section, unless
the program funding in the Programs Section specifies otherwise.
Additionally, the Programs Section may specify additional forms,
certifications or assurances that may be required for particular
program in this SuperNOFA.
(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 (THDEs) 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 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
The policies, guidances, and requirements of OMB Circular No. 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) 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 1998 HUD Appropriations Act, other Federal
statutes or the provisions of this 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
For programs under this SuperNOFA that assist physical development
activities or property acquisition, grantees are generally prohibited
from acquiring, rehabilitating, converting, leasing, repairing or
constructing property, or committing or expending HUD or non-HUD funds
for these 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.
Applicants should consult the Programs Section for the applicable
program to determine the procedures for, timing of, and any exclusions
from environmental review under a particular program.
III. Application Selection Process
(A) General
To review and rate applications, HUD may establish panels including
persons not currently employed by HUD to obtain certain expertise and
outside points of view, including views from other Federal agencies.
(1) Rating. All applications for funding in each program listed in
this SuperNOFA will be evaluated and rated against the criteria in this
SuperNOFA. The rating of the ``applicant'' or the ``applicant's
organization and staff'' for technical merit or threshold compliance,
unless otherwise specified, will include any sub-contractors,
consultants, sub-recipients, and members of consortia which are firmly
committed to the project.
(2) Ranking. Applicants will be ranked within each program.
Applicants will be ranked only against others that applied for the same
program funding and where there are set-asides within the competition,
the applicant would only compete against applicants in the same set-
aside competition.
(B) Threshold Requirements
HUD will review each application to determine whether the
application meets all of the threshold criteria described for program
funding made available under this SuperNOFA. Applications that meet all
of the threshold criteria will be eligible to be rated and ranked,
based on the criteria described, and the total number of points to be
awarded.
(C) Factors For Award Used To Evaluate and Rate Applications
For all of the programs for which funding is available under this
SuperNOFA, the points awarded for the factors total 100. The maximum
number of points to be awarded, however, total 102. The SuperNOFA
provides for two bonus points.
(1) Bonus Points. The SuperNOFA provides for the award of two bonus
points for eligible activities/projects that are proposed to be located
in federally designated Empowerment Zones, Enterprise Communities,
Enterprise Communities, or Urban Enhanced Enterprise Communities, and
serve the EZ/EC residents, and are certified to be consistent with the
strategic plan of the EZs and ECs. The application kit contains a
certification which must be
[[Page 15496]]
completed for the applicant to be considered for EZ/EC bonus points. A
listing of the federally designated EZs, EZs, Enhanced ECs are
available from the SuperNOFA Information Center, or through the HUD web
site on the Internet at http://www.HUD.gov.
(2) The Five Standard Rating Factors. The factors for rating and
ranking applicants are listed in this Section III(c)(2) and maximum
points for each factor, are provided in the Programs Section of the
SuperNOFA. Each applicant should carefully read the factors for award
as described in the program area section that they are seeking funding.
While HUD has established the following basic factors for award, these
may have been modified or adjusted to take into account specific
program needs, or statutory or regulatory limitations imposed on a
program. The standard 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
(D) Negotiation
After all applications have been rated and ranked and a selection
has been made, in several programs, HUD requires 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 or a selected applicant fails to provide HUD with
requested information, awards will not be made. In such instances, 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
HUD reserves the right to fund less than the full amount requested
in any application to ensure the fair distribution of the funds and to
ensure the purposes of the programs contained in this SuperNOFA are
met. HUD may choose not to fund portions of the applications that are
ineligible for funding under applicable program statutory or regulatory
requirements, or which do not meet the requirements of this General
Section of this SuperNOFA or the requirements in the Programs Section
for the specific program, and fund eligible portions of the
applications.
If funds remain after funding the highest ranking applications, HUD
may fund part of the next highest ranking application in a given
program area. If the applicant turns 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 area where
there is a balance of funds.
Additionally, in the event of a HUD procedural 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
Performance and compliance actions of grantees will be measured and
addressed in accordance with applicable standards and sanctions of
their respective programs.
IV. Application Submission Requirements
As discussed earlier in the introductory section of this SuperNOFA,
part of the simplification of this funding process, is to reduce the
duplication effort involved in completing and submitting similar
applications for HUD funded programs. As the Program Chart shows above,
this SuperNOFA provides 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 24 CFR
part 4, subpart B, consider unsolicited information from an applicant.
HUD may contact an applicant, however, to clarify an item in the
application or to correct technical deficiencies. Applicants should
note, however, that HUD may not seek clarification of items or
responses that improve the substantive quality of the applicant's
response to any eligibility or selection criterion. Examples of curable
technical deficiencies include failure to submit the proper
certifications or failure to submit an application containing an
original signature by an authorized official. In each case, HUD will
notify the applicant in writing by describing the clarification or
technical deficiency. HUD will notify applicants by facsimile or by
return receipt requested. Applicants 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 the deficiency is not corrected
within this time period, HUD will reject the application as incomplete.
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 HUD's Housing and Community
program funding available in one NOFA, 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. A complete schedule of NOFAs to
be published during the fiscal year and those already published appears
under the HUD Homepage on the Internet, which can be accessed at http:/
/www.hud.gov/nofas.html.
(B) Linking Program Activities With AmeriCorps
Applicants are encouraged to link their 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, applicants 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 does 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
[[Page 15497]]
Federal Accessibility Standards 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 Office of Fair Housing and
Equal Opportunity, 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
Applicants for funding under this SuperNOFA 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. Applicants are
required to certify, using the certification found at Appendix A to 24
CFR part 87, that they will not, and have not, used appropriated funds
for any prohibited lobbying activities. In addition, applicants 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 (THDEs)
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 15.
(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
[[Page 15498]]
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 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 1998 SuperNOFA Process and Future HUD Funding Processes
In FY 1997, Secretary Cuomo took the first step at changing HUD's
funding process to better promote comprehensive, coordinated approaches
to housing and community development. In FY 1997, the Department
published related NOFAs on the same day or within a few days of each
other. In the individual NOFAs published in FY 1997, HUD advised that
additional steps on NOFA coordination may be considered for FY 1998.
The three SuperNOFAs to be published for FY 1998 represent the
additional step taken by HUD to improve HUD's funding process and
assist communities to make better use of available resources through a
coordinated approach. This new SuperNOFA process 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 1999, 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 program funding available under this first
SuperNOFA for Housing and Community Development programs follows.
Dated: March 23, 1998.
Saul N. Ramirez, Jr.,
Acting Deputy Secretary.
Table of Contents of HUD Programs in This SuperNOFA
Community Development Technical Assistance Programs
Community Development Block Grant (CDBG) Technical Assistance
Community Housing Development Organization (CHDO) Technical
Assistance
HOME Technical Assistance
Supportive Housing Program (SHP) Technical Assistance
University and College Programs
Community Outreach Partnership Centers
Historically Black Colleges and Universities (HBCUs) Program
Fair Housing Initiatives & Assisted Housing Counseling Programs
Fair Housing Initiative Program (FHIP)--Education and Outreach
Initiative (EOI)
FHIP Private Enforcement Initiative (PEI)
FHIP Fair Housing Organizations Initiative (FHOI)
Housing Counseling Program
Lead Based Paint Hazard Control Program Modernization and
Revitalization Programs
Comprehensive Improvement Assistance Program (CIAP)
HOPE VI Public Housing Revitalization
Drug Elimination in Public and Assisted Housing
Public Housing Drug Elimination Program (Including Youth Sports
Eligible Activities)
Public Housing Drug Elimination Program--New Approaches
Drug Elimination Grants for Multifamily Low-Income Housing
Public Housing Drug Elimination Program Technical Assistance
Appendix A--List of HUD Offices and Hours of Operation
BILLING CODE 4210-32-P
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
[[Page 15499]]
[GRAPHIC] [TIFF OMITTED] TN31MR98.000
BILLING CODE 4210-32-C
[[Page 15500]]
Funding Availability for Community Development Technical Assistance
(TA) Programs--CDBG, CHDO, Home and Supportive Housing
Program Description: Approximately $82.4 million in technical
assistance (TA) funds is available from four separate technical
assistance programs: Community Development Block Grant (CDBG) TA,
Community Housing Development Organization (CHDO) TA, HOME TA and
Supportive Housing TA (collectively ``CD-TA'').
The funding of these four 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 four, separate CD-TA
programs, individually or collectively, singularly or in combination.
The specific provisions of the four 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 four different CD-TA programs.
Application Due Date: Completed applications (an original and one
copy) must be submitted no later than 12:00 midnight, Eastern time, on
June 24, 1998. The original application submitted to Headquarters is
considered the official application. A copy of the application also
should be sent to the HUD CPD Field Office or Field Offices in which
you are seeking to provide services. 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: The completed original
application to be submitted to HUD Headquarters should be submitted to
U.S. Department of Housing and Urban Development, CPD Processing and
Control Branch, Room 7251, 451 Seventh Street, SW, Washington, DC
20410. The copy of the application to be submitted to the appropriate
CPD Field Office should be sent to 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) and telephone number (including area code).
For Application Kits, Further Information, and Technical Assistance
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), and telephone 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 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. Information on this SuperNOFA may also be obtained
through the HUD web site on the Internet at http://www:HUD.gov.
Additional Information
I. Authority; Purpose; Amount Allocated; Program Award Period;
Eligible Applicants; Eligible and Ineligible Activities; and Sub-
Grants/Pass-Through Funds.
The Authority, Purpose of the Program, Amount Allocated, Eligible
Applicants, Eligible Activities, Ineligible Activities, and Additional
Program Requirements, as applicable, are delineated under each
technical assistance program area for which funding is being made
available. Applicants should take care in reviewing this section to
ensure they are eligible to apply for funds and that they meet the
additional program requirements and limitations described for each
program.
(A) 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.
Supportive Housing Program Technical Assistance. The Supportive
Housing Program is authorized under 42 U.S.C. 11381 et seq.; 24 CFR
583.140.
(B) 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 provide educational and
organizational support assistance to Community Housing Development
Organizations (CHDOs) to promote their ability to maintain,
rehabilitate and construct housing for low-income and moderate-income
families; to facilitate the education of low-income homeowners and
tenants; and to 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 of land bank programs; and
encouraging private lenders and for-profit developers of low-income
housing to participate in public-private partnerships.
Supportive Housing Program Technical Assistance. To provide HUD-
funded supportive housing 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.
(C) Amount Allocated
(1) The amounts allocated for each CD-TA program are as follows:
CDBG TA funds: $5,000,000
[[Page 15501]]
CHDO TA funds: $42,000,000
HOME TA funds: $31,000,000
SHP TA funds: $4,395,140
(2) Each HUD/CPD Field Office has been allocated a ``fair-share''
of CD-TA funds for purposes of this 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 to applicants in developing
their program budgets by Field Office jurisdiction and are not the
exact amounts to be awarded in each area or to each provider.
The total amount to be awarded to any provider will be determined
by HUD 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.
(3) 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 III 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.
(D) 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.
(E) Eligible Applicants
(1) General. The eligible applicants for each of the four CD-TA
programs are listed in paragraphs (2), (3), and (4) of this Section
(E). 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.
(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 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, unless the assistance is limited to
conferences/workshops attended by more than one unit of government.
(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.
An intermediary will be considered 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.
[[Page 15502]]
(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.
(F) Eligible and Ineligible Activities
Eligible and ineligible activities as appropriate for each of the
four 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, 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). The Secretary shall give
priority under this paragraph to providing technical assistance for
organizations rehabilitating single family or multifamily housing owned
or controlled by the Secretary 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, 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
[[Page 15503]]
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, monographs, manuals, guides and
brochures; person-to-person exchanges; and training and related costs.
(G) Sub-Grants/Pass-Through Funds
Applicants may propose to make sub-grants to achieve the purposes
of their proposed CD-TA programs in accordance with program
requirements in Section II 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.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following
requirements:
(A) 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.
(B) Demand/Response Delivery System
(1) All awardees must operate within the structure of the demand/
response system described in this section. They must coordinate their
plans with, and operate under the direction of, each HUD Field Office
within whose jurisdiction they are operating. When so directed by a
Field Office, they will coordinate their activities instead through a
lead CD-TA provider or other organization designated by the Field
Office.
(2) If selected as the lead CD-TA provider in any Field Office
jurisdiction, the awardee 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.
(3) Under the demand/response system, CD-TA providers will be
required to:
(a) When requested by a Field Office or GTR, market the
availability of their services to existing and potential clients to
include local jurisdictions in which the assistance will be delivered.
(b) 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 Supportive Housing grantees may request assistance
from the CD-TA provider directly, but such requests must be approved by
the local HUD Field Office.
(c) 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. Such 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.
(d) 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 C below).
(e) 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.
(C) Technical Assistance Delivery Plan (TADP)
(1) After selection for funding but prior to award, each applicant
must develop a TADP for each Field Office jurisdiction or National
Program for which it has been selected, in consultation with the Field
office and/or GTR.
(2) In developing the TADP, the applicant shall be guided by the
Field Office's management strategies/workplans for each community/State
in the Field Office's jurisdiction. It shall use these management
strategies/workplans in determining its priority work activities,
location of activities, and organizations to be assisted during the
cooperative agreement performance period.
(3) The 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.
(4) The TADP must delineate all the tasks and sub-tasks for each CD
program the applicant will undertake in each Field Office jurisdiction.
It shall 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 the methodology to be used for
measuring the success of the CD-TA. A
[[Page 15504]]
time schedule for delivery of the activities, budget-by-task and
staffing plan shall be included in the TADP.
(D) 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.
(E) Forms, Certifications and Assurances
Each applicant must submit (1) the forms, certifications and
assurances listed in the General Section of this SuperNOFA, and after
selection for funding but prior to award (2) the CDBG Nexus Statement
(where applicable).
(F) Financial Management and Audit Information
After selection for funding but prior to award, each applicant must
submit a certification from an Independent Public Accountant or the
cognizant government auditor, stating that the financial management
system employed by the applicant 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.
(G) 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.
(H)) Training Sessions
When conducting training sessions as part of its CD-TA activities,
CD-TA providers are required to:
(1) 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;
(2) Arrange for joint delivery of the training with Field Office
participation when so requested by the Field Office; and
(3) When requested by a Field Office and/or Government Technical
Representative (GTR), make provision 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).
(I) 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 shall be on a quarterly basis
unless otherwise specified in the approved TADP.
(J) 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.
(K) CHDO Pass-Through Funds
CD-TA providers proposing pass-through grants are required to:
(1) Establish written criteria for selection of CHDOs receiving
pass-through funds which includes the following:
(a) Participating jurisdictions (PJs) must designate the
organizations as CHDOs.
(b) Generally, the organizations should not have been in existence
more than 3 years.
(2) 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.
(L) Affirmatively Furthering Fair Housing
Section II(D) of the General Section of the SuperNOFA does not
apply to these technical assistance programs.
III. Application Selection Process
(A) Rating and Ranking
(1) Applications will be evaluated competitively and ranked against
all other applicants that have applied for the same CD-TA program
(CDBG, HOME, CHDO and Supportive Housing) within each Field Office or
as a National Provider. There will be separate rankings for each CD-TA
program, and applicants 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 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 CHDO TA program will be listed in rank order on a second list, all
applications for the HOME TA program will be listed in rank order on a
third list, and all applications for the Supportive Housing TA program
will be listed in rank order on a fourth list. Under this system, a
single application from one organization for all four 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 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 no more than one applicant per Field
Office among all four CD-TA programs in this section of the SuperNOFA,
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; the disabled; 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) 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
[[Page 15505]]
CD-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);
(b) Award additional funds to organizations designated as lead CD-
TA providers as discussed in Section II.(B) of this CD-TA Program
section of the SuperNOFA;
(c) 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;
(d) 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.
(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 CD-TA program is not an eligible program for the EZ/EC bonus
points, as described in Section III(C) 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 are suggested to
be carried out by the applicant during the term of the cooperative
agreement.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
In rating this factor, HUD will consider the extent to which the
application demonstrates:
(1) (4 points) Recent, relevant and successful experience of the
applicant's 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) (4 points) The experience and competence of key personnel in
managing complex, multi-faceted or multi-disciplinary programs which
require coordination with other CD-TA entities or multiple, diverse
units in an organization;
(3) (4 points) The applicant has the skills and knowledge to aid
grantees in the development of Consolidated Submissions for CD
programs, comprehensive plans and planning processes and citizen
participation activities, or in the case of SHP TA applicants, aid
grantees in the development of supportive housing and supportive
services as part of a Continuum of Care approach;
(4) (4 points) The applicant has a working knowledge of, and
established relationships with, key public bodies and private
organizations involved in CD programs in the geographic or national
areas in which it proposes to serve;
(5) (4 points) The applicant has 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.
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 the
application:
(1) (4 points) Identifies high priority needs and issues to be
addressed for each CD-TA program for which funding is requested;
(2) (4 points) Outlines a clear and 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;
(3) (4 points) Identifies creative and promising ways of carrying
out eligible activities which will result in better or less costly
service to CD-TA program grantees and/or program beneficiaries;
(4) (4 points) Identifies creative activities to assist eligible
grantees in participating in the development of, and improving, local
Consolidated Plans and comprehensive strategies;
(5) (4 points) Identifies creative ways to assist grantees in
achieving the economic development and continuum of care objectives of
local consolidated plans and comprehensive strategies or of creating
linkages between activities they are assisting and activities to
achieve these objectives.
Rating Factor 3: Soundness of Approach (40 Points)
In rating this factor, HUD will consider the extent to which the
application:
(1) (20 points) Provides a technically and cost effective plan for
designing, organizing, and carrying out the suggested technical
assistance activities within the framework of the Demand/Response
System;
(2) (10 points) Demonstrates an effective and creative plan for
coordinating and conducting activities to be carried out jointly by the
applicant and other entities it has partnered with in each Field Office
jurisdiction in which it will operate; and/or demonstrates an effective
and creative plan for working in partnership with all other CD TA
providers in each Field Office jurisdiction;
(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;
(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 the ability of the applicant 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 the applicant has 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 the applicant is seeking. Resources may be
provided by governmental entities, public or private nonprofit
organizations, for-profit private
[[Page 15506]]
organizations, or other entities willing to partner with the applicant.
Applicants may also partner with other program funding recipients to
coordinate the use of resources in the target area.
Applicants 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 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
the applicant demonstrates it has:
(1) Coordinated its 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. Any written agreements, memoranda of understanding in place, or
that will be in place after award should be described.
(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.
IV. Application Submission Requirements
In addition to the forms, certifications and assurances listed in
Section II(G) of the General Section of the SuperNOFA, all applications
must, at a minimum, contain the following items:
(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.
(B) Narrative statement addressing the Factors for Award described
in Section III(B) of this CD-TA Program section of this SuperNOFA. The
narrative response should be numbered in accordance with each factor
for award. This narrative statement will be the basis for evaluating
the application. It should include a plan of suggested TA activities as
described in Factors 2(b), 3(a), and elsewhere. These suggested TA
activities may form a starting point for negotiating the TADP described
in Section II(C) of this CD-TA Program section of the SuperNOFA.
(C) Statement which identifies the Field Office jurisdictions in
which the applicant proposes to offer services. If services will not be
offered throughout the full jurisdictional area of the Field Office,
the statement should identify the service areas involved (e.g., States,
counties, etc.), as well as the communities in which services are
proposed to be offered.
(D) A matrix which summarizes the amount of funds requested for
each CD-TA program in each Field Office jurisdiction or National
Program for which funding is requested. (See CD-TA Appendix B for a
copy of the matrix to be submitted.)
(E) A statement as to whether the applicant proposes 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 statement as to whether
the applicant qualifies as a primarily single-State provider under
section 233(e) of the Cranston-Gonzalez Affordable Housing Act and as
discussed in Section I(E)(3) of the CD-TA Program section of this
SuperNOFA.
(G) A statement as to whether the applicant proposes 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, the
capabilities and attributes of the organization that qualify it for the
role.
(H) For applicants for national program funds in one or more
specific program areas, a statement as to the capabilities and
attributes of the organization that qualify it to operate on a national
basis. The statement should also include the nature of the suggested TA
activities that make them inappropriate for funding under Field Office
jurisdictions.
(I) 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.
V. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VI. Environmental Requirements
In accordance with 24 CFR 50.19(b)(9) and 58.34(a)(9), the
assistance provided
[[Page 15507]]
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.
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Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
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Funding Availability for Community Outreach Partnership Centers
Program Description: Approximately $7 million is available to
establish and operate Community Outreach Partnership Centers (COPCs) to
assist in outreach and applied research activities addressing the
problems of urban areas.
Application Due Date: Completed applications must be submitted no
later than 12:00 midnight, Eastern time on July 8, 1998 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: Completed applications (one
original and two copies) must be submitted 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, Further Information and Technical Assistance
For Application Kits. For an application kit and 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. 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 COPC
and provide your name, address (including zip code), and telephone
number (including area code).
For Further Information. Jane Karadbil, Office of University
Partnerships in the Office of Policy Development and Research,
Department of Housing and Urban Development, 451 Seventh Street, S.W.,
Room 8110, Washington, DC 20410, telephone (202) 708-5918, ext. 218.
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. Ms. Karadbil can also be reached via the Internet at
[email protected]
For Technical Assistance. An information broadcast via satellite
will be held 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, please consult the HUD web site at the web
address listed above.
Additional Information
I. Authority; Purpose; Amount Allocated; and Eligibility
(A) 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.
(B) Purpose
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 demonstration program shall
be used to establish and operate Community Outreach Partnership Centers
(COPC).
The six key concepts of the COPC Program are:
(1) The program should provide outreach, technical assistance,
applied research, and empowerment to neighborhoods and neighborhood-
based organizations based on what the residents decide is needed, not
based on what the institution thinks is appropriate for that
neighborhood;
(2) Community-based organizations should be partners with the
institutions throughout the life of the project, from planning to
implementation;
(3) Components of the program may address metropolitan or regional
strategies. The applicant must clearly demonstrate how:
(a) Those 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;
(4) The applied research should be related to the outreach
activities and be usable in these activities within the grant period or
shortly after it ends, rather than research without practical
application;
(5) Assistance through the grant should be provided primarily by
faculty, students, or to a limited extent, by neighborhood residents or
community-based organizations funded by the university; and
(6) The program should be part of the institution's broader effort
to meet its urban mission, and be supported by senior officials, rather
than just the work of a few faculty members. Proposed activities should
not duplicate those of other entities in the community and should be
appropriate for an institution of higher education to undertake in
light of its teaching, research, and service missions.
The statute states that grants under the COPC Program must focus on
the following specific problems: ``problems associated with housing,
economic development, neighborhood revitalization, infrastructure,
health care, job training, education, crime prevention, planning,
community organizing, and other areas deemed appropriate by the
Secretary.'' Furthermore, the COPC Act states: ``The Secretary shall
give preference to institutions of higher education that undertake
research and outreach activities by bringing together knowledge and
expertise in the various social science and technical disciplines that
relate to urban problems.''
(C) Amount Allocated
The competition in this program is for up to $7.0 million to fund
the fifth year of the COPC Program to fund New Grants.
Institutionalization Grants will not be funded under this funding
announcement for COPC. COPC grantees that have previously received a
New or Institutionalization grant are not eligible to apply under this
COPC funding announcement, nor are institutions of higher education
that received Joint Community Development Program grants.
New Grants will be awarded to institutions of higher education to
begin or expand their applied research and outreach activities. Each
New Grant will be for a three-year period of performance (i.e.,
applicants must complete their proposed activities within three years).
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 an application that is under $250,000 or over
$400,000.
[[Page 15521]]
(D) Eligible Applicants
Eligible applicants 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. 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 each
institution may be part of only one consortium or submit only one
application or it will be disqualified. HUD will hold an institution
responsible for ensuring that neither it nor any part of the
institution, including specific faculty, participates in more than one
application.
Different campuses of the same university system are eligible to
apply, even if one campus has already received COPC funding. Such
campuses are eligible as separate applicants only if they have
administrative and budgeting structures independent of other campuses
in the system.
(E) Eligible Activities
COPC Programs 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,
applications should be multifaceted and address three or more urban
problems. Single purpose applications are not eligible.
To be most effective during the term of the demonstration, the
funded research must have a clear near-term potential for solving
specific, significant urban problems. The selected institutions must
have the capacity to apply their research results and to work with
communities and local institutions, including neighborhood groups and
other appropriate community stakeholders, in applying these results to
specific real-life urban problems.
Eligible activities include:
(1) Research activities which have practical application for
solving specific problems in designated communities and neighborhoods,
including evaluation of the effectiveness of the outreach activities.
In order to ensure that the primary focus of local projects 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 the 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;
(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 the fair housing planning
process; and
(h) Regional projects that maximize the interaction of targeted
inner city distressed neighborhoods with suburban opportunities similar
to HUD's Bridges-to-Work or Moving to Opportunity programs, or projects
that link inner-city and suburban youth with leadership training that
focuses on the needs of the distressed targeted neighborhoods.
(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 II.(A) 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;
(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.
(F) Ineligible Activities
(1) Research activities which have no clear and immediate practical
application for solving urban problems or do not address specific
problems in designated communities and neighborhoods.
(2) Any type of construction, rehabilitation, or other physical
development costs.
(3) Costs used for routine operations and day-to-day administration
of regular programs of institutions of higher education, local
governments or neighborhood groups.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, grantees must meet the following program
requirements:
(A) Responsibilities
In accordance with section 851(h) of the HCD Act of 1992, each COPC
shall:
(1) Employ the research and outreach resources of its sponsoring
institution of higher education to solve specific urban problems
identified by communities served by the Center;
(2) Establish outreach activities in areas identified in the grant
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
the Center;
(5) Facilitate public service projects in the communities served by
the 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
[[Page 15522]]
relate to the provision of information to the University Partnerships
Clearinghouse, which is the national clearinghouse for the program.
(B) Cap on Research Costs
No more than 25% of the total project costs (Federal share plus
match) can be spent on research activities.
(C) Match
This 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.'' Applicants must meet the match
requirements identified below:
(1) Research Activities. 50% of the total project costs of
establishing and operating research activities.
(2) Outreach Activities. 25% of the total project costs of
establishing and operating outreach activities.
An example of how to calculate the match is included in the
application kit.
(D) Administrative
The 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-122 (Cost Principles for
Nonprofit Organizations), and A-133 (Audits of States, Local
Governments and Nonprofit Organizations).
III. Application Selection Process
Two types of reviews will be conducted: a threshold review to
determine applicant eligibility; and a technical review to rate the
application based on the rating factors in this Section III.
(A) Additional Threshold Criteria for Funding Consideration
Under the threshold review, the applicant will be rejected from the
competition if the applicant is not in compliance with the requirements
of the General Section of the SuperNOFA and if the following additional
standards are not met:
(1) The applicant has met the statutory match requirements.
(2) The applicant has proposed a program in which no more than 25%
of the total project costs will be for research activities.
(3) The applicant has requested a Federal grant that is no less
than $250,000 and no more than $400,000 over the three-year grant
period.
(4) The application addresses 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) The applicant, and any part of the applicant's organization,
does not participate in more than 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 the applicant has 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
faculty, sub-contractors, consultants, sub-recipients, and members of
consortia which are firmly committed to the project. In rating this
factor HUD will consider the extent to which the proposal demonstrates:
(1) (10 points) The knowledge and experience of the 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 the applicant's
staff to undertake eligible program activities. In rating this factor,
HUD will consider the extent to which the applicant's organization and
staff have recent, relevant, and successful experience in:
(a) Undertaking research activities in specific communities that
have a clear near-term potential for practical application to
significant urban issues, such as affordable housing, fair housing,
economic development, neighborhood revitalization, infrastructure,
health care, job training, education, crime prevention, planning, and
community organizing;
(b) Undertaking outreach activities in specific communities to
solve or ameliorate significant urban issues;
(c) Undertaking projects with community-based organizations or
local governments; and
(d) Providing leadership in solving community problems and making
national contributions to solving long-term and immediate urban
problems.
(2) (3 points) The applicant has sufficient personnel or will be
able to quickly access qualified experts or professionals, to deliver
the proposed activities in each proposed service area in a timely and
effective fashion, including the readiness and ability of the applicant
to immediately begin the proposed work program.
(3) (2 points) The applicant has demonstrated experience in
managing programs, and carrying out grant management responsibilities
for programs, similar in scope or nature directly relevant to the work
activities proposed. If the applicant has managed large, complex,
interdisciplinary programs, the applicant should include the
information in the response.
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. In responding to this
factor, applicants will be evaluated on:
(1) (10 points) The extent to which they document the level of need
for the proposed activity: and
(2) (5 points) The urgency in meeting the need. Applicants should
use statistics and analyses contained in a data source(s) that:
(a) Is sound and reliable. To the extent that the applicant's
community's Consolidated Plan and Analysis of Impediments to Fair
Housing Choice (AI) identifies the level of the problem and the urgency
in meeting the need, references to these documents should be included
in the response. The Department will review more favorably those
applicants who 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), applicants 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, and other
sound and reliable sources appropriate for the specific program and
activities for which an applicant is applying for funding. Applicants
may also address
[[Page 15523]]
needs in terms of fulfilling court orders or consent decrees,
settlements, conciliation agreements, and voluntary compliance
agreements. For technical assistance programs, input from HUD State and
Area Office(s) and assessments are included among the data sources that
may be used to identify need.
(b) To the extent possible, specific to the area where the proposed
activity will be carried out. Specific attention must be paid to
documenting need as it applies to the area where activities will be
targeted, 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.
The applicant should discuss how it 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 compliments or supplements these existing efforts, and why
additional funds are being requested.
Rating Factor 3: Soundness of Approach (50 Points)
This factor addresses the quality and cost-effectiveness of the
applicant's proposed work plan. There must be a clear relationship
between the proposed activities, community needs and the purpose of the
program funding for an applicant to receive points for this factor. The
factor will be evaluated based on the extent to which the proposed
activities will:
(1) (4 points) Help solve or address an urgent need or problem as
identified under Rating Factor 2--Need/Extent of the Problem. The
impact of the activity will be evaluated, including the tangible
benefits to be attained by the community and by the target population
including affirmatively furthering fair housing for classes protected
under the Fair Housing Act. The applicant should demonstrate a strong
familiarity with the existing and planned efforts of government
agencies, community-based organizations, faith-based organizations,
for-profit firms and other entities to address such needs in the
communities to be served, and should demonstrate that the applicant can
cost-effectively complement any such efforts to attain measurable
results.
(2) (8 points) The extent to which the proposed work program
identifies the specific services or activities to be performed. In
reviewing this subfactor HUD will consider the extent to which:
(a) The applicant's proposal outlines a clear research agenda,
based on a thorough familiarity with existing research on the subject.
The applicant should demonstrate that the proposed research does not
duplicate research previously completed or currently underway by
others.
(b) The applicant demonstrates how the research will fit into and
strengthen the outreach strategy and activities. For example, an
applicant proposing to study the extent of housing abandonment in a
neighborhood and then designing a plan for reusing this housing would
be able to demonstrate the link between the proposed research and
outreach strategies.
(c) The applicant's plan outlines a clear outreach agenda;
(d) There is a plan for involving the university as a whole in the
execution of the outreach strategy.
(e) The extent to which grant funds will pay for activities
conducted by the grantee, rather than passed through to other entities.
(3) (7 points) The extent to which the proposed program of
activities involves the communities to be served in implementation of
these activities. In reviewing this subfactor, HUD will look at the
extent to which:
(a) 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, has been or will be formed to work in
partnership with the COPC to develop and implement strategies to
address the needs identified in Factor 2. Applicants will be expected
to demonstrate that they have already formed such a committee(s) or
secured the commitment of the appropriate persons to serve on the
committee(s), rather than just describing generally the types of people
whose involvement they will seek.
(b) A wide range of neighborhood organizations and local government
entities participated in the identification of the research and
outreach activities.
(c) The outreach program provides for on-site or a frequent
presence in the targeted communities and neighborhoods.
(d) The 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.
(4) (6 points) The extent to which the proposed activities will
achieve the purposes of the program from which funding is requested
within the grant period. The applicant should identify specific time
phased 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 work program will have on the community in
general and the target area or population 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
impact area.
(5) (4 points) The extent to which the proposed project will
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
factor, HUD will assess the demonstrated ability of the applicant to
disseminate results of research and outreach activities to other COPCs
and communities. HUD will evaluate the past experience of the applicant
and the scope and quality of the applicant's concrete plan to
disseminate information on COPC results, strategies, and lessons
learned through such means as conferences, cross-site technical
assistance, publications, etc.
(6) (3 points) The extent to which the proposed application will
further and support the policy priorities of HUD including:
(a) Promoting healthy homes;
(b) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare to work programs;
(c) 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;
(d) Providing educational and job training opportunities through
such initiatives as Neighborhood Networks, Campus of Learners and
linking to AmeriCorps activities.
(7) (5 points) The extent to which the applicant's work will
include activities that 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 city services for minorities,
families with children, and persons with disabilities; or
(c) Providing mobility counseling.
[[Page 15524]]
(8) (13 points) The extent to which the proposed COPC will result
in the COPC function and activities being sustained by becoming part of
the urban mission of the 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 the 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 an
overall part of a service learning program at the institution; and are
reflected in the curriculum. HUD will look at the institution's
commitment to faculty and staff continuing work in COPC neighborhoods
or replicating successes in other neighborhoods and to its longer term
commitment (e.g., five years after the start of the COPC) of hard
dollars to COPC work.
(b) The applicant has received commitments for funding from sources
outside the university for related non-COPC-funded 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.
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. In evaluating this factor HUD will
consider:
The extent to which the applicant has 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 the applicant is 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. Applicants may also partner with
the funding recipients in other grant programs to coordinate the use of
resources in the target area.
Because COPC has a matching requirement, rating points for this
factor will be allocated based upon the extent to which an applicant
has exceeded the program's minimum match requirement. Up to a total of
5 points will be awarded for a match that is 50% over the statutorily-
required match.
The Department is concerned that applicants should be providing
hard dollars as part of their matching contributions in order to
enhance the tangible resources going into targeted neighborhoods. Thus,
while indirect costs can count towards meeting the statutorily required
match, they will not be used in calculating match overage. Only direct
costs can count in this factor.
In addition, because HUD is interested in promoting the
institutionalization of COPC projects and activities, up to an
additional 5 points will be awarded for the extent to which matching
funds are provided from eligible sources other than the applicant
(e.g., funds from the city, including CDBG, other State or local
government agencies, public or private organizations, or foundations).
Applicants 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)
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 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
the applicant demonstrates it has:
(1) (4 points) Coordinated its 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. 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, an applicant must receive a
minimum score of 70. It is HUD,s intent 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. The approach HUD
will use, if it decides to implement this option, will be based on
combining two adjacent standard HUD regions (e.g., Southwest and
Southeast Regions, Great Plains and Midwest Regions, etc.). If the rank
order does not yield at least one fundable COPC within each combined
region, then HUD may select the highest ranking application from such a
combination, as long as the minimum score of 70 points is achieved.
After all applications have been rated and ranked and selections
have been made, HUD may require that all winners participate in
negotiations to determine the specific terms of the Statement of Work
and the grant budget. In cases where HUD cannot successfully conclude
negotiations, or a selected applicant fails to provide HUD with
requested information, awards 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 the next highest ranking applicant.
After award but before grant execution, winners will be required to
[[Page 15525]]
provide a certification from an Independent Public Accountant or the
cognizant government auditor, stating that the financial management
system employed by the applicant meets proscribed standards for fund
control and accountability required by OMB Circular A-133, Uniform
Administrative Requirements for Grant Agreements With Institutions of
Higher Education, Hospitals, and other Non-Profit Organizations,
Revised OMB Circular A-110, or 24 CFR part 85 for States and local
governments, 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.
IV. Application Submission Requirements
The application 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 below 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, all applications must, at a
minimum, contain the following items:
(A) Transmittal Letter which must be signed by the Chief Executive
Officer of the institution or his or her designee. If a designee signs,
the application must include the official delegation of signatory
authority;
(B) A Statement of Work (25 page limit) which incorporates all
activities to be funded in the application and details how the 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 the applicant aims to 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
III. (B) (2) above. (30 page limit, not including tables, maps, and
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. The budget presentation should be consistent with the
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 the applicant arrived at its
cost estimates, for any line item over $1,000.
(3) A statement of compliance with the 20% limitation on ``Planning
and Administration'' Costs.
(4) An explanation of compliance with the requirement that not more
than 25% of the total budget be allocated to research activities.
(5) An explanation of 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 the program.
V. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VI. 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.
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
[[Page 15527]]
Funding Availability for the Historically Black Colleges and
Universities Program
Program Description: Approximately $6,500,000 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.
Application Due Date: Completed applications must be submitted no
later than 12:00 midnight, Eastern time on July 8, 1998, at HUD
Headquarters with a copy to the appropriate HUD CPD Field Office. 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 signed application
and one copy shall be submitted 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 an application, one copy of the application also should be
sent 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 more than one
application is received from a single HBCU, the application from that
HBCU that was received earliest will be considered for funding, and the
application(s) submitted later will be ineligible. If more than one
application is received simultaneously from an HBCU then all such
applications will be considered ineligible for funding. Applicants
should take these policies into account and take steps to ensure that
multiple applications are not submitted.
For Application Kits, Further Information, and Technical Assistance:
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. 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
HBCU Program and provide your name, address (including zip code), and
telephone number (including area code).
For Further Information and Technical Assistance. 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.) Persons with speech or
hearing impairments may access this number via TTY by calling the
Federal Information Relay Service toll-free at 1-800-877-8339.
Information may also be obtained from the HUD Field Office located in
the applicant's 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, applicants can call the SuperNOFA
Information Center at 1-800-HUD-8929.
Additional Information:
I. Authority; Purpose; Amount Allocated; and Eligibility.
(A) 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.
(B) Purpose
The purpose of the HBCU Program is 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.
(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) An HBCU located in a metropolitan statistical area (MSA), as
established by the Office of Management and Budget, may consider its
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 area within the locality
that the HBCU will implement its proposed HUD grant activities.
(C) Amount Allocated
(1) In order to ensure that some previously unfunded HBCUs will
receive awards in this competition, approximately one-third of the
available funds will be awarded to applicants 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 1974 Act.) Therefore, of the $6.5 million in FY 1998
funds made available under this SuperNOFA for the HBCU Program:
(a) Approximately $2.2 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, which includes competitions for Fiscal Years 1991 through 1997
(``Previously-unfunded HBCUs'').
(b) The remaining approximately $4.3 million of FY 1998 funds will
be awarded to HBCUs that have received funding under such competitions
(``Previously-funded HBCUs'') (Previously funded HBCUs are listed in
HBCU Appendix A to this HBCU Program section of the SuperNOFA.
Previously-unfunded HBCUs are listed in HBCU Appendix B section of the
SuperNOFA.).
If recaptured funds are made available, those funds will also be
divided proportionately between the two types of applicant i.e. one
third to Previously-unfunded HBCUs and two-thirds to Previously-funded
HBCUs.
(2) The maximum period for performance of a proposed program under
this SuperNOFA for the HBCU Program is 24 months. The performance
period will commence on the effective date of the grant agreement. HUD
reserves the right to make awards for less than the maximum amount or
less than the amount requested in a particular application. The awards
will be made in the form of grants. The
[[Page 15528]]
maximum amount awarded to any applicant will be $400,000.
(D) 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.
(1) The first category, previously-funded HBCUs, includes HBCUs
that have received funding in past HUD HBCU competitions under section
107(b)(3) of the Housing and Community Development Act of 1974, which
includes competitions for Fiscal Years 1991 through 1997.
(2) The second category of eligible applicant, Previously-unfunded
HBCUs, includes HBCUs that have not received funding under such
competitions. Lists of Previously-funded HBCUs and Previously-unfunded
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 the
application should be considered.
(E) Eligible Activities
(1) General. Each activity proposed for funding must meet both a
Community Development Block Grant (CDBG) Program national objective AND
the CDBG eligibility requirements, which are described in Section III
of the HBCU Program section of the SuperNOFA. Eligible activities that
may be funded under this HBCU Program section of the SuperNOFA 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.
Additionally, an activity which otherwise is eligible under
Secs. 570.201 through 570.206 may not be funded if State or local law
requires that it be carried out by a governmental entity.
(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. Applicants proposing to undertake this
activity will be required to provide reasonable estimates, from a
qualified entity other than the applicant, 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. Applicants proposing to undertake this
activity will be required to provide reasonable estimates, from a
qualified entity other than the applicant, 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; 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; other
support activities for youth, senior citizens, and other low- and
moderate-income residents; and/or 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;
(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). HBCUs proposing a
Community Development Corporation (CDC) component 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 expand the capacity of HBCUs
eligible under this SuperNOFA, applicants may propose to use up to 10%
of the award funds to acquire technical assistance (TA) from a
qualified TA provider to assist in implementing the proposed
activities. While applicants are responsible for ensuring that
potential TA providers are qualified, HUD would expect that the most
qualified providers would be 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 proposed by the applicant. Although pre-
award technical assistance costs may not be paid out of grant funds
(not including matching funds, if any), applicants expecting to need
technical assistance are encouraged, nonetheless, to choose a TA
provider as early as possible, to ensure that the TA provider is
involved in the early stages of proposal development. Previously-
unfunded HBCUs are particularly encouraged to consider acquiring
technical assistance from a qualified HBCU TA provider.
(3) Activities Designed to Promote Training and Employment
Opportunities. In selecting proposed eligible activities, applicants
are urged to propose 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. Applicants are also encouraged, 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. Although acquisition of equipment is not generally an
eligible activity (subject to the exceptions provided in 24 CFR
[[Page 15529]]
570.207(b)(1)), applicants are encouraged 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 they do not currently have such capability.
More information on the Community 2020 Software can be obtained from
the local HUD Community Planning and Development Office.
(5) Use of Grant Funds for the Provision of Public Services. Those
applicants planning to use grant funds for the provision of public
services are bound by the statutory requirement that not more than 15%
of the total grant amount be used for public service activities.
Therefore, at least 85% of the grant amount must be proposed to be used
for activities qualifying under an eligibility category other than
public services (as described at 24 CFR 570.201(e)).
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following
requirements:
(A) Submission of a Budget
The budget should include:
(1) A budget summary covering the Federal and non-Federal share of
costs proposed, by cost category, and a budget justification which
includes assumptions used to determine the costs of budget items in
each category. The proposed cost estimates should be reasonable for the
work to be performed and consistent with rates established for the
level of expertise required to perform the work in the proposed
geographic area.
The application kit includes Budget Forms which must be completed
in full. The Federal Share Budget Summary Forms should indicate the use
of funds the applicant will receive from HUD under this HBCU funded
program. In addition, funds received from other HUD programs, awarded
under a locality's CDBG Program, or through other Federal agencies
should be identified on the non-Federal share portion of the budget
summary sheets. The non-Federal share should also identify other public
or private sector funds which will be used to implement the proposed
program activities.
While HUD recognizes that the costs are based upon estimates, the
summary should include information such as quotes from various vendors
or historical data relied upon in determining projected costs. All
direct labor or salaries must be supported with mandated city/state pay
scales or other documentation. Indirect costs must be substantiated and
approved by the cognizant Federal agency or the applicant must provide
an indirect cost rate plan.
Particular attention should be paid to:
(a) Accurately estimating costs;
(b) The necessity and reasonableness of costs; and
(c) Accurate computation of all budget items and totals.
(2) A budget-by-task, which will include a listing of tasks to be
completed for each activity necessary to be performed to implement the
program, the overall costs for each task, and the cost for each funding
source. The budget-by-task should clearly indicate the HUD grant amount
and identify the source and dollar amount of the matching funds, if
any. HUD will award points on the extent to which the budget documents
clearly demonstrate a cost-effective use of resources based on
reasonable assumptions.
This form of the budget will show the total budget by line item for
the program activities to be carried out with the proposed HUD HBCU
grant. This will be a functional budget. Each line item represents the
task to be done, not the person who will do it. Producing the budget in
this format provides both financial and reporting information that will
allow the program to be more easily evaluated.
Since one person may be assigned to do several tasks, that person's
salary may be prorated to the various tasks for which he or she is
responsible. For example, the Program Manager may spend some of his or
her time in outreach and recruitment, some time developing leadership
training, and some time in evaluation or other administrative tasks.
His or her time may be divided between those activities to come up with
the budget. However, if the Manager and other staff are primarily
engaged in program management and oversight, the HUD funded salary cost
should be budgeted as an administrative cost.
Each dollar amount on this budget must represent an actual cost of
the program. Do not include the value of any in-kind goods and/or
services contributions to the tasks. For example, if a social service
organization is donating staff time to do social work, do not enter the
value of that time for a task. If a fee is to be paid for counseling
work, however, enter that amount for the appropriate task. Although the
dollar value of in-kind goods and/or service contributions should not
be included in the budget, remember to state this information on the
Match Form.
The Line Item for Administrative costs covers salaries (except to
the extent that they are attributed to other tasks) and related costs,
and other costs for goods and services required for the program such as
rental or purchase of office equipment, utilities, insurance, legal,
staff training, office supplies, rental and maintenance of office
space, mailing, advertising, and technical assistance.
Applicants proposing to undertake: rehabilitation of residential,
commercial and industrial structures; and/or acquisition, construction,
or installation of public facilities and improvements must submit
reasonable cost estimates supplied by a qualified entity other than the
applicant. Such an entity must be involved in the business of housing
rehabilitation, construction and/or management. Guidance for securing
these estimates can be obtained 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.
(B) Leveraging
Although a match is not required to qualify for funding, if
applicants claim a match, they 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. An Applicant which has evidence in support of its
proposed match commitment is 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, the applicant must submit a letter from the
provider on the provider's letterhead. Number each letter as a page in
the application. Each Match must be supported by 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
[[Page 15530]]
dollar amount in the commitment letter must be consistent with the
dollar amount indicated by the applicant on the 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.)
(C) Environmental Review
If the applicant proposes activities (such as physical development
activities) that are not excluded from environmental review under 24
CFR 50.19(b), an environmental review by HUD 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 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. The grantee is not authorized
to proceed with any activity requiring such approval until written
approval is received from the appropriate HUD Field Environmental
Clearance Officer in its area certifying that the project has been
approved and released from all environmental conditions.
(D) Forms, Certifications and Assurances
HBCU applicants are required to submit the following forms,
certifications and assurances:
(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 the EZ/EC.
III. Application Selection Process
(A) Rating and Ranking
(1) Threshold Review; National Objectives. HUD will evaluate
applications for funding under the HBCU Program competitively and will
award points based on responses to the Factors For Award identified in
this section. Applications must be complete and consistent with the
requirements of this for the HBCU Program section in this SuperNOFA,
the application kit, and the HBCU Program regulations (24 CFR 570.404)
in order for the application to be eligible to compete in this
competition.
To be considered for funding, applicants must receive a minimum
score of 70 out of the total of 100 points possible for Factors 1
through 5. 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 Community Connections Information Clearinghouse at
1-800-998-9999. 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:
(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 applicants to comply with the primary objective
requirement of 24 CFR 570.200(a)(3), which requires recipients to
ensure that not less than 70% of the grant expenditures be for
activities benefiting low and moderate income persons)
(2) Funding of Applications. 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 applicant's scores on Factor 2. HUD will give the
higher rank to the application with the most points on Factor 2. If
there is still a tie, the rank order will be determined by the
applicant's scores on Factor 3. HUD will give the higher rank to the
application with the most points for Factor 3. 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) Leveraging. Although a match is not required to qualify for
funding, HUD encourages HBCUs to participate in public/private
partnerships, i.e., with local or national nonprofit organizations, the
local banking and real estate community, local builders/developers,
faith communities, etc., to secure matches of cash and/or in-kind goods
or services. The maximum number of rating points an applicant can
receive for leveraging is 10 points for Factor 4 below. Applicants
having a cash match will receive a higher number of points than those
providing in-kind goods or services of the same value. To be recognized
as leveraging, contributions must be made available for the duration of
the grant period, regardless of the form of investment provided to the
project. Applicants without evidence of leveraging will receive zero
(0) points.
(4) After Selection. After selection, but prior to award, an
applicant will be required to:
(a) Negotiate. After all applications have been rated and ranked
and a selection of competition winners has been made, 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. After
selection for funding but prior to award, each successful applicant
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 the applicant 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. Each application must contain sufficient information to
be reviewed for its merits. The score for each factor will be based on
the qualitative and quantitative aspects of the applicant's response to
that factor. Applicants may use up to a total of thirty (30) pages to
respond to Factor 1 through 5. Limitation applies to the applicant's
[[Page 15531]]
narrative response and NOT to tables, maps and firm commitment letters.
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 the applicant has 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) (10 points) The knowledge and experience of the 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 the applicant's
staff to undertake eligible program activities. In rating this factor,
HUD will consider the extent to which the applicant's organization and
staff have recent, relevant, and successful experience in:
(a) Undertaking outreach activities in specific communities to
solve or ameliorate significant housing and community development
issues;
(b) Undertaking projects with community-based organizations or
local governments; and
(c) Providing leadership in solving community problems and making
national contributions to solving long-term and immediate housing and
community development problems.
(2) (3 points) The applicant has sufficient personnel or will be
able to quickly access qualified experts or professionals, to deliver
the proposed activities in each proposed service area in a timely and
effective fashion, including the readiness and ability of the applicant
to immediately begin the proposed work program.
(3) (2 points) The applicant has demonstrated experience in
managing programs, and carrying out grant management responsibilities
for programs, similar in scope or nature directly relevant to the work
activities proposed. If the applicant has managed large, complex,
interdisciplinary programs, the applicant should include the
information in the response.
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, applicants will be evaluated on:
(1) (10 points) The extent to which they document the level of need
for the proposed activity: and
(2) (5 points) The importance of meeting the need.
Applicants should use statistics and analyses contained in a data
source(s) that:
(a) Is sound and reliable. To the extent that the applicant's
community's Consolidated Plan and Analysis of Impediments to Fair
Housing Choice (AI) identifies the level of the problem and the urgency
in meeting the need, references to these documents should be included
in the response. The Department will review more favorably those
applicants who 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), applicants 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, and other
sound and reliable sources appropriate for the specific SuperNOFA
program and activities for which an applicant is applying. Applicants
may also address needs in terms of fulfilling court orders or consent
decrees, settlements, conciliation agreements, and voluntary compliance
agreements. For technical assistance programs, input from HUD State and
Area Office(s) and assessments are included among the data sources that
may be used to identify need.
(b) To the extent possible, specific to the area where the proposed
activity will be carried out. Specific attention must be paid to
documenting need as it applies to the area where activities will be
targeted, 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.
Rating Factor 3: Soundness of Approach (50 Points)
This factor addresses the quality and cost-effectiveness of the
applicant's proposed work plan. There must be a clear relationship
between the proposed activities, community needs and the purpose of the
HUD HBCU Program for an applicant to receive points for this factor.
HUD will consider the effectiveness/impact and feasibility of the
applicant's work plan in addressing the needs described in the
applicant's response to Factor 2 including the extent to which the
applicant will provide geographic coverage for the target area and
describes how each proposed activity meets both a CDBG Program national
objective and the CDBG eligibility requirements described above. HUD
will also consider the extent to which the proposed activities will
yield innovative strategies or ``best practices'' that can be readily
disseminated to other organizations and State and local governments.
(1) Work Plan (40 Points). The applicant's work plan must
incorporate all proposed activities, describing in detail how the
activities will alleviate and/or fulfill the needs identified in Factor
2, including how the activities will benefit low-income and elderly
residents, welfare recipients, and the working poor in the target area
to be served, and how the activities will be implemented. In evaluating
this factor, HUD will consider:
(a) (10 points) The extent to which the proposed work program
identifies the specific services or activities to be performed. In
reviewing this subfactor, HUD will consider the extent to which:
(i) The applicant's proposal outlines a clear agenda based on a
thorough familiarity with existing work/activities in the target area.
The applicant should demonstrate that the proposed activities do not
duplicate work/activities previously completed or work/activities
currently underway by others;
(ii) The applicant demonstrates how the activities will fit into
and strengthen their role in addressing community development needs in
their locality;
(iii) The applicant's plan outlines a clear agenda for citizen
involvement in the planning and implementation.
(b) (10 points) The extent to which the proposed work/activities
involve the communities to be served in implementation of these
activities. In reviewing this subfactor, HUD will look at the extent to
which:
(i) Representatives of the local communities are involved and have
a balance of race, ethnic, disability, status, gender and income of the
residents of the community to be served, or will be involved to address
the needs identified in Factor 2;
(ii) Evidence is provided that neighborhood organizations and local
government entities were invited to, or participated in, the
identification of activities to be undertaken;
[[Page 15532]]
(iii) The methodology employed to outreach to the community during
the development and implementation of the proposed program.
(c) (10 points) The extent to which the proposed activities will
achieve the purposes of the program from which funding is requested
within the grant period. The applicant should identify specific time
phased 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 work program will have on the community in
general and the target area or population 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
impact area.
(d) (6 points) The extent to which the proposed project will
potentially yield innovative strategies or ``best practices'' that can
be duplicated and disseminated to other organizations.
(e) (4 points) The extent to which the 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 High Hopes, Neighborhood
Networks, Campus of Learners, Local Homeownership Partnerships and
linking programs to Americorps activities.
The High Hopes initiative promotes partnerships between colleges
and middle or junior high schools in low-income communities, to help
teach students how they should 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 (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;
and/or
Local Homeownership Partnerships (LPs) recognized by the National
Partners in Homeownership. Local Homeownership Partnerships are local
manifestations of the National Homeownership Strategy and are designed
to increase homeownership opportunity through public-private
collaboration.
If relocation is to be a part of the work activities the applicant
should discuss the plan for temporary or permanent relocation of
occupants of units affected, including storage or moving of household
goods, stipends and/or incentives. The 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.
To the maximum extent feasible, the applicant should provide HUD
with measurable results to be achieved with the requested funds, i.e.,
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.,
in the target area as a result of the implementation of the proposed
activities.
(2) Affirmatively Furthering Fair Housing (5 Points)
If an applicant has designed 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 city services for minorities,
families with children, and persons with disabilities; or (c) providing
mobility counseling, 5 points will be awarded.
(3) Products Deliverable Schedule (5 Points)
As a result of the implementation of the proposed activities,
describe products to be delivered in 6 month intervals, up to 24
months. Indicate which of the staff described under Factor 1 will be
responsible and accountable for deliverables. This sub-factor will be
evaluated on the extent to which the schedule represents an efficient
and feasible plan for implementation of the proposed activities.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure
community resources (note: financing is a community resource) which can
be combined with HUD program funds to achieve the program objective 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
the applicant has partnered 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, allocated to the purpose(s) of the award the
applicant is 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.
Applicants may also partner with other program funding recipients to
coordinate the use of resources in the target area.
Applicants 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. An
applicant which has evidence in support of its proposed match
commitment is eligible for more rating points than those applicants not
having a firm commitment for a match.
The maximum number of rating points an applicant can receive for
leveraging is 10 points. Applicants having a cash match will receive a
higher number of points than applicants receiving in-kind goods or
services of the same value. To be recognized as leveraging,
contributions must be made available for the duration of the grant
period, regardless of the form of investment provided to the project.
Applicants without evidence of leveraging will receive zero (0) points
for this Factor.
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
[[Page 15533]]
Consolidated Planning process, 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
the applicant demonstrates it has:
(1) (4 points) Coordinated its 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. 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.
IV. Application Submission Requirements
Applicants must complete and submit applications for HBCU grants in
accordance with instructions contained in the FY 1998 Historically
Black Colleges and Universities Program Application Kit. The
application kit will request information in sufficient detail for HUD
to determine whether the 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 HBCU applications:
(A) Transmittal Letter
A transmittal letter shall accompany the application. This cover
letter shall be signed by the Chief Executive Officer (usually the
President or Provost) of the applicant 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
(D) Budget Documents
(E) Narrative Statement Responding to the Factors for Award
(F) Certifications
Certification forms signed by the Chief Executive Officer of the
applicant institution.
Appendices are not permitted. General support letters and resumes
shall not be submitted. Letters of commitment and other documentation
shall be included with responses to the appropriate Factors for Award.
V. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
HBCU Program Appendix A
Historically Black Colleges and Universities
(Previously Funded By HUD During Fiscal Years 1991-1997)
Alabama
Alabama A&M University
Alabama State University
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
Morris Brown College
Spelman College
Kentucky
Kentucky State University
Louisiana
Grambling State University
Southern University
Southern University at Shreveport/Bossier City
Xavier University of New Orleans
Maryland
Bowie State University
Coppin State College
Morgan State University
Mississippi
Alcorn State University
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
Prairie View A&M University
Saint Phillip's College
Texas Southern University
Wiley College
Virginia
Hampton University
Norfolk State University
Saint Paul's College
HBCU Program Appendix B
Historically Black Colleges and Universities
(Previously Unfunded By HUD During Fiscal Years 1991-1996)
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
Interdenominational Theological Center
Morehouse College
Morehouse School of Medicine
Paine College
Savannah State College
Louisiana
Dillard University
[[Page 15534]]
Southern University at
Maryland
University of Maryland Eastern Shore
Michigan
Lewis College of Business
Mississippi
Coahoma Community College
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
Huston-Tillotson College
Jarvis Christian College
Paul Quinn College
Southwestern Christian College
Texas College
Virginia
Virginia State University
Virginia Union University
West Virginia
Bluefield State College
West Virginia State University
U.S. Virgin Islands
University of the Virgin Islands
BILLING CODE 4210-32-P
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
[[Page 15535]]
[GRAPHIC] [TIFF OMITTED] TN31MR98.012
BILLING CODE 4210-32-C
[[Page 15536]]
Funding Availability for the Fair Housing Initiatives Program
Program Description: Approximately $11,500,000 of funding is
available for the Fair Housing Initiatives Program (FHIP) from the
$15,000,000 appropriation. The availability of the remaining $3.5
million will be announced under a separate NOFA. This program assists
projects and activities designed to enforce and enhance compliance with
the Fair Housing Act and substantially equivalent State and local fair
housing laws. Under this competition, HUD will fund projects undertaken
through the Private Enforcement Initiative (PEI), Education and
Outreach Initiative (EOI), and Fair Housing Organizations Initiative
(FHOI).
Application Due Date: Completed applications for all Initiatives/
Components are due no later than 12:00 midnight, Eastern time on June
1, 1998 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: Completed applications (one
original and two copies) should be submitted to: 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 submitting your application, please refer to
FHIP and provide your name, mailing address (including zip code) and
telephone number (including area code).
For Application Kits, Further Information, and Technical
Assistance:
For Application Kits. For an application kit and supplemental
information please call the HUD SuperNOFA Information Clearinghouse at
1-800-HUD-8929. Persons with hearing or speech impairments may call the
Center's TTY at 1-800-483-2209. The application kit also will be
available on the Internet at: http://www.HUD.gov. When requesting an
application kit, please refer to FHIP, and provide your name, address
(including zip code), and telephone number (including area code).
For Further Information and Technical Assistance. For answers to
your questions, you have several options. You may contact Ivy L. Davis,
Director, FHIP/FHAP Support Division at 202-708-0800 (this is not a
toll-free number), or persons who use a text telephone (TTY) may call
1-800-290-1617. You may also 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.
Additional Information
I. Authority; Purpose; Amount Allocated; Ineligible Activities; and
Eligibility
(A) 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.
(B) Purpose
The purpose of the FHIP is to assist projects and activities
designed to enforce and enhance compliance with the Fair Housing Act
and substantially equivalent State and local fair housing laws.
Eligible applicants may apply to carry out private enforcement
activities, educational activities and projects that establish or build
the capacity of organizations to provide fair housing services.
(1) In September 1997, HUD announced a ``crackdown on housing
discrimination'' and pledged to double its enforcement actions. The
projects funded under this NOFA are expected to contribute to the
accomplishment of this goal and applications will be evaluated based
upon their responsiveness to this objective in Rating Factor 3.
(2) As immigrants settle in the U.S., there is a concern that they
may encounter actual or perceived discriminatory housing practices. As
such, it is critical that fair housing efforts be directed to educating
these individuals about their fair housing rights as well as ensuring
that enforcement mechanisms address the specific type of discrimination
they, in particular, encounter. Therefore, activities under this NOFA
should be particularly focused on addressing both the fair housing
educational and enforcement needs of these new immigrant groups, as
well as other underserved populations. Applicants will be evaluated on
this objective in Rating Factor 2.
(3) Although almost ten years have passed since the enactment of
the Fair Housing Act amendments affecting persons with disabilities, it
appears that in many areas of the country, much of the covered housing
still fails to comply with the Fair Housing Act requirements and
persons with disabilities are still often discriminated against and are
refused reasonable accommodations. HUD recognizes the critical role
that disability advocacy groups have in addressing the unique needs of
persons with disabilities. For this funding round, under the Fair
Housing Organizations Initiative (FHOI)--Continued Development
Component (CDC), applications must include the participation of
disability advocacy organizations.
(C) Amount Allocated
Of the funds appropriated for the Fair Housing Initiatives Program
in FY 1998, approximately $11,500,000 is being made available on a
competitive basis to eligible organizations that submit timely
applications and are selected in response to this SuperNOFA.
HUD retains the right to shift funds among the FHIP Initiatives and
Components listed below, within statutorily prescribed limitations. The
amounts included in this SuperNOFA are subject to change based on funds
availability. The amount of FY 1998 funding available for the FHIP is
divided among three Initiatives as follows:
(1) Education and Outreach Initiative (EOI). This SuperNOFA makes
available $1,000,000 for EOI projects under the Regional, local, and
community-based component. Under this component, 18-month projects,
with an award cap of $100,000, will be funded that support regional,
local and community-based education and outreach efforts. An additional
$3,500,000 will be made available for projects which are national in
scope through a separate NOFA.
(2) Private Enforcement Initiative (PEI). The amount of $9,300,000
is being used for the PEI for the following components:
(a) General Component. Of the $9,300,000, $7,800,000 is available
for 24-month projects, with an award cap of $350,000. Recipients of
FHIP PEI grants awarded based upon applications submitted under the FY
1997 NOFA--RFA-97-1, FY 1996 FHIP NOFA--RFA-96-1, and the FY 1995 FHIP
NOFA--RFA-95-1, are ineligible to apply under the FY 1998 competition
for multi-year PEI--General Component awards unless their above-
referenced PEI award will expire by 3/31/99. Regardless of when their
awards expire, those recipients are eligible to apply for PEI--Joint
Enforcement Project Component awards, as well as FHOI and EOI awards.
(b) Joint Enforcement Project component. Of the $9,300,000,
$1,500,000 is available for 18-month projects, with an award cap of
$300,000, that promote partnerships between private fair housing
enforcement
[[Page 15537]]
organizations, FHAP agencies and/or traditional civil rights
organizations to focus on systemic investigations of housing
discrimination.
(3) Fair Housing Organizations Initiative (FHOI). The amount of
$1,200,000 is available for the FHOI for single and multi-year
projects, to be used for the establishment of a new fair housing
enforcement organization and for supporting the fair housing
enforcement capacity development of eligible organizations to address
the fair housing needs of persons with disabilities, under the
following two components.
(a) Establishing New Organizations Component (ENOC). Of the FHOI
total of $1,200,000, $400,000 is available for a 24-36 month project to
fund the creation of a new fair housing enforcement organization in an
underserved area, with an award cap of $400,000.
(b) Continued Development Component (CDC). HUD is reserving
$800,000 of the $1,200,000 under the FHOI for 18-month projects, with
an award cap of $200,000, to utilize the capacity of organizations to
assist persons with disabilities in developing fair housing enforcement
programs to address this protected class.
(D) Definitions
The definitions that apply to this FHIP section of the SuperNOFA
are as follows:
Fair Housing Assistance Program Agencies means State and local
agencies funded by the Fair Housing Assistance Program (FHAP), 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).
(E) Ineligible Activities/Applications for All Components
(1) Fair Housing and Free Speech. None of the amounts made
available under this NOFA 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 nonfrivolous
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.
(2) Research Activities. Projects to be 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
under this NOFA.
(3) Award Caps. In order to maximize the number of grants awarded
and to allow HUD to fairly assess the quality of an applicant's
proposed program, applications that request FHIP funding in excess of
the award cap will be deemed ineligible.
(4) Litigation. In accordance with 24 CFR 125.104(f), no recipient
of assistance under the FHIP may use any funds provided by HUD for the
payment of expenses in connection with litigation against the United
States.
(F) Eligibility for Education and Outreach Initiative--Regional/Local/
Community-Based Component
(1) Eligible Applicants. HUD particularly encourages the submission
of applications from traditional civil rights organizations, which are
defined as private non-profit organizations or institutions and/or
private entities that are formulating or carrying out programs to
prevent or eliminate discriminatory housing practices and which have a
history and primary mission of engaging in programs designed to secure
Federal civil rights protections for groups and individuals. The
following organizations are eligible to receive funding under the EOI--
Regional/Local/Community-Based Component: QFHOs; FHOs; public or
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.
(2) Eligible Activities. All projects funded under this competition
must be focused on addressing the fair housing needs of underserved
populations and/or new immigrant populations in geographic areas to be
specified in the grant application. EOI activities must be designed to
increase the referral of fair housing complaints and other information
to HUD and to educate the public about their fair housing rights and
the procedures for filing complaints with HUD. The application must
outline the referral process and projected referrals to HUD expected in
the proposed Statement of Work. The final performance measures for
deliverables will be negotiated between the grantee and HUD as part of
the executed grant agreement and will be based upon the applicant's
proposal.
Activities may include holding educational forums, duplication of
existing fair housing materials for distribution throughout the project
area, providing fair housing counseling services, conducting outreach
and providing information on fair housing through printed and
electronic media, developing or implementing Fair Housing Month
activities, and informing 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. Activities may not include the development of new
fair housing materials except as a supplement to existing materials,
but instead must use existing approved materials available locally or
through the Fair Housing Information Clearinghouse.
(3) Additional Requirements. The following requirements are
applicable to all applications under the EOI:
(a) All projects must address or have relevance to housing
discrimination based on race, color, religion, sex, disability,
familial status, or national origin.
(b) All proposals must contain a description of how the activities
or the final products of the projects can be used by other agencies and
organizations and what modifications, if any, would be necessary for
that purpose.
(c) Each non-governmental applicant for funding under the EOI
Regional, Local and Community-Based Component that is located within
the jurisdiction of a FHAP agency must provide, with its application,
documentation (such as letters between the two organizations) that it
has consulted with the agency or agencies to coordinate activities to
be funded under the EOI. This coordination will minimize duplication
and fragmentation of activities.
(G) Eligibility for Private Enforcement Initiative (PEI)
(1) Eligible applicants.
(a) Organizations that are eligible to receive FY 1998 funding
assistance under the PEI are QFHOs and FHOs with at least one year of
experience in complaint intake, complaint investigation, testing for
fair housing violations, and enforcement of meritorious claims.
(b) Current recipients of FHIP PEI grants awarded based upon
applications submitted under the FY 97, FY 96 and FY 95 NOFAs that will
not expire by March 31, 1999 are ineligible to apply
[[Page 15538]]
for multi-year PEI--General Component awards. However they are eligible
to apply for PEI--Joint Enforcement Project Component awards, as well
as FHOI and EOI awards.
(2) Eligible Activities.
(a) General Component projects. Project applications must include
more than one type of activity and address more than one fair housing
issue. All projects must include a description of and the estimated
amount of projected enforcement referrals to HUD. Eligible activities
may include, but are not limited to, the following:
(i) Conducting complaint intake of allegations of housing
discrimination;
(ii) Conducting testing, evaluating testing results or providing
other investigative support for administrative and judicial enforcement
of fair housing laws;
(iii) Conducting preliminary investigations of individual and
systemic housing discrimination for further enforcement processing by
HUD;
(iv) Building the capacity to investigate, through testing and
other investigative methods, housing discrimination complaints covering
all protected classes;
(v) Conducting mediations or other voluntary resolutions of
allegations of fair housing discrimination;
(vi) Providing funds for the costs and expenses of litigating fair
housing cases, including expert witness fees.
(b) Joint Enforcement Project (JEP) Component Projects. The
objective of the FHIP JEP project is that partnerships between private
fair housing enforcement organizations, FHAP agencies and/or
traditional civil rights organizations will focus on systemic
investigations of housing discrimination. Grantee activities will
result in either complaints being filed with HUD or in information
being provided to HUD sufficient for the filing of Secretary-Initiated
Complaints. Funding under this component is for investigative/
enforcement activities producing outcomes/deliverables that are
provided to HUD for determination of appropriate actions/use of data.
These deliverables must meet or exceed the annual performance measures
outlined in the application and agreed to in the executed grant
agreement. It is anticipated that the majority of the project
activities would be related to cases involving allegations of systemic
discrimination as defined in 24 CFR 103.205.
Through frequent and regular contact with HUD, applicants will
carry out activities to be performed in conjunction with a FHAP agency/
agencies, private fair housing enforcement organization(s), and/or
traditional civil rights organization(s), in order to achieve the
objective outlined above. Project proposals must contain a strategy for
achieving project deliverables, with related timelines and annual
milestones. The activities to be performed to achieve project
deliverables must include, but are not limited to:
(i) Sharing of data analyses for use in developing the
investigations;
(ii) Conducting joint preliminary investigative activities through
testing, review of property records, development of strategies,
interviews, etc.;
(iii) Development of investigative materials for referral to HUD
for action;
(iv) Regular meetings among organizations and with HUD to share
information about potential violations for investigation based upon
complaints, data, or other sources; and
(v) Regular contact with HUD to ensure project activities conform
with planned deliverables and that deliverables meet grant agreement
requirements.
All PEI-JEP applications must be submitted by a QFHO/FHO as the
sole recipient, but must contain detailed letter(s) of commitment from
all FHAP agencies and traditional civil rights organizations identified
as part of the JEP. The 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
subcontractor's role in the project. A separate detailed budget for
each subcontract should be included in the application.
(3) Other Provisions.
(a) Successful multi-year PEI projects will receive incremental
funding during the life of the award subject to periodic performance
reviews. Applications that request FHIP funding in excess of the award
cap will be deemed ineligible.
(b) Neither the grantee nor any subcontractors are permitted to
charge or claim credit for any activities performed under the JEP grant
toward any other Federal project/funds. For example, FHAP agencies will
not be able to count any cases/referrals arising under this project
toward their FHAP case processing calculations.
(c) All applicants proposing to conduct testing must include as
initial tasks in their Statement of Work that they will provide to HUD
for review and approval the testing methodology to be used and the
training to be provided to testers. These tasks, as well as any others
identified during grant negotiations, must be completed and accepted by
HUD prior to HUD's disbursement of FHIP funds.
(H) Eligibility for the Fair Housing Organizations Initiative (FHOI)
(1) Eligible Applicants. (a) Establishing New Organizations
Component (ENOC). Eligible applicants for funding under this component
of the FHOI are limited to QFHOs.
(b) Continued Development Component (CDC). The following
organizations are eligible to receive funding under the FHOI--CDC:
QFHOs; FHOs; and non-profit groups organizing to build their capacity
to provide fair housing enforcement.
(2) Eligible activities. (a) Establishing New Organizations
Component. Eligible for funding under this purpose of the FHOI are 24-
36 month projects that help establish, organize and build the capacity
of a fair housing enforcement organizations in underserved areas.
``Underserved areas'' is defined as areas which are currently
underserved or not served by one or more fair housing enforcement
organizations as well as those areas where large concentrations of
protected classes exist. Applicants must provide a justification for
the selection of the geographic jurisdiction to be served by the
proposed new organization and describe how the jurisdiction is
underserved by any existing public or private fair housing
organizations, including FHAP agencies. Applications must propose the
establishment of a new fair housing enforcement organization in an
underserved area. Applicants must provide a justification for the
selection of the geographic jurisdiction to be served by the proposed
new organization and how the jurisdiction is underserved by any
existing public or private fair housing organizations, including FHAP
agencies. This justification must include data and studies that
indicate the presence of housing discrimination, segregation, and new
immigrant groups, and/or other indices of discrimination in the
locality based upon race, color, religion, sex, national origin,
familial status, or disability. Project applications must include more
than one type of activity and address more than one fair housing issue.
Additionally, all projects must include a basis for the specific
activities relating to referral of enforcement proposals to HUD.
(b) Continued Development Component. (i) Applications in this
category are for 18-month projects that propose to expand eligible
applicants' capacity to provide fair housing enforcement services that
address the needs of persons with disabilities.
[[Page 15539]]
Project applications must include more than one type of activity and
address more than one fair housing issue. For purposes of this
competition, ``disability advocacy groups'' are defined as
organizations that traditionally have provided for the civil rights of
persons with disabilities, including organizations such as Independent
Living Centers and cross-disability legal services groups. These
organizations must: be organized as a private, tax-exempt, non-profit,
charitable organization; be established with a primary purpose to
assist persons with a broad range of disabilities, including physical,
cognitive and psychiatric/mental disabilities, in exercising or
protecting their fair housing and/or other civil rights (persons with
disabilities need not be the only class served by the organization and
fair housing and/or civil rights protection need not be the only
activity of the organization); and demonstrate actual involvement of
persons with disabilities throughout their activities, including on
staff and board levels. Recognizing the critical role that disability
advocacy groups have addressing the unique needs of persons with
disabilities, HUD is requiring that proposals follow one of the
approaches described below:
(1) Disability advocacy groups may apply to carry out activities
that will expand their organization's capacity to provide the full-
range of fair housing enforcement services to its clientele; or
(2) Fair housing enforcement organizations may apply to expand
their capacity to provide fair housing services to persons with
disabilities, through the utilization of subcontract(s) with disability
advocacy groups (preferably with groups located within the local
jurisdiction to be served).
(i) Eligible activities for funding under this purpose of the FHOI
are any of the activities listed as eligible under the PEI in Section
I(F)(2) of this FHIP section of the SuperNOFA, as long as they meet the
focus on disability issues as outlined in Section I(F)(2)(b)(i) of this
FHIP section of the SuperNOFA. Additionally, all projects must include
a basis for the specific activities relating to enforcement proposal
referrals to HUD and the projected number of enforcement proposal
referrals to HUD.
(ii) Funding under the FHOI-CDC may not exceed more than 50 percent
of the operating budget of the recipient organization for any one year.
For purposes of the limitation of this paragraph, operating budget
means the applicant's total planned budget expenditures from all
sources, including the value of in-kind and monetary contributions, in
the 18 months for which funding is sought.
II. Program Requirements
(A) FHIP Specific Requirements
(1) Through the Private Enforcement Initiative (PEI) and Fair
Housing Organizations Initiative (FHOI) components of this SuperNOFA,
HUD will fund only full service and broad-based fair housing
enforcement projects that address discrimination against persons
protected by the Fair Housing Act and contribute in measurable ways to
HUD's commitment to double its enforcement actions. Enforcement
projects must include more than one type of activity. Full-service
projects must include more than one of the following enforcement-
related activities: interviews with potential victims of
discrimination, analysis of housing-related issues; complaint intake;
testing; evaluation of testing results; preliminary investigation;
mediation; enforcement of meritorious claims through litigation or
referral to administrative enforcement agencies; and dissemination of
information about fair housing laws. ``Broad-based'' means not limited
to a single fair housing issue, but rather covering multiple issues
related to discrimination in the provision of housing covered under the
Fair Housing Act, such as: rental, sales and financing of housing.
(2) Applicants Limited to a Single Award. Applicants may apply for
funding for more than one project or activity under one or more
Initiatives. However, applicants are limited to one award under this
FHIP section of the SuperNOFA. If more than one eligible application is
submitted by an applicant and both are within funding range, HUD will
select the application which the applicant has indicated as its
preference for award should more than one application submitted be
within funding range. One exception is for applicants that submit a
successful application under the FHOI-ENOC, which is targeted at
creating new fair housing enforcement organizations. In such cases,
FHOI recipients will also be eligible to receive one additional award
under either the EOI or PEI.
(3) Independence of Awards. There are no limits on the number of
applications that can be submitted by a single applicant. However, 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 the applicant or other applicants. This
provision does not preclude an applicant from submitting a proposal
which includes other organizations as subcontractors to the proposed
project or activity.
(4) Project Starting Period. HUD has determined that all
applications must propose that the project will begin no later than
October 1, 1998.
(5) Page Limitation. Applicants will be limited to 10 pages of
narrative responses for each of the five selection criteria (this does
not include forms or documents which are required under each
criterion). Furthermore, unrequested items such as brochures and news
articles, will not be considered in the evaluation process. Applicants
that exceed the 10-page limit for each criterion will only have the
first 10 pages evaluated for each criterion. Failure to provide
narrative responses to all selection criteria will result in an
applicant not receiving points for the information omitted. Failure to
receive points for a factor may significantly impact an applicant's
ability to receive an award.
(6) Training. All applications must include a training set-aside of
$3,000 for single-year projects and $6,000 (total) for multi-year
projects in all project budgets. HUD will permit grantees to use these
funds to attend both HUD-sponsored and HUD-approved training.
(7) Payment Contingent on Completion. Payment to grantees will be
contingent on the satisfactory completion of all project activities on
an annual basis, including the successful achievement of tasks relating
to enforcement proposals and/or complaint referrals to HUD.
(8) Mandatory Referrals. All PEI/FHOI recipients are required to
refer to HUD all cases arising out of audit testing under FHIP grants.
(9) Accessibility Requirements. All activities and materials funded
by FHIP must be reasonably accessible to persons with disabilities.
(10) Outreach Expenses. Applications may designate up to 5% of
requested funds to conduct education and outreach to promote awareness
of the services provided by the project, but such promotion must be
necessary for the successful implementation of the project.
(11) Tester Requirements. Testers in testing activities funded with
PEI and FHOI funds must not have prior felony convictions or
convictions of crimes involving fraud or perjury, and they 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
[[Page 15540]]
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.
(12) Review and Approval of Testing Methodology. HUD reserves the
right to require applicants proposing to conduct testing to include as
initial tasks in their Statement of Work that they will provide to HUD
for review and approval the testing methodology to be used and the
training to be provided to testers. These tasks, as well as any others
identified during grant negotiations, must be completed and accepted by
HUD prior to HUD's disbursement of FHIP funds.
(13) Enforcement Log. Recipients of funds under the PEI and FHOI
shall be required to record, in a case tracking log (or Fair Housing
Enforcement Log) to be supplied by HUD, information appropriate to the
funded project relating to the number of complaints of possible
discrimination 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.
The recipient must agree to make this log available to HUD.
(14) Certifications. (a) All PEI and FHOI proposals must certify
that the applicant 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 the applicant during the 12 month
period following the test. This does not preclude settlement based on
investigative findings.
(b) All PEI and FHOI proposals must certify that an applicant which
receives any compensation, directly or indirectly from a settlement,
conciliation or award of damages as a result of activities funded under
this SuperNOFA, will use such monies only to carry out activities
eligible under the FHIP and specifically authorized by the grant
agreement provision addressing the use of such funds. Such provision
will be part of the cooperative/grant agreement. HUD reserves the right
to negotiate with successful applicants provisions addressing potential
conflicts of interest.
(B) General Requirements
The program requirements listed in the General Section of this
SuperNOFA are applicable to applicants applying for FHIP funding under
this SuperNOFA.
III. Application Selection Process
(A) Rating and Ranking
(1) General. Each application for funding will be evaluated
competitively under one of the five categories: PEI-General Component;
PEI-Joint Enforcement Project Component; EOI-Regional, local and
community-based component; FHOI-Establishing New Organizations
Component; or FHOI-Continued Development Component. Then, in each
category, they will be awarded points and assigned a score based on the
Selection Criteria for Rating Applications for Assistance identified in
Section III(B) of this FHIP section of the SuperNOFA. After eligible
applications are evaluated against the factors for award and assigned a
score, they will be organized by rank order. Awards for each category
listed above will be funded in rank order until all available funds
have been obligated, or until there are no acceptable applications,
with the exception described in Section III(A) (2) and (3), immediately
below, which is designed to achieve geographic distribution of awards
and to achieve full service and broad-based fair housing enforcement
projects. The final decision rests with the selecting official, the
Assistant Secretary for Fair Housing and Equal Opportunity or her
designee.
(2) Achieving Geographic Distribution of Awards. The Assistant
Secretary, or designee, will have the discretion to make awards out of
rank order and fund or not fund applications in order to provide
broader geographic representation in accordance with the following
procedure. For each Initiative and component, awards will be funded in
rank order, except as follows: only the highest ranking application
under any Initiative or component for activities to be conducted in a
Metropolitan Statistical Area (MSA), as defined by the Bureau of the
Census, will be selected. No other application proposing activities in
the same MSA under the same Initiative or component will be selected,
unless there are not enough applications of sufficient quality to
permit the awarding of all funds in an Initiative or component. If the
Assistant Secretary determines that there are not enough applications
of sufficient quality in any Initiative or component, then the next
highest ranked application(s) that had previously been passed over may
be funded in the same MSA.
(3) Tie Breaking. When there is a tie in the overall total score,
the award will be made to the applicant that has the higher score under
Rating Factor 3 (Soundness of Approach). If these 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 receive the award. If these
scores are identical then the award will be made to the applicant with
the lower request for FHIP funding.
(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 to be
awarded is 102. This includes two EZ/EC bonus points, as described in
the General Section of the NOFA.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
The rating of the ``applicant'' or the ``applicant's organization
and staff'' for technical merit will include any sub-contractors,
consultants, sub-recipients, and members of consortia that are
identified as participants in the project.
This factor addresses the extent to which the applicant has 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) (10 points) 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 programs for which
funding is being requested. Experience will be judged in terms of
recent, relevant and successful experience of the applicant's staff to
undertake eligible program activities. The applicant has sufficient
personnel or will be able to quickly access qualified experts or
professionals, to deliver the proposed activities in a timely and
effective fashion, including the readiness and ability of the applicant
to immediately begin the proposed work program. To demonstrate that the
applicant has sufficient personnel, the applicant must submit the
proposed number of staff years by the employees and experts to be
allocated to the project, the titles and
[[Page 15541]]
relevant professional background and experience of each employee and
expert proposed to be assigned to the project, and the roles to be
performed by each identified employee and expert.
(2) (10 points) for either (a) or (b):
(a) The applicant's past experience in terms of its ability to
attain demonstrated measurable progress in the implementation of its
most recent activities where performance has been assessed as measured
by expenditures and measurable progress in achieving the purpose of the
activities. HUD will also consider any documented evidence of the
grantee's failure under past awards to comply with grant award
provisions; or
(b) If the FHIP applicant has not received funding in the past, the
applicant's demonstrated experience in managing programs, and carrying
out grant management responsibilities for programs similar in scope or
nature directly relevant to the work activities proposed. If the
applicant has managed large, complex, interdisciplinary programs, the
applicant should include the information in the response.
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 activities and an indication for the urgency of
meeting the need in the target area. In responding to this factor,
applicants will be evaluated on the Statement of Need, which addresses
the following:
(1) (10 points) The extent to which applicants document a level of
need for the project activities in the target area, including a focus
on the targeted groups of new immigrant and other underserved
populations, and the urgency in meeting the need using statistics and
analyses contained in a data source(s) that is sound and reliable. To
the extent that the applicant's community's Consolidated Plan and
Analysis of Impediments to Fair Housing Choice (AI) identify the level
of the problem and urgency in meeting the need, references to these
documents should be included in the response. The Department will
review more favorably those applicants who used these documents to
identify need, when applicable. If the project activity is not covered
under the scope of the AI, applicants should indicate such, and use
other reliable data sources to identify the level of need and the
urgency in meeting the need. Types of other data sources include, but
are not limited to, 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 the project activities.
(2) (10 points) To the extent possible, is specific to the area
where the project activity will be carried out. Specific attention must
be paid to documenting need as it applies to the area where activities
will be targeted, 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. The Statement of Need must demonstrate how
specific community or neighborhood needs can be resolved through the
activities proposed. The applicant should discuss how it 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 compliments or supplements existing
efforts and why additional funds are being requested.
Rating Factor 3: Soundness of Approach (40 Points)
This criterion addresses the quality and cost-effectiveness of the
applicant's proposed work plan. There must be a clear relationship
between the project activities, community needs and the purpose of the
program funding for the applicant to receive points for this factor.
(1) (15 points) For all projects, applicants must describe how
their project activities will result in the referral of enforcement
proposals to HUD and projected number of enforcement proposal referrals
expected. Specifically, the applicant must describe the project
activities that specifically relate to complaints being referred to HUD
during the period of performance of the grant. In responding to this
factor, the applicant should describe the methods to be developed or
used to identify and refer enforcement actions to HUD. Applicants to
the extent that their past activities have resulted in successful
enforcement proposals being referred to HUD should describe these
actions and the outcome of such referrals. ``Enforcement proposals'' is
defined as well-developed information which could be considered to be
timely, jurisdictional, potential complaints under the Fair Housing Act
and which can 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.
(a) 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)/CRA Analysis/Census data, current studies of
residential segregation, or other similar documentation supporting
allegations of discrimination; and
(iv) Referrals of complaints to HUD on behalf of individuals or
groups other than the grant recipient.
(b) Specifically, the applicant should provide the following:
(i) All PEI and FHOI applications must provide a basis for the
specific activities relating to enforcement proposal referrals to HUD
and the projected number of enforcement referral proposals that are
described in the Statement of Work. The final performance measures for
enforcement proposal referrals will be negotiated between the grantee
and HUD as part of the executed grant agreement and will be based upon
the proposal.
(ii) All EOI applications must provide a basis for the specific
activities relating to the referral of individuals with fair housing
complaints to HUD, the procedures for filing complaints of
discrimination, and outline the projected referrals to HUD and the
projected number of enforcement referral proposals in the proposed
Statement of Work. The final performance measures for complaint
referrals will be negotiated between the grantee and HUD as part of the
executed grant agreement and will be based upon the proposal.
(2) (15 points) Additionally, HUD is looking for efficient,
effective and feasible Statements of Work that:
(a) Meet the needs articulated in response to Factor 2 including
the extent to which the applicant is providing geographic coverage,
specific protected class focus, as well as serving persons
traditionally underserved. Efforts to increase community awareness in a
culturally sensitive manner through education and outreach efforts will
also be evaluated;
(b) Provide clarity with regard to the specific, sequential tasks
and subtasks to be performed, noting those which should occur
simultaneously and the feasibility that tasks can be completed within
the grant period;
[[Page 15542]]
(c) Describe immediate benefits of the project and indicators by
which the benefits will be measured;
(d) Provide for proposed tasks and sub-tasks that clearly provide
technically competent methodologies for conducting the work to be
performed;
(e) Describe the extent to which the proposed design and size of
project or activity is appropriate to the achievement of program
funding purposes articulated for the FHIP section in this SuperNOFA;
and
(f) Identify specific numbers of quantifiable end products and
program improvements the applicant aims to deliver by the end of the
award agreement period as a result of the work performed.
(g) The extent to which the project activities will affirmatively
further fair housing (AFFH). The applicant can best demonstrate its
commitment to affirmatively further fair housing by describing how
proposed activities will assist the jurisdiction 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, or other planning document
that addresses fair housing issues. Additional examples may be obtained
from Chapter 5 of the ``Fair Housing Planning Guide, Vol. 1'' which may
be ordered from HUD's Fair Housing Information Clearinghouse by calling
(800) 343-3442.
(3) (10 points) HUD also will assess the soundness of the
applicant's approach by assessing the following:
(a) The quality, thoroughness and reasonableness of the cost
estimates provided. As part of the applicant's response, a summary
budget should be provided which identifies costs by cost 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 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, the applicant 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. In addition, applicants
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;
(v) Equipment charges, if any. Equipment charges should identify
the type of equipment, quantity, unit costs and total estimated
equipment costs;
(vi) 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;
(vii) Subcontract Costs, if applicable. Indicate each individual
subcontract and amount. Each proposed subcontract should include a
separate budget which identifies costs by cost categories;
(viii) Other Direct Costs listed by item, quantity, unit cost,
total for each item listed, and total direct costs for the award;
(ix) Indirect Costs should identify the type, approved indirect
cost rate, base to which the rate applies and total indirect costs. The
submission should include:
(b) The rationale used to determine costs and validation of fringe
and indirect cost rates, if the applicant is not using an accepted,
Federally negotiated indirect cost rate;
(c) The extent to which the program is cost effective in achieving
the anticipated results of the proposed activities as well as in
achieving significant community impact; and
(d) The extent to which the applicant demonstrates capability in
handling financial resources with adequate financial control procedures
and accounting procedures. In addition, considerations will include
findings identified in their most recent audits, internal consistency
in the application of numeric quantities, accuracy of mathematical
calculations and other available information on financial management
capability.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant 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:
(1) (5 points) The extent to which the applicant has partnered with
other entities to secure additional resources to increase the
effectiveness of the proposed project activities. Resources may include
funding or in-kind contributions, such as services or equipment,
allocated to the purpose(s) of the award the applicant is 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. Applicants may also
partner with other program funding recipients to coordinate the use of
resources in the target area.
(2) (5 points) Applicants 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.
Applicants for funding under the FHOI-Continued Development Component
must describe efforts undertaken to obtain the participation of
disability advocacy organizations and indicate the disability advocacy
organizations that participated and describe their participation.
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 (including
Analysis of Impediments to Fair Housing Choice) process, and is working
towards addressing a need in a holistic and comprehensive manner
through linkages with other activities in the community.
[[Page 15543]]
In evaluating this factor, HUD will consider the extent to which
the applicant demonstrates it has:
(1) Coordinated its project 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. Any written agreements, memoranda of understanding in place, or
that will be in place after award should be described.
(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 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(ies) served.
(C) Applicant Notification and Award Procedures
(a) Notification. No information will be available to applicants
during the period of HUD evaluation, approximately 90 days, except for
notification in writing or by telephone to those applicants that are
determined to be ineligible or that have technical deficiencies in
their applications that may be corrected. Selectees will be announced
by HUD upon completion of the evaluation process, subject to final
negotiations and award.
(b) Negotiations. After HUD has ranked the applications and
provided notifications to applicants whose scores are within the
funding range, HUD will require that applicants in this group
participate in negotiations to determine the specific terms of the
cooperative or grant agreement. HUD will follow the negotiation
procedures described in Section II(D) of the General Section of the
SuperNOFA.
(c) 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 applicant.
(d) 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 the grantee
to comply with special conditions added to the grant agreement, in
accordance with 24 CFR 84.14, the requirements of this NOFA, or where:
(i) HUD determines the amount requested for one or more eligible
activities is unreasonable or unnecessary;
(ii) The applicant has proposed an ineligible activity in an
otherwise eligible project;
(iii) Insufficient amounts remain in that funding round to fund the
full amount requested in the application, and HUD determines that
partial funding is a viable option; or
(iv) The applicant has demonstrated an inability to manage HUD
grants, particularly FHIP grants.
(e) Performance Sanctions. A 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.
IV. Application Submission Requirements
In addition to the forms, certifications and assurances required in
Section II(G) of the General Section of the SuperNOFA and the
applicant's responses to the five rating factors in Section III(B) of
this FHIP section of the SuperNOFA, all applications must, at a
minimum, contain the following items:
(A) Transmittal Letter
This letter identifies the NOFA, the program under the NOFA for
which funds are requested, the specific FHIP Initiative and component
under which the application is submitted, and the dollar amount
requested for each program, and the applicant submitting the
application.
(B) Narrative Statement
The narrative statement addresses the Factors for Award in Section
III(B) of this FHIP section of the SuperNOFA. Your narrative response
should be numbered in accordance with each factor for award identified
under Section III(B) of this FHIP section of the SuperNOFA.
(C) Financial Management and Audit Information
Each applicant must submit a certification from an Independent
Public Accountant or the cognizant government auditor, stating that the
financial management system employed by the applicant 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.
V. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VI. 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.
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
[[Page 15545]]
Funding Availability for the Housing Counseling Program
Program Description: Approximately $18.0 million is available for
the Housing Counseling Program. HUD's Housing Counseling Program is
directed to promoting and protecting the interests of housing consumers
participating in HUD and other housing programs, as well as, to
protecting the interests of HUD and mortgage lenders.
Application Due Date: Completed applications must be received no
later than 6:00 pm local time, on June 1, 1998, at the appropriate
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).
Addresses for Submitting Applications:
For Local and State Housing Finance Agencies. For local housing
counseling agency and state housing finance agency applicants: an
original and two copies of the completed application must be submitted
to the respective HUD Homeownership Center having jurisdiction over the
locality, area or state in which the proposed program is located. These
copies should be sent to the attention of the Marketing and Outreach
Division Director, and the envelope should be clearly marked, ``FY 1998
Counseling Application.'' A list of Marketing and Outreach Division
Directors, HUD Homeownership Centers and jurisdictions appears in the
application kit.
For National, Regional and Multi-State Housing Agencies. For
national, regional, and multi-state housing counseling intermediaries:
an original and two copies of the completed application must be
submitted to the Director, Marketing and Outreach Division, Office of
Single Family Housing, HUD Headquarters. (See the Application Kit for
name and address.) The envelope should be clearly marked, ``FY 1998
Intermediary Application.'' Failure to submit an application to HUD
Headquarters in accordance with the above procedures may result in
disqualification of the application.
For Application Kits, Further Information and Technical Assistance:
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. 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. For local housing
counseling agencies or State housing finance agencies, you may call the
HUD Homeownership Center serving your area. For national, regional, or
multi-state intermediaries, you may call HUD Headquarters. Please see
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.
Additional Information
I. Authority; Purpose; Amount Allocated; and Eligibility
(A) 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.
(B) Purpose and Background
Section 106 of the Housing and Urban Development Act of 1968
authorizes HUD to provide counseling and advice to tenants and
homeowners with respect to property maintenance, financial management,
and such other matters as may be appropriate to assist tenants and
homeowners in improving their housing conditions and meeting the
responsibilities of tenancy and homeownership.
In addition, HUD-approved housing counseling agencies are
encouraged by HUD to conduct community outreach activities and provide
counseling to individuals 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. In FY 1998, HUD encourages applicants to
focus on:
(1) The counseling needs of first-time homebuyers by offering
Homebuyer Education and Learning Program (HELP) training sessions;
(2) The counseling needs of eligible persons 62 or older who desire
to use the Home Equity Conversion Mortgage (HECM) in order to convert
their equity into a lump sum payment or an income stream that can be
used for home improvements, medical costs, and/or pay living expenses.
(C) Amount Allocated and Funding Levels
(1) Amount Allocated. Under this SuperNOFA, $18 million is made
available for eligible applicants for three (3) programs under Housing
Counseling.
(a) The estimated amount of funds available for sub-allocation is
as follows:
(i) Local Housing Counseling Agencies. Approximately $5 million has
been made available for grants to local HUD-approved housing counseling
agencies. Funding 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 its intent to
ensure appropriate geographical distribution of program funds. For FY
1998, no individual local housing counseling agency may be awarded more
than $100,000.
A local, HUD-approved housing counseling agency may apply for a
sub-grant to a State housing finance agency, whether or not the local
agency has a housing counseling grant from HUD. The local agency,
however, shall disclose all funding sources to HUD.
Allocations for use in local agency programs by HUD Homeownership
Center are estimated as follows:
BILLING CODE 4210-32-P
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BILLING CODE 4210-32-C
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(ii) National, Regional, and Multi-State Intermediaries.
Approximately $6 million is being set aside to fund HUD-approved
national, regional and multi-state intermediaries that apply for
funding under this SuperNOFA. No national, regional, or multi-state
intermediaries may receive more than $1 million. No affiliate of an
intermediary, as a sub-grantee, can be awarded a sub-grant more than
$100,000. An affiliate may apply to a State housing finance agency for
a sub-grant whether or not the affiliate received a sub-grant from a
HUD-approved national, regional, or multi-state intermediary.
(iii) State Housing Finance Agencies. Approximately $7 million is
being set aside to fund State housing finance agencies, that have a
role as a housing counseling agency and/or as an intermediary to
affiliates, offering housing counseling services. The amount of funding
available to each of the four HUD Homeownership Center jurisdictions is
as follows:
------------------------------------------------------------------------
Funding
Homeownership center allocation
------------------------------------------------------------------------
Atlanta, GA........................................... $1,978,375.00
Denver, CO............................................ 1,555,575.00
Philadelphia, PA...................................... 2,051,875.00
Santa Ana, CA......................................... 1,414,175.00
------------------------------------------------------------------------
No State housing finance agency may receive more than $500,000, and
no affiliate of a State housing finance agency, as a sub-grantee, can
be awarded a sub-grant more than $100,000. A State housing finance
agency may provide a sub-grant to local, HUD-approved housing
counseling agencies, and to affiliates of national, regional, or multi-
state intermediaries.
(iv) 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 shall be reallocated
and used in keeping with the statute and in a manner that will improve
the delivery of housing counseling service nationwide.
(b) Funding Levels. The Factors for Award will be used to determine
successful applicants for funding. HUD requires that successful
applicants 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.
(i) Local Housing Counseling Agencies. HUD will fund local housing
counseling agencies according to the budget submitted with the
application, in an amount not to exceed $100,000. Amounts requested by
local housing counseling agencies should reflect anticipated operating
needs for housing counseling activities, based upon counseling
experience during the previous fiscal year and current agency capacity.
(ii) National, Regional, or Multi-State Intermediaries. The
intermediaries will distribute the majority of funds awarded to their
proposed local housing counseling affiliates. HUD will give the
selected intermediaries wide discretion to implement the housing
counseling program with their affiliates. The intermediary may decide
how to allocate funding among its affiliates, and may determine funding
levels at or below $100,000 for individual affiliates with the
understanding that a written record will be kept of how this
determination is made. This record shall be made available to the
agencies affiliated with the intermediary and to HUD. Affiliates are
not eligible for capacity building costs. Intermediaries should budget
an amount which reflects their best estimate of cost to oversee and
fund these housing counseling efforts, as well as, funding the needs of
their affiliates.
(iii) 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. State housing finance
agencies have two roles. The agency can operate as a housing counseling
agency and/or as an intermediary for affiliates that perform housing
counseling functions in their respective States or territories.
(c) Capacity Building and Capacity Building Costs. In FY 1998, the
following amounts of housing counseling grant funds may be used by each
grantee for ``capacity building'' and/or upgrading ``capacity
building'', as defined in this Housing Counseling Program section of
the SuperNOFA (see capacity building costs in the application kit).
Local Housing Counseling Agencies--up to $4,000
National, Regional, or Multi-State
Intermediaries--up to $5,000
State Housing Finance Agencies--up to $5,000
(i) Capacity building costs are: purchasing computer equipment and
housing counseling case management and tracking software capable of
exporting the HUD-9902 data into a database file, such as Data Now;
enhancing telephone service, such as purchasing telecommunications
equipment for the hearing-impaired (TTY) to serve persons with hearing
impairments (as an alternative to using the TTY relay service);
installing FAX machines.
(ii) For local housing counseling agencies, intermediaries and
state housing finance agencies that do not have an adequate computer
system or need to upgrade computer equipment, HUD requires that up to
$4,000 of the grant, for local housing counseling agencies, and up to
$5,000 of the grant, for intermediaries and State housing finance
agencies, be used to acquire items defined as capacity building costs.
Affiliates of State housing finance agencies and intermediaries are not
eligible for capacity building costs. Any equipment purchased must meet
HUD specifications. Title to equipment acquired by a recipient with
program funds shall vest in the recipient, subject to the provisions of
24 CFR part 84, subpart E. Computer training for one staff person may
be paid from the capacity building cost set-aside, as may training on
how to use a TTY.
(d) Use of Counseling Funds and Supplementing HUD Funding.
(i) Housing Counseling Role. Amounts requested by the State housing
finance agency should reflect anticipated operating needs for housing
counseling activities, based upon the counseling experience during FY
1997 and current agency capacity. To the maximum extent possible, State
housing finance agencies must 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. State finance housing agencies may use the HUD grant to
undertake any of the eligible counseling activities described in the
Housing Counseling Program section of the SuperNOFA.
(ii) Intermediary Role. Amounts requested by the State housing
finance agency should reflect their best estimates of costs to oversee
and fund its housing counseling affiliates. In this intermediary role,
the agency will distribute HUD funds to its affiliates. Note that HUD
housing counseling funding is not intended to fully fund either the
agency in its intermediary role or the housing counseling programs of
their affiliates. To the maximum extent possible, the State housing
finance agency and its affiliates are expected to seek other private
and public sources of funding for housing counseling to supplement HUD
funding.
(e) Program Award Period. Housing Counseling grants are fundable
for a
[[Page 15550]]
period of twelve (12) calendar months. This period may begin from the
date that the award is executed by HUD, or not more than 90 days prior
thereto.
(D) Eligible Applicants
Under the housing counseling program, HUD contracts with qualified
public or private nonprofit organizations to provide the services
authorized by the statute. Currently there are approximately 1250 HUD-
approved local housing counseling agencies, including branch offices,
and approximately 13 HUD-approved intermediary organizations. Annually,
all HUD-approved agencies and intermediaries are eligible to apply for
housing counseling grants. However, an agency or intermediary that is
approved by HUD, or a state housing finance agency does not
automatically receive HUD funding. HUD expects that all agencies,
intermediaries and state housing finance agencies will continually work
to develop other funding resources. In FY 1997, 350 HUD-approved local
housing counseling agencies and 5 HUD-approved national, regional, and
multi-state intermediaries received funding from HUD. For the first
time, under this SuperNOFA, HUD is encouraging State housing finance
agencies, that perform housing counseling functions either as a
practitioner and/or as an intermediary to local or statewide housing
counseling affiliates, to apply for funding.
(1) Three types of organizations are eligible to submit
applications in accordance with this Housing Counseling Program section
to this SuperNOFA:
(a) HUD-approved national, regional, or multi-state housing
counseling organizations (also known as ``intermediaries'' or
``umbrella groups'');
(b) HUD-approved local housing counseling agencies; and,
(c) State housing finance agencies.
(2) National, regional, and multi-state intermediaries; and State
housing finance agencies must identify all their proposed affiliates in
their application.
Note: National, regional, and multi-state intermediaries must
assure that their proposed affiliates are unique to their team, and
will not undertake a separate application for funds, either as an
affiliate of another intermediary or State housing finance agency,
or directly as a HUD-approved local housing counseling agency.
Should any duplication occur, both the intermediary and the local
housing counseling agency involved will automatically be ineligible
for further consideration to receive FY 1998 housing counseling
funds.
(a) An intermediary and State housing finance agency applicant must
also assure that it will execute a sub-grant agreement with its
affiliates that clearly delineates their mutual responsibilities for
program management, and includes appropriate time frames for reporting
results to HUD. Once funded, the national, regional, and multi-state
intermediaries and state housing finance agencies will be given broad
discretion in implementing their housing counseling programs.
(b) On behalf of HUD, the intermediaries and State housing finance
agencies will act as managers in the housing counseling process, and as
such, may determine funding levels and counseling activity for each of
their affiliates, except that no single affiliate may receive more than
$100,000. HUD will hold the intermediary and State housing finance
agency accountable for the performance of its affiliates.
(c) Local housing counseling agencies may apply either directly to
HUD for funding, or as a part of an affiliated intermediary or state
housing finance agency network. Continuation of funding for housing
counseling activities, as a separate and discrete program for FY 1999,
and thereafter, is not guaranteed. Therefore, HUD encourages local
housing counseling agencies to consider affiliating with a larger
entity as one avenue of possible future funding and support for local
programs.
(d) Local housing counseling agencies that are not currently HUD-
approved, may receive FY 1998 funding only as an affiliate of a HUD-
approved national, regional, or multi-state intermediary; or State
housing finance agency. In this instance, the intermediary or State
housing finance agency must certify that the quality of services
provided will meet, or exceed, standards for local HUD-approved housing
counseling agencies.
(E) Eligible Activities
Eligible activities will vary depending upon whether the applicant
is a HUD-approved local housing counseling agency; a HUD-approved
national, regional, or multi-state housing counseling intermediary, or
affiliate; or, a State housing finance agency, or affiliate.
(1) Comprehensive Housing Counseling. Local Housing Counseling
Agencies funded under this SuperNOFA may use HUD funds to deliver
comprehensive housing counseling, or to specialize in the delivery of
particular housing counseling services, according to the housing needs
they identified for their target area in the plan that is part of its
application. HUD recognizes that local housing counseling agencies may
offer a wide range of services, including:
(a) Homebuyer Education Programs where HUD's Homebuyer Education
and Learning Program (HELP) materials are used in sessions that consist
of approximately sixteen (16) hours of training. Completion of the
training may allow graduates to receive first-time homebuyer
incentives, such as, the reduction in the FHA insurance premium.
Marketing and Outreach personnel at each HUD Homeownership Center will
be available to assist agencies in this endeavor.
(b) Pre-purchase Homeownership Counseling covering such issues as
purchase procedures, mortgage financing, down payment/closing cost fund
accumulation, accessibility requirements of the property, and if
appropriate, credit improvement, and debt consolidation.
(c) Post-purchase Counseling including such issues as property
maintenance, and personal money management.
(d) Mortgage delinquency and default resolution counseling
including restructuring debt, arrangement of reinstatement plans, loan
forbearance, and loss mitigation.
(e) Home Equity Conversion Mortgage (HECM) counseling that assist
clients, who are 62 years old or older, with the complexities of
converting the equity in their home to income that is used to pay
living expenses or medical expenses.
(f) Loss Mitigation Counseling for clients who may be facing
default and foreclosure, and need mortgage default resolution and
foreclosure avoidance counseling.
(g) Outreach Initiatives including providing general information
about housing opportunities within the community and providing
appropriate information to persons with disabilities.
(h) Renter Assistance including information about rent subsidy
programs, rights and responsibilities of tenants, and lease and rental
agreements.
(2) Housing Counseling Clients. HUD-funded local housing counseling
agencies may elect to offer their services to a wide range of clients,
or may elect to serve a more limited audience, provided limitations do
not violate the requirements of the Fair Housing Act. 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 HUD-
approved housing counseling agency to
[[Page 15551]]
resolve a housing need. This includes accessible housing needs for
persons with disabilities, renters, or, persons age 62 or older, who
wish to convert the equity in their home to avoid default/foreclosure,
pay medical expenses or create an income stream that can be used to pay
living expense. Local housing counseling agencies may elect to offer
this assistance in conjunction with any HUD housing program; however,
they must be familiar with FHA's single family and multifamily housing
programs.
(3) National, Regional, or Multi-State Counseling Intermediaries.
The primary activity of HUD-approved national, regional, or multi-state
intermediaries will be to manage the use of HUD housing counseling
funds. This includes the distribution of housing counseling funding to
affiliated local housing counseling agencies. Local affiliates of the
selected national, regional, or multi-state intermediaries are eligible
to undertake any or all of the housing counseling activities, described
herein for the HUD-approved local housing counseling agencies. The
local affiliates receiving funding through intermediaries do not need
to be HUD-approved in order to receive these funds from the
intermediary. However, the national, regional, or multi-state
intermediary organization must be HUD-approved, as of this SuperNOFA
publication date.
(4) State Housing Finance Agencies. The primary activity of State
housing finance agencies will be 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 its affiliated local housing counseling organizations. The
State housing finance agency, and its local affiliates, are eligible to
undertake any or all of the housing counseling activities, described
herein, for the HUD-approved local housing counseling agencies. The
State housing finance agencies, as either a housing counseling agency
or intermediary, and it local affiliates do not need to be HUD-approved
in order to receive these funds.
II. Program Requirements
In addition to the requirements listed in the General Section of
the SuperNOFA. In addition, the following requirements apply.
Requirements Applicable to Religious Organizations. Where the
applicant is, or proposes 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, the organization must undertake its
responsibilities under the counseling program in accordance with the
following principles:
(1) It will not discriminate against any employee or applicant for
employment under the program on the basis of religion and will not
limit employment or give preference in employment to persons on the
basis of religion;
(2) It will not discriminate against any person applying for
counseling under the program on the basis of religion and will not
limit such assistance or give preference to persons on the basis of
religion; and
(3) It will provide no religious instruction or religious
counseling, conduct no religious services or worship, engage in no
religious proselytizing, and exert no other religious influence in the
provision of assistance under the Housing Counseling Program.
III. Application Selection Process
(A) General
Applications will be evaluated competitively, and ranked against
all other applicants that have applied for the same funding program.
However, after selection, the actual amount funded will be based on
successful completion of negotiations. There will be separate rankings
for each program, and applicants will be ranked only against others
that applied for the same program. National, regional, and multi-State
applications will be rated and ranked in HUD Headquarters, and selected
for funding in rank order. Local agency applications will be rated and
ranked by the HUD Homeownership Centers and selected for funding in
rank order.
(B) Competitive Categories/Selection Parameters
All applications meeting the requirements of this SuperNOFA will be
rated/ranked/selected for funding within their competitive category.
The competitive categories are:
(1) HUD-approved housing counseling agency applicants within the
HUD Homeownership Center's jurisdiction;
(2) HUD-approved national, regional, or multi-state intermediaries;
and
(3) State housing finance agencies.
Intermediaries and State housing finance agencies, in their role as
intermediary, will award sub-grants to affiliates.
(C) 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 the applicant has 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:
The rating of the ``applicant'' or the ``applicant's organization
and staff'' for technical merit will include any subcontractors,
consultants, subrecipients, and members of consortia that are
identified as participants in the project.
(a) (10 points) 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 programs for which
funding is being requested. Experience will be judged in terms of
recent, relevant and successful experience of the applicant's staff to
undertake eligible program activities. The applicant has sufficient
personnel or will be able to quickly access qualified experts or
professionals, to deliver the proposed activities in a timely and
effective fashion, including the readiness and ability of the applicant
to immediately begin the proposed work program. To demonstrate that the
applicant has sufficient personnel, the applicant must submit the
proposed number of staff years by the employees and experts to be
allocated to the project, the titles and relevant professional
background and experience of each employee and expert proposed to be
assigned to the project, and the roles to be performed by each
identified employee and expert.
(b) (10 points) The applicant's past experience in terms of its
ability to attain demonstrated measurable progress in the
implementation of its most recent activities where performance has been
assessed as measured by expenditures and measurable progress in
achieving the purpose of the activities. HUD will also consider any
documented evidence of the grantee's failure under past awards to
comply with grant award provisions.
[[Page 15552]]
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 to address a documented problem
in the target area. To the extent that the community served by the
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 the proposed
activities are not covered under the scope of the Consolidated Plan or
AI, applicants should indicate such and use other sound data sources to
identify the level of need for the proposed activity.
In responding to this factor, applicants will be evaluated on the
extent to which they document a critical level of need for the proposed
activities in the area where activities will be carried out.
The documentation of need should demonstrate the extent of the
problem being addressed by the proposed activities. Examples of data
that might be used to demonstrate need, include, but is not limited to,
economic and demographic data relevant to the target area. There must
be a clear relationship between the proposed activities, community
needs and the purpose of the program funding 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 the
applicant's proposed work plan. In rating this factor, HUD will
consider the following:
(1) The extent to which the proposed design and scope of the
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 the applicant has a clear agenda of the
work activities to be performed;
(3) Proposed tasks that use technically competent methodologies
that have been documented for conducting the work to be performed. HUD
will make an evaluation of the applicant's soundness of approach by
assessing the extent to which the proposed work plan identifies
documented methodologies for the types of services to be performed.
(4) Relationship between the proposed activities, community needs
and the purpose of the program funding.
(5) Affirmatively furthering fair housing may be undertaken in a
variety of ways, as appropriate to the community. Making counseling
offices and services accessible to persons with a wide range of
disabilities and helping such persons to locate suitable housing in
locations throughout the metropolitan or community area are suggested
for both national, regional, or multi-state housing counseling
organization, as well as for local counseling agencies. The following
are additional suggestions:
(a) For National, Regional, or Multi-State Intermediaries and State
Housing Finance Agencies.
(i) Implement affirmative marketing strategies to attract all
segments of the population listed as prohibited bases in the Fair
Housing Act, who are least likely to apply for housing counseling to
purchase or retain their homes.
(ii) Taking actions to reduce concentrations of poverty and/or
minority populations. This could include working with, or adopting the
counseling practices of, agencies which conduct opportunity counseling
to encourage low-income and minority persons to move to low-
concentration areas and helping to locate suitable housing in such
areas. It could also include working with local lenders to develop
alternative lending criteria: For instance, the counseling agency may
make referrals to the lenders of clients with good credit and payment
histories, but who do not fit the standard profiles for lending
practices or of clients with financial patterns which reflect cultural
differences (such as family savings pools common among some Asian
populations). Such activity 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) For Local Housing Counseling Agencies. Participate in local
fair housing strategies with major emphasis on remedying the effects of
past discrimination and limitations in the community. This could
include: working with CPD Entitlement Jurisdictions to help to identify
impediments to fair housing choice which have been identified in the
process of working with clients; becoming familiar with the
jurisdiction's identified impediments and adjusting its counseling
activities to help overcome these impediments; and/or working with
other public and private resources to develop fair housing strategies
applicable to the counseling activities, on a community-wide or
metropolitan-wide basis. HUD also will evaluate the extent to which the
proposed work plan contains community awareness, education and outreach
programs.
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.
In evaluating this factor HUD will consider:
(1) The extent to which the applicant has 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 the applicant is 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. Applicants may also partner with
other program funding recipients to coordinate the use of resources in
the target area.
(2) Applicants 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,
memoranda 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.
To the maximum extent possible, local counseling agencies also must
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.
Local housing counseling agencies may use the HUD grant to
undertake any of the eligible housing counseling activities described
in this Housing Counseling Program section of the SuperNOFA and
included in their HUD-approved plan.
[[Page 15553]]
Note: HUD housing counseling funding is not intended to fully
fund, either the intermediary's housing counseling program, or the
housing counseling programs of the its local affiliates. To the
maximum extent possible, 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 the applicant coordinated
its activities with other known organizations, participates or promotes
participation in a community's Consolidated Planning process 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
the applicant demonstrates it has:
(1) Coordinated its 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. Any written agreements or memoranda of understanding in place
should be described.
(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 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(s) served.
IV. Application Submission Requirements
(A) General
Contents of an application will differ somewhat for: local housing
counseling agencies; national, regional, or multi-state intermediaries;
and, State housing finance agencies. However, all applicants are
expected to submit the forms, certifications and assurances set forth
in the General Section of the NOFA. Copies of all form/documents
required to be completed by an applicant can be found in the
application kit. In addition to these certifications and assurances the
following are required to be part of the housing counseling
application:
(1) Form HUD-9902, Housing Counseling Agency Fiscal Year Activity
Report, for fiscal year October 1, 1996 through September 30, 1997.
Where an applicant did not participate in HUD's Housing Counseling
Program during FY 1997, this report should be completed to reflect the
agency's counseling workload during that period. This form must be
fully completed and submitted by every applicant for FY 1998 HUD
funding;
(2) Computer Equipment Inventory (if applicable);
(3) Budget Work Sheet. A realistic, proposed budget for use of HUD
funds, if awarded. This should be broken down into two categories (i)
direct housing counseling costs and (ii) capacity building costs:
(4) Exhibits for national, regional, multi-state, or agencies and
State housing finance agencies as described in (2)(a)-(2)(c) below and
in the application kit;
(5) Evidence of Housing Counseling Funding Sources (required by all
applicants);
(6) Descriptive Narrative--Each applicant is to provide a
descriptive narrative that sets forth the prior fiscal year's
performance as related to its goals, objectives and mission. The
narrative describes the most recent operational and program activities
of the organization;
(7) Current Housing Counseling Plan. The plan describes the
applicant's housing counseling needs, goals, and objectives as related
to the scope of services it will provide, including a description of
counseling activities to be performed.
(8) A description of organization capability;
(9) Direct-labor and Hourly-labor rate and Counseling Time Per
Client;
(10) Congressional District Information;
(11) State housing finance agencies must submit their statutory
background that created the respective agency, and sets forth its
authorities to operate as a State housing finance agency.
(B) National, Regional, and Multi-State Intermediaries; and State
Housing Finance Agencies
National, regional, and multi-state intermediaries; and, State
housing finance agencies; must submit an application which covers both
their network organization and their affiliated agencies. This
application must include:
(1) Description of affiliated agencies. For each, list the
following information:
(a) Organization name;
(b) Address;
(c) Director and contact person (if different);
(d) Phone/FAX numbers (including TTY, if appropriate);
(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. Briefly describe the
intermediary's, or State housing finance agency's, relationship with
affiliates (i.e. membership organization, field or branch offices,
subsidiary organizations, etc.).
(3) Oversight System. Describe the process that will be used for
determining affiliate funding levels, distributing funds, and
monitoring affiliate performance.
V. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VI. 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.
BILLING CODE 4210-32-P
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
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[GRAPHIC] [TIFF OMITTED] TN31MR98.016
BILLING CODE 4210-32-C
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Funding Availability for the Lead-Based Paint Hazard Control
Program
Program Description: Approximately $50 million is available in
funding for the Lead-Based Paint Hazard Control Program. Lead-Based
Paint Hazard Control grants assist State and local governments in
undertaking programs for the identification and control of lead-based
paint hazards in eligible privately-owned housing units for rental
occupants and owner-occupants.
Application Due Date: An original and two copies of the completed
application must be received by HUD no later than 12:00 midnight,
Eastern time on June 1, 1998 at HUD Headquarters. See the General
Section of this SuperNOFA 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: The completed application
(original and two copies) must be submitted to: Office of Lead Hazard
Control, Department of Housing and Urban Development, Room B-133, 451
Seventh Street, SW, Washington, DC 20410. Hand carried applications
should be delivered to Suite 3206, 490 East L'Enfant Plaza, Washington,
DC, 20024.
For Application Kits, Further Information, and Technical
Assistance:
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 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: 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). 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.
For Technical Assistance: Please refer to the General Section of
this SuperNOFA for information regarding the provision of technical
assistance. The HUD staff that will provide technical assistance for
the Lead-Based Paint Hazard Control Program is in HUD's Office of Lead
Hazard Control. Please see the ``For Further Information'' section
above for the address and phone number.
Additional Information
I. Authority; Purpose; Amount Allocated; and Eligibility
(A) 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)
(Title X).
(B) Purpose
(1) Lead-Based Paint Hazard Control (LBPHC) grants are to assist
State and local governments in undertaking programs for the
identification and control of lead-based paint hazards in eligible
privately-owned housing units for rental occupants and owner-occupants.
The application kit for this LBPHC Program section of the SuperNOFA
lists HUD-associated housing programs that may have housing units
meeting the definition of eligible housing. Because lead-based paint is
a national problem, these funds are awarded in a manner that:
(a) Maximizes the number of housing units where lead-hazards have
been controlled;
(b) Stimulates cost-effective State and local approaches that can
be replicated in as many settings as possible;
(c) Disperses the grants as widely as possible across the nation to
ensure the capacity developed is geographically distributed;
(d) Builds local capacity; and
(e) Affirmatively furthering 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 infrastructure necessary to eliminate lead-based paint
hazards in all housing, as widely and expeditiously as possible;
(b) Encouragement of effective action to prevent childhood lead
poisoning by establishing a workable framework for lead-based paint
hazard identification and control;
(c) Mobilization of public and private resources, involving
cooperation among all levels of government and the private sector, to
develop the most promising, cost-effective methods for identifying and
controlling lead-based paint hazards;
(d) Integration of lead-safe work practices into housing
maintenance, repair, and improvements;
(e) Integration of lead hazard control into rehabilitation,
weatherization, and other related programs;
(f) Development of sustainable lead-safe programs (beyond the life
of the grant);
(g) Establishment of a publicly accessible registry of lead-safe
housing; and
(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).
(C) Amount Allocated
(1) Fifty million dollars ($50 million) will be made available for
the grant program from the appropriations made for the Lead-Based Paint
Hazard Reduction Program.
(2) Approximately 15-25 grants of $1 million-$4 million each will
be awarded. Previously unfunded applicants are eligible to apply for
grants of $1 million-$4 million. Existing grantees are eligible to
apply for grants of $1 million-$3 million. A maximum of 50% of the
Funds under this LBPHC Program section of the SuperNOFA shall be
available to current Lead-Based Paint Hazard Control grantees.
Applications of existing grantees will be evaluated and scored as a
separate class and will not be in direct competition with previously
unfunded applicants.
(3) 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, 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, by such applicant(s). Such applicant(s) shall have a maximum of
seven (7) calendar days to accept such a reduced award, or shall be
considered to have declined the award. Applicant(s) may reapply in a
future round.
(D) Eligible Applicants
(1) Applicants must be a State or unit of local government that has
a currently approved Consolidated Plan to be eligible to apply for a
grant. Applicants under this LBPHC Program section of the SuperNOFA
must submit documentation that HUD has approved their current program
year Consolidated Plan. Applicants must submit, as an appendix, a copy
of the lead-based paint element included in the approved Consolidated
Plan.
(2) Applicants that do not have a currently approved Consolidated
Plan,
[[Page 15557]]
but are otherwise eligible for this grant program, must include their
abbreviated Consolidated Plan which includes a lead-based paint hazard
control strategy developed and submitted in accordance with 24 CFR
91.235.
(3) Applicants that were funded under Category A of the FY 1997
LBPHC NOFA issued June 3, 1997 (61 FR 30380) are not eligible for this
round of funding.
(E) Eligible Activities
(1) Funds shall 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 a State Lead-
Based Paint Contractor Certification and Accreditation Program that is
at least as protective as the Federal certification program standards
outlined in the application kit to this LBPHC Program section of the
SuperNOFA or which meets the requirements of a State program authorized
by EPA under the requirements of section 404 of the Toxic Substances
Control Act (TSCA).
(2) 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 replicable
techniques which are cost-effective and efficient. The following direct
and support activities are eligible under this grant program.
(a) Direct Project Elements (activities of the grantee and all sub-
grantees):
(i) Performing risk assessments, inspections and testing of
eligible housing constructed prior to 1978 to determine the presence of
lead-based paint, lead dust, or leaded soil through the use of
acceptable testing procedures.
(ii) Conducting pre-hazard control blood lead testing of children
under the age of six residing in units undergoing risk assessment,
inspection or hazard control.
(iii) 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); hazard abatement for programs that apply a
differentiated set of resources to each unit (dependent upon conditions
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 is not recommended as a cost effective strategy except
under exceptional circumstances.
(iv) 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.
(v) Performing blood lead testing and air sampling to protect the
health of the hazard control workers, supervisors, and contractors.
(vi) 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.
Grant funds under this program may also be used for the lead-based
paint hazard control component in conjunction with other housing
rehabilitation programs.
(vii) Conducting pre-hazard control and clearance dust-wipe testing
and analysis.
(viii) Carrying out engineering and architectural costs that are
necessary to, and in direct support of, lead hazard control.
(ix) Providing lead-based paint worker or contractor certification
training and/or licensing to low-income persons.
(x) Providing training on lead-safe maintenance practices to
homeowners, renters, painters, remodelers, and apartment maintenance
staff working in low income housing.
(xi) Providing cleaning supplies for lead-hazard control to
community/neighborhood-based organizations, homeowners, and renters in
low income housing.
(xii) Conducting general or targeted community awareness or
education programs on lead hazard control and lead poisoning
prevention. This activity would include educating owners of rental
properties on the provisions of the Fair Housing Act and training on
lead-safe maintenance and renovation practices. It would also include
making all materials available in alternative formats for persons with
disabilities (e.g.; Braille, audio, large type), upon request.
(xiii) Securing liability insurance for lead-hazard control
activities.
(xiv) Supporting data collection, analysis, and evaluation of grant
program activities. This includes compiling and delivering such data as
may be required by HUD. This activity is separate from administrative
costs.
(xv) Applied research activities directed at demonstration of cost
effective methods for lead hazard control as described in Section III
of this LBPHC Program section of the SuperNOFA.
(xvi) Preparing a final report at the conclusion of grant
activities.
(b) Support Elements.
(i) Administrative costs of the grantee. There is a 10% maximum for
administrative costs.
(ii) Program planning and management costs of sub-grantees and
other sub-recipients.
(3) Ineligible Activities. Grant funds shall not be used for:
(a) Purchase of real property.
(b) Purchase or lease of capital equipment having a per unit cost
in excess of $5,000, except for X-ray fluorescence analyzer (XRF). If
purchased, capital equipment (under $5,000) and the XRF analyzers shall
remain the property of the grantee at the conclusion of the project.
Funds may be used, however, to lease equipment specifically for the
Lead-Based Paint Hazard Control Grant Program. If leased equipment
becomes the property of the grantee as the result of a lease
arrangement, it may remain the property of the grantee at the end of
the grant period; and
(c) 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.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following
requirements:
(A) General
Grantees will be afforded considerable latitude in designing and
implementing the methods of lead-based paint hazard control to be
employed in their jurisdictions. Experience and data from past and
ongoing evaluations has 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 replicable techniques which are
cost-effective and efficient. Flexibility will be allowed within the
parameters established below.
(B) Budgeting
(1) Matching Contribution. Each grantee shall 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 contribution or a combination of both.
Federal funds from other programs cannot constitute matching funds,
with the exception of Community Development Block Grant (CDBG) funds.
Applicants who do not
[[Page 15558]]
show a 10% match will be required to provide the matching contribution
during grant negotiations.
(2) Applied Research Activities. A maximum of five (5%) percent of
the total grant request may be identified for applied research
activities.
(3) Administrative Costs. There is a 10% maximum for administrative
costs.
(C) Period of Performance
The period of performance cannot exceed 36 months.
(D) Certified Performers
Funds shall be available only for projects conducted by certified
contractors, risk assessors, inspectors, workers and others engaged in
lead-based paint activities. An applicant must provide the documents
listed in Section IV(A)(4) of this LBPHC section of the SuperNOFA to
demonstrate its compliance with this requirement.
(E) Coastal Barrier Resources Act
Pursuant to the Coastal Barrier Resources Act (16 U.S.C. 3501),
grant funds may not be used for properties located in the Coastal
Barrier Resources System.
(F) Flood Disaster Protection Act
Under the Flood Disaster Protection Act of 1973 (42 U.S.C. 4001-
4128), grant funds may not be used for construction, reconstruction,
repair or improvement or lead-based paint hazard control 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 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)). Applicants are responsible for assuring that flood
insurance is obtained and maintained for the appropriate amount and
term.
(G) 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 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 (See the application kit for this
program) for use by grantees and State Historic Preservation Officers
in carrying out activities under this program.
(H) Waste Disposal
Waste disposal will be handled according to the requirements of the
appropriate local, State or Federal regulatory agency. Disposal of
wastes from hazard control activities that contain lead-based paint but
are not classified as hazardous will be handled in accordance with the
HUD Guidelines for the Evaluation and Control of Lead-Based Hazards in
Housing (HUD Guidelines).
(I) Worker Protection Procedures
The applicant shall 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 stringent. If other
applicable OSHA requirements contain more stringent requirements than
the HUD Guidelines, the OSHA standards shall govern.
(J) Prohibited Practices
Lead hazard control methods which are considered prohibited
practices are not allowed. The applicant is cautioned that methods that
generate high levels of lead dust, such as abrasive sanding, shall be
undertaken only with requisite worker protection, containment of dust
and debris, suitable clean-up, and clearance. Prohibited practices are
practices which are not allowed because of the risks to health.
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.
(K) Proposed Modifications From Current Procedures
Proposed methods requiring a variance 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 such a request is
made, 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. Proposed modifications which involve a
lowering of standards with potential to adversely affect the health of
residents, contractors or workers, or the quality of the environment
will not be approved.
(L) Written Policies and Procedures
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 must be clearly established in writing
and adhered to by all grantees, subcontractors, sub-grantees, sub-
recipients, and their contractors.
(M) Continued Availability of Lead Safe Housing to Low-Income Families
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. Grantees 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.
(N) Development of Application Cost Proposal
In developing the application cost proposal, applicants shall
include costs for the pre- and post-hazard control testing for each
dwelling that will undergo either a lead-based paint risk assessment
and/or inspection and hazard control according to HUD Guidelines, as
follows:
(1) XRF on-site (or supplementary laboratory) testing. Such testing
must be conducted according to the HUD Guidelines, with particular
attention to the 1997 revision of its chapter 7 on lead-based paint
inspection. The applicant must pretest every room or area in each
dwelling unit planned for hazard control, using each XRF analyzer in
accordance with its manufacturer's operating instructions and its
[[Page 15559]]
Performance Characteristics Sheet (PCS);
(2) Blood lead testing. Before lead hazard control work begins, the
applicant must test each occupant who is a child under six years old
according to the recommendations contained in Preventing Lead Poisoning
in Young Children (1991), published by the Centers for Disease Control
and Prevention (CDC).
(3) Dust testing. Such testing must be conducted according to the
HUD Guidelines. Specifically, the applicant must pre-test before lead
hazard control work begins, and conduct a clearance test before
reoccupying a unit or area.
(4) Testing.
(a) General. All testing and sampling shall conform to the HUD
Guidelines. It is particularly important to provide this full cycle of
testing for hazard control, including interim controls.
(b) Required Thresholds for Hazard Control. While the HUD
Guidelines employ two hazard control thresholds, one milligram per
square centimeter (1.0 mg/cm\2\) or 0.5% by weight, applicants may use
other thresholds, provided that the alternative threshold is justified
adequately and is accepted by HUD. The justification must state why the
applicant believes the proposed threshold will provide satisfactory
health protection for occupants, and cost savings and benefits expected
to result from using the proposed approach.
(c) Surfaces which require lead hazard control. The HUD Guidelines
identify hazards considered to be of greatest threat to young children
which require hazard control. Friction surfaces are subject to abrasion
and may generate lead-contaminated dust in the dwelling; chewable
surfaces are protruding surfaces that are easily chewed on by young
children; and impact surfaces may become deteriorated through forceful
contact. The applicant may choose to treat fewer surfaces or apply
other hazard control techniques, provided that an adequate rationale,
including periodic monitoring, is presented to and accepted by HUD. The
rationale must state why the proposed approach will provide
satisfactory health protection for occupants and at the same time,
provide cost savings or other benefits.
(d) Clearance thresholds. Grantees are required to meet the post-
hazard control dust-wipe test clearance thresholds contained in the HUD
Guidelines. 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 Environmental
Protection Agency's National Lead Laboratory Accreditation Program
(NLLAP). Units shall not be reoccupied until clearance levels are
achieved.
(O) Cooperation With Related Research and Evaluation
Applicants shall cooperate fully with any research or evaluation
sponsored by HUD and associated with this grant program, including
preservation of the data and records of the project and compiling
requested information in formats provided by the researchers,
evaluators or HUD. This cooperation may also include the compiling of
certain relevant local demographic, dwelling unit, and participant data
not contemplated in the applicant's original proposal. Participant data
shall be subject to Privacy Act protection.
(P) Data Collection
Grantees 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.
(Q) Environmental Requirements
(1) 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
program will be given guidance in these responsibilities.
(R) Section 3 Employment Opportunities
Please see Section II(E) of the General Section of this SuperNOFA.
The requirements of Section 3 are applicable to the Lead-Based Paint
Hazard Control Program.
(S) Forms, Certifications and Assurances
In addition to the forms, certifications and assurances listed in
the General Section of this SuperNOFA, applicants are required to
submit signed copies of the following:
(1) A certification of compliance with the environmental laws and
authorities described in 24 CFR part 58.
(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 pre-hazard control and clearance testing will
be conducted by certified performers.
(5) An assurance that, to the extent possible, the blood lead
testing, blood lead level test results, and medical referral and follow
up will be conducted 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) An assurance that Lead-Based Paint Hazard Control Grant Program
funds will not replace existing resources dedicated to any ongoing
project.
(7) An assurance that the housing 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.
Grantees 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) A certification that the applicant will carry out its lead
hazard control program under an operational State program established
pursuant to lead-based paint contractor certification and accreditation
legislation that is at least as protective as the training and
certification program requirements cited in the application kit for
this LBPHC Program section of the SuperNOFA.
III. 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 based on the following considerations which
will: foster either local approaches or lead hazard control methods
which 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 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.
[[Page 15560]]
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 the extent to which the applicant has the
organizational resources 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, will include any sub-
contractors, consultants, sub-recipients, and members of consortia
which are firmly committed to the project. In rating this factor, HUD
will consider the extent to which the proposal demonstrates:
(1) Recent, relevant and successful experience of the applicant's
staff to undertake eligible program activities. Applicants 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. As an
appendix, the applicant should include a clearly identified
organizational chart for the lead hazard control grant program effort,
as well as resumes, position descriptions, and salaries of key
personnel identified to carry out the requirements of this grant
program. Applicants must indicate the percentage of time that key
personnel will devote to the project and any salary costs to be paid by
the grant. A full-time day-to-day program manager is highly
recommended.
(2) That the applicant has sufficient personnel or will be able to
quickly access qualified experts or professionals, to immediately begin
the proposed work program and to deliver the proposed activities in
each proposed service area in a timely and effective fashion. The
application must describe how other principal components of the
applicant agency or other organizations will participate in or
otherwise support the grant program. The institutional capacity of the
applicant may be demonstrated by prior experience in initiating and
implementing lead hazard control efforts and/or related environmental,
health, or housing projects and should be thoroughly described. The
applicant should indicate how this prior experience will be used in
carrying out its planned comprehensive Lead-Based Paint Hazard Control
Grant Program.
(3) If the applicant received HUD Lead Hazard Control Grant funding
in previous years, the applicant's past experience will be evaluated in
terms of its progress in achieving the purpose of its previous grant.
An existing grantee applicant must provide a description of its
progress in implementing its most recent grant award within the period
of performance, including the total number of housing units completed
as of the latest calendar quarter.
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 to address a documented problem
in the target area.
(1) The applicant must document a critical level of need for the
proposed activities in the area where activities will be carried out.
Specific attention must be paid to documenting need as it applies to
the area where activities will be targeted, 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) The documentation of need should demonstrate the extent of the
problem being addressed by the proposed activities. Examples of data
that might be used to demonstrate need, include, but are not limited
to:
(a) Economic and demographic data relevant to the target area,
including poverty and unemployment rates;
(b) Levels of homelessness;
(c) Lead poisoning rates;
(d) Housing market data available from HUD or other data sources
including the Public Housing Authority's Five Year Comprehensive Plan,
State or local Welfare Department's Welfare Reform Plan; or
(e) 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) To the extent that statistics and other data contained in the
community's Consolidated Plan or Analysis of Impediments to Fair
Housing Choice (AI) supports the extent of the problem, references to
the Consolidated Plan and the AI should be included in the response.
(4) It is also desirable that the applicant provide information on
the following for the applicant's jurisdiction, or more preferably, the
areas targeted for the lead hazard control activities (data may be
available in the applicant jurisdiction's currently approved
Consolidated Plan, or derived from 1990 Census Data):
(a) The age and condition of housing;
(b) The number and percentage of very-low and low income families
whose incomes do not exceed 80% of the median income for the area, as
determined by HUD, with adjustments for smaller and larger families;
(c) The number and proportion of children under six years of age
(72 months) at risk of lead poisoning;
(d) The magnitude 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 document a
need to establish or continue lead hazard control work in the
applicant's jurisdiction.
(5) The applicant must also provide documentation of the priority
that the community's Consolidated Plan has placed on addressing the
needs described by the applicant.
(6) Applicants that address 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 will receive a greater number of points than
applicants that do not relate their program to identified needs.
(7) There must be a clear relationship between the proposed
activities, community needs, and the purpose of the program funding for
an applicant to receive points for this factor.
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 the
applicant's proposed work plan. This factor will allow applicants to
present information on the proposed lead-based paint hazard control
program and how it will satisfy the identified needs. The work plan and
budget should include the following elements:
(1) Lead Hazard Control Strategy (30 points for previously unfunded
applicants; 20 points for existing grantees). A description of the
strategy to be used in planning and executing the lead hazard control
grant program effort. Applicants should provide information on:
(a) Implementing a Lead Hazard Control Program (10 points for
previously unfunded applicants; 5 points for existing grantees). The
applicant must describe the overall strategy for the proposed lead
hazard
[[Page 15561]]
control program. The description must include a discussion of:
(i) The applicant's previous experience in reducing or eliminating
lead-based paint hazards in conjunction with other Federal, State or
locally funded programs.
(ii) The applicant's overall strategy for the identification,
selection, prioritization, and enrollment of units of eligible
privately-owned housing in which lead hazard control will be
undertaken.
(iii) The total number of owner occupied and/or rental units in
which lead hazard control activities will be conducted.
(iv) The degree to which the work plan focuses on eligible
privately-owned housing units with children under 6 years old. The
applicant must describe the 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. The applicant must also describe the process for the referral of
children with elevated blood lead levels for medical case management.
(v) The financing mechanism, including eligibility criteria, terms,
conditions, and amounts available, to be employed in carrying out lead
hazard control activities. The applicant 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 which will administer the process. The applicant
should describe how the proposed program will satisfy the needs
articulated or will assist in addressing the impediments in the AI. The
applicant should describe how the 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 through such
initiatives as Neighborhood Networks, Campus of Learners, and linking
to AmeriCorps activities.
(b) Lead Hazard Control Outreach and Community Involvement (5
points). The applicant must describe:
(i) Proposed community awareness, education, training, and outreach
programs in support of the work plan and objectives. This should
include general and/or targeted efforts undertaken to assist the
program in reducing lead poisoning. To the extent possible, programs
should be culturally sensitive, targeted, and linguistically
appropriate.
(ii) Proposed involvement of community or neighborhood based
organizations in the performance of activities proposed by the
applicant. These activities could include outreach, community
education, marketing, inspection, and the actual conduct of lead hazard
control activities.
(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, (e.g.;
homeowners who are racial minorities living in minority-concentrated
areas or owners of properties with under-served tenants such as
minority renters with young children), 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
the lead hazard control and tries to ensure that all families will have
adequate, lead-safe housing.
(c) Technical Approach for Conducting Lead Hazard Control
Activities (15 points for previously unfunded applicants; 10 points for
existing grantees)
(i) The applicant must describe the process for the risk assessment
and/or inspection of units of eligible privately-owned housing in which
lead hazard control will be undertaken. 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 may be included in the inventory.
(ii) The applicant must describe the testing methods, schedule, and
costs for performing blood lead testing, risk assessments and/or
inspections to be used. If the applicant plans to use a standard more
restrictive than the HUD thresholds (e.g. 0.5% or 1.0 mg/cm \2\), the
applicant must identify the lead-based paint threshold for undertaking
lead hazard control which will be used. All testing methods shall be
performed in accordance with the HUD Guidelines.
(iii) The applicant must describe the lead hazard control methods
to be undertaken and the number of units to be treated for each method
selected (interim controls, hazard abatement, and complete abatement).
The applicant must provide an estimate of the per unit costs (and a
basis for those estimates) for each method the applicant plans to use
in conducting lead hazard control activities. The applicant must also
provide a schedule for initiating and conducting lead hazard control
work in the selected units. The applicant should discuss efforts to
incorporate cost-effective lead hazard control methods. If complete
abatement is proposed, the applicant must describe the rationale for
that decision, and explain why hazard control approaches were not
proposed.
(iv) The applicant must describe its process for the development of
work specifications for the selected lead hazard control method. The
applicant must describe the management processes which will be used to
ensure the cost-effectiveness of the lead hazard control methods. The
application must include a discussion of the contracting process that
will be used to obtain contractors to conduct lead hazard control
activities in the selected units.
(v) The applicant must describe its plan for the temporary
relocation of occupants of units selected for lead hazard control work.
This discussion should address the use of safe houses and other housing
arrangements, storage of household goods, stipends, incentives, etc.
(vi) Existing grantees must describe how the lead hazard control
work being proposed in the application will occur concurrently with
ongoing HUD lead hazard control grants.
(vii) Existing grantees must describe their progress in
implementing their most recent lead hazard control grant award. If the
production achieved is low and no changes are proposed, the applicant
should explain why the strategy in the earlier grant remains
appropriate.
(2) Coordination with housing rehabilitation, housing and health
codes, and other related housing programs (7 points).
(a) The applicant must describe the degree to which lead hazard
control work will be done in conjunction with other housing-related
activities (i.e., rehabilitation, weatherization, removal of code
violations, and other similar work), and the applicant's plan for the
integration and coordination of lead hazard control activities into
those activities.
(b) The applicant must describe how it plans to incorporate lead-
based paint maintenance and hazard control standards with the
applicable housing codes and health regulations.
(c) The applicant must describe how it plans to generate and use
public subsidies or other resources (such as revolving loan funds) to
finance future lead hazard control activities.
(d) The applicant must describe how it plans to develop public-
private
[[Page 15562]]
lending partnerships to finance lead hazard control as part of
acquisition and rehabilitation financing.
(e) The applicant must describe how it plans to develop and ensure
the continued availability of 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.
(f) Evidence of firm commitments from participating organizations
should include:
(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.
(g) The applicant must describe its plan for the coordination of
lead-based paint hazard control activities under this grant with lead-
related Superfund or Brownfields efforts.
(h) The applicant must detail the extent to which the policy of
fair housing for minorities and the disabled is furthered by the
proposed activities. Detail how the applicant's work plan will support
the community's efforts to further housing choices. Applicants with
existing grants should discuss activities which have contributed to
enhanced lead-hazard free housing opportunities to all segments of the
population.
(3) Economic Opportunity (5 points). The applicant must describe
the methods to be used which will result in economic opportunities for
residents and businesses in the community. This discussion should
include information on how employment, business development, and
contract opportunities will be promoted as part of the lead hazard
control program. The applicant should also describe how they will
satisfy 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.
(4) Program Evaluation and/or Data Collection (3 Points) The
applicant must identify the specific methods to be used (in addition to
HUD reporting or data collection forms) to measure progress, evaluate
program effectiveness, and make program changes to improve performance.
The applicant should describe how the information will be obtained,
documented, and reported. In addition, the applicant should provide a
detailed description of any proposed applied research activities.
(5) Budget (Not Scored) The applicant's proposed budget (for the
maximum 36 month period of performance) will be evaluated for the
extent to which 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. Applicants may devote up to 36 months for
the planning, execution, and completion of lead hazard control
activities. The applicant must thoroughly document and justify all
budget categories and costs (Part B of Standard Form 424A) and all
major tasks. The applicant must describe in detail the budgeted costs
for each program element (major task) included in the overall plan
(administrative costs, program management, lead hazard control
strategy, community awareness, education and outreach, program
evaluation, and data collection).
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure other
community resources (financing is a community resource) which can be
combined with HUD's program resources to achieve program purposes.
(1) In evaluating this factor, HUD will consider the extent to
which the applicant has 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 the applicant is 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. Applicants may also partner with
other program funding recipients to coordinate the use of resources in
the target area.
(2) Funding from any Federally funded programs (except the CDBG
program) may not be included as part of the 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 match from
Federally funded programs. Each source of contributions, cash or in-
kind, both for the required minimum and additional amounts, shall be
supported by a letter of commitment from the contributing entity,
whether a public or private source, which shall describe the
contributed resources that will be used in the program. Staff in-kind
contributions should be given a monetary value. The absence of letters
providing specific details and the amount of the actual contributions
will result in those contributions not being counted.
(3) Applicants 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 and the 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's 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
the applicant demonstrates it has:
(1) Coordinated its proposed activities with those of other groups
or organizations in order to best complement, support and coordinate
all known activities and, the specific steps it 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) 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) 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
[[Page 15563]]
(b) Other HUD, Federal, State or locally funded activities,
including those proposed or on-going in the community(s) served.
IV. Application Submission Requirements
(A) Applicant Information
(1) Application Format. The applicant's narrative response to the
Rating Factors is limited to a maximum of 25 pages. Responses 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 forms, certifications
and assurances listed in the General Section of the SuperNOFA, the
applicant must submit the following:
(a) Transmittal Letter that identifies what the program funds are
requested for, the dollar amount requested, and the applicant or
applicants submitting the application.
(b) 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 partners. (c)(i)
For State applicants, copies of existing statutes, regulations or other
appropriate documentation regarding the State's Lead-Based Paint
Contractor Certification and Accreditation Program must be included.
(ii) A State applicant which has an existing statute that is
acceptable to HUD, but which has not implemented an acceptable lead-
based paint contractor certification program, shall furnish assurances
from the Governor that an acceptable certification program will be
implemented within one (1) year from the date of the application
deadline date and that the designated agency implementing the
certification program shall offer training sessions leading to
certification within six (6) months of the effective date of
implementing regulations.
(iii) If legislative approval of proposed regulations is also
required, a similar assurance must be provided by the chairs of
committees having jurisdiction.
(iv) Local government applicants in States which have not
implemented an acceptable contractor certification program must provide
assurances that only certified contractors and trained workers from
State certification programs acceptable to HUD will be used in
conducting lead hazard control work.
(d) Evidence of the applicant's commitment and experience in
eliminating or reducing significant lead-based paint hazards in
privately-owned eligible housing as detailed in the applicant's work
plan for lead-based paint hazard control.
(e) A detailed description of the funding mechanism, selection
process, and other proposed activities that the applicant plans to use
to assist any sub-grantees or sub-recipients under this grant.
(f) A detailed budget with supporting cost justifications for all
budget categories of the grant request. There shall be a separate
estimate for the overall grant management element (Administrative
Costs), which is more fully defined in the application kit for this
LBPHC 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.
(g) An itemized breakout (using the SF-424A) of the applicant's
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.
(h) 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.
(i) A copy of the applicant's approval notification for the current
program year for its Consolidated Plan. The applicant should also
include a copy of the applicant's lead hazard control element included
in the current program year Consolidated Plan.
(B) Proposed Activities
All applications must, at a minimum, contain the following items:
(1) A description of the affected housing and population to be
served.
(a) The applicant shall describe the size and general
characteristics of the target housing within its 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. Other characteristics described in Rating
Factor 2 (Need) should be provided. If specific area(s) (neighborhoods,
census tracts, etc.) within an applicant's jurisdiction are
specifically targeted for lead hazard control activities, the applicant
shall describe these same characteristics for the area. Vacant housing
that subsequently will be occupied by low-income renters or owners
should also be included in this description. Maps may be included as an
appendix.
(b) To the extent practical, preference shall be given to occupied
eligible housing units with children under the age of six. In addition,
as a measure of its ongoing commitment to lead-based paint programs,
the applicant shall provide information on the magnitude and extent of
the childhood lead poisoning problem within its jurisdiction and for
any area(s) to be included in the lead hazard control program. Current
efforts undertaken to provide health care services for children with
elevated blood lead levels and efforts to address lead-based paint
hazards shall be described.
(2) Discussion of program activities. The applicant shall provide a
discussion of the overall proposed hazard control program, including,
but not limited to, information on the following:
(a) Needs Assessment. Each applicant is required to submit a
statement of the extent of need for the program funds they are seeking.
The statement of need must demonstrate how specific community or
neighborhood needs can be resolved through the activities proposed to
be undertaken with the funds being applied for. This statement may be
integrated into the response to Rating Factor 2 (Need). The statement
must identify:
(i) The population to be served;
(ii) How these needs were determined;
(iii) How the needs identified are consistent with the needs
identified in the community's Consolidated Plan; and
(iv) Barriers that have been identified in the community's AI.
(b) Program Work Plan and Budget. The work plan and budget must
include:
(i) A description of:
(1) The applicant's program management methods;
(2) The applicant's lead hazard control strategy;
(3) The number of eligible housing units in the target
jurisdiction;
(4) The applicant's hazard control methods;
(5) The applicant's blood lead and environmental testing methods;
[[Page 15564]]
(6) The applicant's costs;
(7) The applicant's financing mechanisms;
(8) The applicant's relocation plans; and
(9) A description of the community's lead hazard awareness and
education efforts.
(ii) A Statement of Work that describes all of the activities
proposed for funding and details how the proposed work will be
accomplished. Following a task-by-task format, the Statement of Work
must:
(1) Discuss the tasks and sub-tasks involved in the program. The
discussion must identify how the tasks meet the rating factors for
award.
(2) Indicate the sequence in which the tasks are to be performed,
noting areas of work which must be performed simultaneously.
(3) Include a project management and staff allocation plan for
carrying out the activities proposed in the Statement of Work. The
project management plan and staff allocation submission should cover
the proposed number of staff years by employee allocated to the
project, the titles and relevant professional background and experience
of each employee proposed to be assigned to the project, and the roles
to be performed by each identified staff member. The project management
and staff allocation plan must cover the proposed period of
performance. The applicant may make use of in-house staff, consultants,
sub-contractors and sub-recipients and networks of private consultants
and/or local organizations with requisite experience and capabilities.
To the maximum extent practicable, applicants should make use of local
expertise and persons familiar with the opportunities and resources
available in the area to be served. Regardless of the type of staffing
resources identified, the plan should identify activities to be
undertaken by the staff indicated in the plan.
(iii) A summary budget identifying costs by cost category in
accordance with the following:
(1) Direct labor by position or individual, indicating the
estimated hours per position, the rate per hour, 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, unit cost per item, the
number of items to be purchased, estimated cost per item, and the total
estimated material costs;
(4) Transportation costs, as applicable. Where local private
vehicles are 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, the applicant 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. In addition, applicants
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;
(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. The applicant must 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. The applicant must identify
proposed subcontracts and provide estimated costs.
(8) Other direct costs listed by item, quantity, unit cost, total
for each item listed, and total 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 cost category.
The grand total of all program funds requested should reflect the grand
total of all funds for which the applicant is applying. The submission
should include the rationale used to determine costs and validation of
fringe and indirect cost rates.
(c) Narrative statement addressing the rating factors for award
listed in Section III of this LBPHC section of the SuperNOFA. The
narrative statement must be numbered in accordance with each factor for
award (Factor 1 through 5).
V. Corrections to Deficient Applications
The General Section to this SuperNOFA provides the procedures for
corrections to this NOFA.
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Funding Availability for the Comprehensive Improvement Assistance
Program (CIAP)
Program Description: Approximately $304,000,000 is available in
funding for the Comprehensive Improvement Assistance Program (CIAP).
The CIAP provides modernization funds to housing authorities (HAs) that
own or operate less than 250 units of public housing, to enable them to
improve the physical condition and upgrade the management and
operations of existing public housing developments to assure their
continued availability for low-income families.
Application Due Date: The CIAP Application is due on or before 6:00
p.m., local time on June 29, 1998. An original CIAP Application and two
copies must be received at the HUD Field Office with jurisdiction over
the HA, Attention: Director, Office of Public Housing (OPH). 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).
Emergency Modernization Applications. The HA may submit a CIAP
Application for Emergency Modernization whenever needed. See Sections
III(A)(3)(a) and III(A)(9) of this CIAP section of the SuperNOFA.
Address for Submitting Applications: CIAP applications must be
delivered by the application due date to the HUD Field Office with
jurisdiction over the HA, Attention: Director, Office of Public Housing
(OPH).
For Application Kits, Further Information, and Technical
Assistance:
For Application Kits. A CIAP Application Kit will automatically be
transmitted under separate cover to every eligible HA to supplement the
policies and procedures set forth in this CIAP section of the
SuperNOFA. The application kit will include copies of forms needed for
application submission. Application kits and any supplementary
information also may be obtained 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. 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 CIAP and provide your name, address (including zip
code), and telephone number (including area code).
For Further Information and Technical Assistance. William J. Flood,
Director, Office of Capital Improvements, Department of Housing and
Urban Development, 451 Seventh Street, SW, Room 4134, Washington, D.C.
20410. Telephone (202) 708-1640. (This is not a toll free number.)
Applicants also may contact the SuperNOFA Information Center at the
telephone listed, above.
Additional Information
I. Authority; Purpose; Amount Allocated; and Eligibility
(A) Authority
Section 14, U. S. Housing Act of 1937 (42 U.S.C. 14371); and the
CIAP regulations in 24 CFR part 968, subparts A and B.
(B) Purpose
The CIAP provides modernization funds to HAs that own or operate
less than 250 units of public housing, to enable them to improve the
physical condition and upgrade the management and operations of
existing public housing developments to assure their continued
availability for low-income families.
(C) Amount Allocated
(1) In FY 1998, a total of $2.5 billion is available for the
Modernization Program (CIAP and CGP), of which approximately $304
million will be available to HAs with fewer than 250 housing units.
(2) Modernization funds are allocated between CIAP and CGP agencies
based on the relative shares of backlog needs (weighted at 50%) and
accrual needs (weighted at 50%), as determined by the field inspections
conducted for the HUD-funded Abt Associates study of modernization
needs. This allocation results in CIAP agencies receiving approximately
11% and CGP agencies receiving approximately 89% of the total funds
available.
(a) Backlog needs are needed repairs and replacements of existing
physical systems, items that must be added to meet the HUD
modernization and energy conservation standards and State or local
codes, and items that are necessary for the long-term viability of a
specific housing development.
(b) Accrual needs are needs that arise over time and include needed
repairs and replacements of existing physical systems and items that
must be added to meet the HUD modernization and energy conservation
standards and State or local codes.
(3) Assignment of Funds to Field Offices of Public Housing (OPH).
In past years, the distribution of Public Housing CIAP funds for each
Field OPH has been based solely on the relative shares of backlog and
accrual needs for CIAP PHAs. In order to obtain a more equitable
distribution of available funds relative to historical demand within
each Field Office (FO) jurisdiction, Headquarters has determined that
the FY 1998 distribution of Public Housing CIAP funds for each Field
Office of Public Housing (Field OPH) will be based on the relative
shares of backlog and accrual needs for CIAP PHAs (weighted at 50%) and
the relative demand for CIAP funds, as evidenced by the CIAP funds
requested in FY 1997 (weighted at 50%). However, to ensure that the
relative demand side of the allocation formula does not give undue
weight to FOs that were able to fund a higher percentage of funds
requested in prior years, each Field OPH was capped by Headquarters in
FFY 1997 to an allocation amount that would fund no more than 30% of
funds requested by PHAs in that FOs jurisdiction in FFY 96. Those same
percentages are being used in FFY 98.
(a) The Field OPH Director shall have authority to make Joint
Review selections and CIAP funding decisions.
(b) If additional funds for Public Housing CIAP become available,
Headquarters will allocate the funds to each Field OPH based on the
table below.
(c) If a Field OPH does not receive sufficient fundable
applications to use its allocation, Headquarters will reallocate the
remaining funds to one or more Field OPHs that have the highest
unfunded demand, as evidenced by approvable applications.
The following table shows the percentage distribution of CIAP funds
for PHAs assigned by Headquarters to each Field OPH. The percentage
distributions for the Texas State and Houston Area Offices have been
further broken down to indicate what percentage of their distribution
will be allocated to HAs involved in the East Texas civil rights case
(i.e., Young v. Cuomo) to meet the requirements of the settlement
agreement, which is subject to judicial oversight, along with other
modernization needs.
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(D) Eligible Applicants
Public Housing Agencies (HAs) that own or operate fewer than 250
public housing units are eligible to apply and compete for CIAP funds.
HAs with 250 or more public housing units are entitled to receive a
formula grant under the Comprehensive Grant Program (CGP) and are not
eligible to apply for CIAP funds. Entities other than HAs are not
eligible to apply for CIAP funds. Indian Housing Authorities are not
eligible to apply for these funds.
(E) Eligible Activities
(1) An HA may use financial assistance received under this CIAP
section of the SuperNOFA for activities including, but not limited to:
(a) Physical improvements, e.g., alterations, betterments,
additions, and accessibility features;
(b) Demolition and conversion costs;
(c) General management improvements, e.g., management, financial
and accounting control systems;
(d) Economic development costs;
(e) Resident management costs;
(f) Drug elimination costs;
(g) Lead-based paint abatement costs;
(h) Administrative costs;
(i) Salaries and employee benefit contributions; and
(j) Architectural/engineering and consultant fees.
(2) Repeal of the Expansion of Eligible Activities. The FY 1998
Appropriations Act did not continue the expanded eligible activities
that could be funded, with prior HUD approval, as provided in section
14(q) of the U.S. Housing Act of 1937, as amended in section 201 of the
HUD FY 1996 Appropriations Act. These activities include: new
construction or acquisition of additional public housing units,
including replacement units; modernization activities related to the
public housing portion of housing developments held in partnership or
cooperation with non-public housing entities; other activities related
to public housing, including activities eligible under the Urban
Revitalization Demonstration (HOPE VI), such as community services; and
operating subsidy purposes (not to exceed 10 percent of the grant
amount). Therefore, funds approved under this CIAP section of the
SuperNOFA, i.e., Fiscal Year (FY) 98 funds, may not be used for the
above purposes. However, HAs may still use previously apposed grant
funds (FFY 97 and prior years) that are unobligated for the above
activities with prior HUD approval, where applicable. Relief from this
prohibition is pending in Congress.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following
requirements:
(A) Forms, Certifications and Assurances
In addition to the forms, certifications and assurances listed in
the General Section of this SuperNOFA, applicants are required to
submit signed copies of Form HUD-50071, Certification for Contracts,
Grants, Loans and Cooperative Agreements.
(B) Departmental Priority
The transformation of public housing is one of the Department's
major priorities. To facilitate the modernization of public housing so
that it is integrated in the broader community, the Department
encourages HAs to consider the following:
(1) Design. When identifying physical improvement needs to meet the
modernization standards, HAs are encouraged to consider a design which
supports the integration of public housing into the broader community.
Although high priority needs, such as those related to health and
safety, vacant, substandard units, structural or system integrity, and
compliance with statutory, regulatory or court-ordered deadlines, will
receive funding priority, HAs should plan their modernization in a way
which promotes good design, but maintains the modest nature of public
housing. The HA should pay particular attention to design, which is
sensitive to traditional cultural values, and be receptive to creative,
but cost-effective approaches suggested by architects, residents, HA
staff, and other local entities. Such approaches may complement the
planning for basic rehabilitation needs. It should be noted that there
will be no increase in operating subsidy as a result of any
modernization activities.
(2) Physical Accessibility and Visitability. In addition to the
design considerations set forth in Section II(C)(1) of this CIAP
section of the SuperNOFA, HAs must comply with accessibility
requirements and are encouraged to provide units that are ``visitable''
by persons with mobility impairments. Visitability gets the person into
the home, but does not require that all features be made accessible
throughout the home.
(a) Accessibility. An accessible home means that the home is
located on an accessible route (36'' clear passage) and, when designed,
constructed, altered or adapted, can be approached, entered, and used
by an individual with physical disabilities.
(b) Visitability. Visitability restricts itself to two areas of a
home; i.e., at least one entrance is at grade (no-step); and all doors
inside provide a 32'' clear passage. A visitable home serves not only
persons with disabilities, but also persons without disabilities. (For
example, a mother pushing a stroller; person delivering large
appliances, etc.). One difference between ``visitability'' and
``accessibility'' is that accessibility requires that all features of a
dwelling unit be made accessible for mobility impaired persons. A
visitable home provides less accessibility than an accessible home.
Examples of actions that HAs may take to support visitability include:
(i) When conducting a ``needs assessment,'' the HA may identify
some single family scattered site homes and make those units visitable.
(ii) When undertaking substantial alterations as defined in 24 CFR
8.23(a), the HA may identify some units in an elderly development not
subject to the new construction requirements of 24 CFR 8.22 and make
those units visitable.
(iii) The HA may target the first floor of an existing 3-story
family apartment complex and make those units visitable.
(3) Provision of Community Space for Welfare-to-Work Initiatives.
HAs are encouraged to provide community space for Welfare-to-Work
initiatives, which include, but are not limited to, services
coordination/case management, training, child care, health care,
transportation, and economic development. Where community space is not
otherwise available, CIAP funds may be used to convert existing
dwelling space, renovate existing nondwelling space, or construct or
acquire nondwelling space for this purpose. Where CIAP funds will be
used to provide community space, HAs are required to submit written
evidence from a qualified local agency or provider that the agency or
provider agrees to furnish, equip, operate and maintain the community
space, as well as provide insurance coverage. Where HAs themselves
intend to operate the community space, they must submit written
evidence of the continuing funding sources to furnish, equip, operate,
maintain and insure the community space.
(4) Elimination of Vacant Units. HAs are encouraged to apply for
CIAP funds to address vacant units where the work does not merely
involve routine maintenance, but will result in reoccupancy.
[[Page 15572]]
(C) Accessibility Requirements
In carrying out modernization work, HAs are required to comply with
the requirements of 24 CFR 8.23(a) regarding substantial alterations
and 24 CFR 8.23(b) regarding other alterations, as well as with Title
II of the Americans with Disabilities Act and 28 CFR part 35. Title II
is applicable to HAs established under State law. Also, the HA shall
comply with the requirements of 24 CFR 8.22 and 24 CFR 100.205 (the
Fair Housing Act) regarding new construction.
(D) Expediting the Program
HAs must obligate approved funds within two years and expend within
three years of program approval (Annual Contributions Contract (ACC)
Amendment execution) unless a longer implementation schedule (Part III
of the CIAP Budget) is approved by the Field Office due to the size or
complexity of the program. However, HUD strongly encourages the minimum
amount of time feasible for program completion and contends that an 18
month timeframe for fund obligation is generally reasonable. Failure to
obligate funds in a timely manner may result in the termination of the
program and recapture of the funds.
(E) Planning
In preparing its CIAP Application, the HA is encouraged to assess
all its physical and management improvement needs. Physical improvement
needs should be reviewed against the modernization standards as set
forth in HUD Handbook 7485.2, as revised, physical accessibility
requirements as set forth in 24 CFR part 8, and 28 CFR part 35, and any
cost-effective energy conservation measures identified in updated
energy audits. The modernization standards include development specific
work to ensure the long-term viability of the developments, such as
amenities and design changes to promote the integration of low-income
housing into the broader community. In addition, the HA is strongly
encouraged to contact the Field Office to discuss its modernization
needs and obtain information.
(F) Resident Involvement and Local Official Consultation Requirements
(1) Residents/Homebuyers. The CIAP regulations at 24 CFR 968.215
require the HA to establish a Partnership Process to ensure full
resident participation in the planning, implementation and monitoring
of the modernization program, as follows:
(a) Before submission of the CIAP Application, consultation with
the residents, resident organization, and resident management
corporation (herein referred to as residents) of the development(s)
being proposed for modernization regarding its intent to submit an
application and to solicit resident comments;
(b) Reasonable opportunity for residents to present their views on
the proposed modernization and alternatives to it, and full and serious
consideration of resident recommendations;
(c) Written response to residents indicating acceptance or
rejection of resident recommendations, consistent with HUD requirements
and the HA's own determination of efficiency, economy and need, with a
copy to the Field Office at Joint Review. If the Joint Review is
conducted off-site, a copy shall be mailed to the Field Office;
(d) After HUD funding decisions, notification to residents of the
approval or disapproval and, where requested, provision to residents of
a copy of the HUD-approved CIAP Budget; and
(e) During implementation, periodic notification to residents of
work status and progress and maximum feasible employment of residents
in the modernization effort.
(2) Local Officials. Before submission of the CIAP Application,
consultation with appropriate local/tribal officials regarding how the
proposed modernization may be coordinated with any local plans for
neighborhood revitalization, economic development, drug elimination and
expenditure of local funds, such as Community Development Block Grant
funds.
(G) Environmental Requirements
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 under the CIAP. If the HA objects to the responsible
entity conducting the environmental review, on the basis of
performance, timing or compatibility of objectives, the Field OPH
Director will review the facts to determine who will perform the
environmental review. At any time, the Field OPH Director 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
the Field OPH Director determines that the responsible entity should
not perform the environmental review, the Field OPH Director may
designate another responsible entity to conduct the review or may
itself conduct the environmental review in accordance with the
provisions of 24 CFR part 50. After selection by the Field Office for
Joint Review, the HA shall provide any documentation to the responsible
entity (or Field Office, where applicable) that is needed to perform
the environmental review.
(1) Where the environmental review is completed before Field Office
approval of the CIAP budget and the HA has submitted its request for
release of funds (RROF), the budget approval letter shall state any
conditions, modifications, prohibitions, etc. as a result of the
environmental review.
(2) Where the environmental review is not completed and/or the HA
has not submitted the RROF before Field Office approval of the CIAP
budget, the budget approval letter shall instruct the HA to refrain
from undertaking, or obligating or expending funds on, physical
activities or other choice-limiting actions, until the Field PH
Director approves the HA's RROF and the related certification of the
responsible entity (or the Field Office has completed the environmental
review). The budget approval letter also shall advise the HA that the
approved budget may be modified on the basis of the results of the
environmental review.
(H) Declaration of Trust
Where the Field Office determines that a Declaration of Trust is
not in place or is not current, the HA shall execute and file for the
record a Declaration of Trust, as provided under the ACC, to protect
the rights and interests of HUD throughout the 20-year period during
which the HA is obligated to operate its developments in accordance
with the ACC, the Act, and HUD regulations and requirements.
(I) HA Submission of Additional Documents
After the Field Office Public Housing Director's funding decisions,
the HA shall submit the following documents within the time frame
prescribed by the Field Office:
(a) Form HUD-52825, CIAP Budget/Progress Report, which includes the
implementation schedule(s), in an original and two copies.
(b) Form HUD-52820, HA Board Resolution Approving CIAP Budget, in
an original only.
(J) ACC Amendment
After HUD approval of the CIAP Budget, the Field Office and the HA
shall enter into an ACC amendment in order for the HA to draw down
modernization funds. The ACC
[[Page 15573]]
amendment shall require low-income use of the housing for not less than
20 years from the date of the ACC amendment (subject to sale of
homeownership units in accordance with the terms of the ACC). The HA
Executive Director, where authorized by the Board of Commissioners and
permitted by State law, may sign the ACC amendment on behalf of the HA.
HUD has the authority to condition an ACC amendment (e.g., to require
an HA to hire a modernization coordinator or contract administrator to
administer its modernization program).
(K) Use of Dwelling Units for Economic Self-Sufficiency Services and/or
Drug Elimination Activities
CIAP funds may be used to convert dwelling units for purposes
related to economic self-sufficiency services and/or drug elimination
activities. Regarding the eligibility for funding under the Performance
Funding System of dwelling units used for these purposes, refer to 24
CFR 990.108(b)(2).
(L) Duplication of Funding
The HA shall not receive duplicate funding for the same work item
or activity under any circumstance and shall establish controls to
assure that an activity, program, or project that is funded under any
other HUD program shall not be funded by CIAP.
(M) Conflict of Interest
In addition to the conflict of interest requirements in 24 CFR part
85, no person who is an employee, agent, consultant, officer, or
elected or appointed official and who exercises or has exercised any
functions or responsibilities with respect to activities assisted under
this grant, or who is in a position to participate in a decision making
process or gain inside information with regard to such activities, may
obtain a financial interest or benefit from the activity, or have an
interest in any contract, subcontract, or agreement with respect
thereto, or the proceeds thereunder, either for himself or herself or
for those with whom he or she has family or business ties, during his
or her tenure or for one year thereafter.
(N) Wage Rates
The wage rate requirements at 24 CFR 968.110(e) and (f) apply to
assistance under this program.
III. Application Selection Process
(A) Rating and Ranking
(1) General. The rating and ranking of applications, the grouping
of applications, the technical review process and funding decisions
will be in accordance with HUD's regulations in 24 CFR 968.210.
(2) Eligibility Review. After the HA's CIAP application is
determined to be complete and accepted for review, the Field Office
eligibility review shall determine if the application is eligible for
full processing or processing on a reduced scope, and shall assess the
applicant's management and modernization capability.
(a) Full Eligibility. To be eligible for full processing, the
applicant must be in compliance with the program requirements listed in
Section II of the CIAP section of the SuperNOFA, and additionally must
be in compliance with the following:
(i) Each eligible development for which work is proposed has
reached the Date of Full Availability (DOFA) and is under ACC at the
time of CIAP application submission; and
(ii) Where funded under Major Reconstruction of Obsolete Projects
(MROP) after FY 1988, the development/building has reached DOFA or,
where funded during FYs 1986-1988, all MROP funds for the development/
building have been expended.
(b) Reduced Eligibility. When the following conditions exist, the
HA's application will be reviewed on a reduced scope in accordance with
HUD's regulations in 24 CFR 968.210.
(i) An HA that has been Not designated as Troubled under 24 CFR
part 901, Public Housing Management Assessment Program (PHMAP), or
(ii) Designated as Troubled, but has a reasonable prospect of
acquiring management capability through CIAP-funded management
improvements and administrative support. A Troubled PHA is eligible for
Emergency Modernization only, unless it is making reasonable progress
toward meeting the performance targets established in its memorandum of
agreement or equivalent under 24 CFR 901.140 or has obtained
alternative oversight of its management functions.
(iii) An HA that has been designated as Modernization Troubled
under 24 CFR part 901, PHMAP is eligible for Emergency Modernization
only, unless it is making reasonable progress toward meeting the
performance targets established in its memorandum of agreement or
equivalent under 24 CFR 901.140 or has obtained alternative oversight
of its modernization functions. Where an HA does not have a funded
modernization program in progress, the Field Office shall determine
whether the HA has a reasonable prospect of acquiring modernization
capability through hiring staff or contracting for assistance.
(3) Long-Term Viability and Reasonable Cost. On Form HUD-52822,
CIAP application, the HA certifies whether the developments proposed
for modernization have long-term physical and social viability,
including prospects for full occupancy. During Joint Review, the Field
Office will review with the HA the determination of reasonable cost for
the proposed modernization to ensure that unfunded hard costs do not
exceed 90 percent of the computed total development cost (TDC) for a
new development with the same structure type and number and size of
units in the market area. The Field Office shall make a final viability
determination. Where the estimated per unit unfunded hard cost is equal
to or less than the per unit TDC for the smallest bedroom size at the
development, no further computation of the TDC limit is required.
(a) If the Field Office determines that completion of the
improvements and replacements will not reasonably ensure the long-term
physical and social viability of the development at a reasonable cost,
the Field Office shall only approve Emergency Modernization or non-
emergency funding for essential non-routine maintenance needed to keep
the property habitable until the demolition or disposition application
is approved and residents are relocated.
(b) Where the Field Office wishes to fund a development with hard
costs exceeding 90 percent of computed TDC, the Field Office shall
submit written justification to Headquarters for final decision. Such
justification shall include:
(i) Any special or unusual conditions have been adequately
explained, all work has been justified as necessary to meet the
modernization and energy conservation standards, including development
specific work necessary to provide a modest, non-luxury development;
and
(ii) Reasonable cost estimates have been provided, and every effort
has been made to reduce costs; and
(c) Rehabilitation of the existing development is more cost-
effective in the long-term than construction or acquisition of
replacement housing; or
(d) There are no practical alternatives for replacement housing.
(4) ``Fast Tracking'' Emergency Applications. Emergency
applications do not have to be processed within the normal processing
time allowed for other applications. Where an immediate hazard must be
addressed, HA emergency applications may be submitted and processed at
any time during the year when funds are
[[Page 15574]]
available. The Field Office shall ``fast track'' the processing of
these emergency applications so that fund reservation may occur as soon
as possible. An emergency application is comprised of the forms,
certifications and assurances listed in the General Section of the
SuperNOFA, and also the following documents:
(a) Form HUD-52825, CIAP Budget/Progress Report, which includes the
implementation schedule(s), in an original and two copies.
(b) Form HUD-52820, HA Board Resolution Approving CIAP Budget, in
an original only.
(c) At the option of the HA, photographs or video cassettes showing
the physical condition of the developments.
(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 to 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 (20 Points)
This factor addresses the extent to which the applicant has 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 sub-
contractors, consultants, sub-recipients, and members of consortia
which are firmly committed to the project. In rating this factor HUD
will consider the extent to which the proposal demonstrates:
(1) The knowledge and experience of the 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 the applicant's staff to
undertake eligible program activities.
(2) The applicant has sufficient personnel or will be able to
quickly access qualified experts or professionals, to deliver the
proposed activities in each proposed service area in a timely and
effective fashion, including the readiness and ability of the applicant
to immediately begin the proposed work program. The adequacy of the
personnel for an HA will be determined on the basis of the amount of
funding and the complexity of the proposed activities.
(3) The applicant has demonstrated experience in managing programs,
and carrying out grant management responsibilities for programs,
similar in scope or nature directly relevant to the work activities
proposed. If the applicant has managed large, complex,
interdisciplinary programs, the applicant should include that
information in the response.
(4) If the applicant received funding in previous years in the
program area for which they are currently seeking funding, the
applicant's past experience will be evaluated in terms of their ability
to attain demonstrated measurable progress in the implementation of
their most recent grant award as measured by obligation and
expenditures and measurable progress in achieving the purpose for which
funds are provided.
(5) The Field Office shall evaluate the HA's management capability.
Particular attention shall be given to the adequacy of the HA's
maintenance in determining the HA's management capability. This
assessment shall be based on the compliance aspects of on-site
monitoring, such as audits, reviews or surveys which are currently
available within the Field Office, and on performance reviews. The HA
has management capability if it is:
(a) Not designated as Troubled under 24 CFR part 901, Public
Housing Management Assessment Program (PHMAP), or
(b) Designated as Troubled, but has a reasonable prospect of
acquiring management capability through CIAP-funded management
improvements and administrative support.
(6) The Field Office shall evaluate the HA's modernization
capability, including the progress of previously approved modernization
and the status of any outstanding findings from CIAP monitoring visits.
The HA has modernization capability if it is:
(a) Not designated as Modernization Troubled under 24 CFR part 901,
PHMAP, or
(b) Designated as Modernization Troubled, but has a reasonable
prospect of acquiring modernization capability through CIAP-funded
management improvements and administrative support, such as hiring
staff or contracting for assistance.
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. In responding to this
factor, applicants will be evaluated on:
(1) The extent to which they document the level of need for the
proposed activity and the urgency in meeting the need using statistics
and analyses contained in a data source(s) that:
(a) Is sound and reliable. To the extent that the applicant's
community's Consolidated Plan and Analysis of Impediments to Fair
Housing Choice (AI) identifies the level of the problem and the urgency
in meeting the need, references to these documents should be included
in the response. HUD will review more favorably those applicants who
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), applicants 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, law enforcement
agency crime reports, an HA's assessment of its physical and management
needs, HUD review reports, and other sound and reliable sources
appropriate for the specific SuperNOFA program and activities for which
an applicant is applying. For technical assistance programs, input from
HUD State and Area Office(s) and assessments are included among the
data sources that may be used to identify need.
(b) Is specific to the development where the proposed activity will
be carried out or where applicable, documents the need for an HA-wide
activity(s). Specific attention must be paid to documenting need which
has a direct impact on the surrounding community, e.g., where a design
change facilitates the integration of public housing into the
surrounding community.
(2) The extent of vacancies based on the HA-wide vacancy rate,
where the vacancies are not due to insufficient demand.
Rating Factor 3: Soundness of Approach (40 Points)
This factor addresses the quality and cost effectiveness of the
applicant's proposed work plan. There must be a clear relationship
between the proposed activities, community needs and the purpose of the
program funding for an applicant to receive points for this factor. In
evaluating this factor, HUD will consider the following:
[[Page 15575]]
(1) (5 Points) The quality of the cost estimates for the proposed
work.
(2) (25 Points) The extent to which the proposed physical
improvement needs meet the modernization standards, and support the
integration of public housing into the broader community. Although high
priority needs, such as those related to health and safety, vacant,
substandard units, structural or system integrity, and compliance with
statutory, regulatory or court-ordered deadlines, will receive funding
priority, to the extent possible, HAs should plan their modernization
in a way which promotes good design, but maintains the modest nature of
public housing.
(3) (5 Points) Degree to which the PHA Affirmatively Furthers Fair
Housing. Actions that assist the jurisdiction in overcoming impediments
to fair housing choice identified in the 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. Examples of actions that can be taken
may include, but are not limited to: neighborhood revitalization
efforts that encourage fair housing choice (such as schools, grocery
stores, transportation and the quality of services); implementing site
selection policies which give priority to sites located outside of
minority and low-income areas; participating in mobility counseling
programs and clearing houses which offer housing opportunities both
within and outside of high-poverty areas; increasing the supply of
accessible housing available to low-income persons with disabilities;
and ensuring accessibility and visitability for persons with
disabilities to aspects of the program. Additional examples may be
obtained from Chapter 5 of the ``Fair Housing Planning Guide, Vol. 1''
which may be ordered from HUD's Fair Housing Clearinghouse by calling
(800-343-3442).
(5 Points for Subfactors (4) through (8))
(4) The degree of resident involvement in HA operations as
described in the Narrative Statement and supported by FO file evidence.
(5) The degree of HA activity in coordinating/providing resident
services related to Welfare-to-Work initiatives in community facilities
at or near HA developments based on FO file evidence. Such services
include, but are not limited to services coordination/case management,
training, child care, health care, transportation, and economic
development.
(6) The degree of HA activity in resident initiatives, including
resident management, economic development, homeownership, and drug
elimination efforts or other resident initiatives for non-elderly as
described in the Narrative Statement and supported by FO file evidence.
(7) The degree of non-elderly resident employment through direct
hiring or contracting/subcontracting or job training initiatives as
described in the Narrative Statement and supported by FO file evidence.
(8) Further and support the policy priorities of HUD including:
(a) Promoting healthy homes;
(b) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare to work programs;
(c) 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;
(d) Providing educational and job training opportunities through
such initiatives as Neighborhood Networks, Campus of Learners and
linking to AmeriCorps activities.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant 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:
(1) To the extent possible, the applicant has taken the initiative
to partner with other entities to secure additional resources to
increase the effectiveness of the proposed program activities, e.g.,
CDBG funds may be committed for infrastructures. Resources may include
funding or in-kind contributions, such as services or equipment,
allocated to the purpose(s) of the award the applicant is seeking,
e.g., an educational institution may provide training in conjunction
with a management improvement activity. 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. Applicants may also partner with other program funding
recipients to coordinate the use of resources in the area of the public
housing development.
(2) Where applicable, applicants should provide evidence of other
resources 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.
(3) The local government support for proposed modernization,
through either funding or in-kind contributions, over and above what is
required under the Cooperation Agreement for municipal services, such
as police and fire protection and refuse collection, within the last 12
months, that will directly benefit the public housing or the
neighborhood surrounding the public housing.
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 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
the applicant demonstrates that it has:
(1) Coordinated its 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. Any written agreements, memoranda of understanding in place, or
that will be in place after award should be described.
(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 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
[[Page 15576]]
(b) Other Federal, State or locally funded activities, including
those proposed or on-going in the community.
IV. Application Submission Requirements.
The HA shall submit the CIAP Application to the Field Office, with
a copy to appropriate local officials, e.g., the mayor, City Manager.
The HA may obtain the necessary forms from the Field Office. The CIAP
Application is comprised of the following documents:
(A) Form HUD-52822, CIAP Application, in an original and two
copies, which includes:
(1) A general description of HA development(s), in priority order,
(including the current physical condition, for each development for
which the HA is requesting funds, or for all developments in the HA's
inventory) and physical and management improvement needs to meet the
Secretary's standards in 24 CFR 968.115; description of work items
required to correct identified deficiencies, including accessibility
work; and the estimated cost. Where the HA has not included some of its
developments in the CIAP Application, the Field Office may not consider
funding any non-emergency work at excluded developments or subsequently
approve use of leftover funds at excluded developments. Therefore, to
provide maximum flexibility, the HA may wish to include all of its
developments in the CIAP Application, even though there are no known
current needs. Following is an example of the general description:
Development 1-1: 50 units of low-rent; 25 years old; physical needs
are: new roofs; storm windows and doors; and electrical upgrading at
estimated cost of $150,000.
Development 1-2: 40 units of low-rent; 20 years old; physical needs
are: physical accessibility for kitchens, bathrooms and doors in 2
units and common laundry room; visitability in 4 ground floor units;
kitchen floors; shower/bathtub surrounds; fencing; and exterior
lighting at estimated cost of $130,000.
Development 1-3: 35 units of Turnkey III; 15 years old; physical
needs are: physical accessibility in 3 units; and roof insulation at
estimated cost of $50,000.
Development 1-4: 20 units of low-rent; 5 years old; no physical
needs; no funding requested.
(2) Where funding is being requested for management improvements,
an identification of the deficiency, a description of the work required
for correction, and estimated cost. Examples of management improvements
include, but are not limited to, the following areas:
(a) The management, financial, and accounting control systems of
the HA;
(b) The adequacy and qualifications of personnel employed by the HA
in the management and operation of its developments by category of
employment; and
(c) The adequacy and efficacy of resident programs and services,
resident and development security, resident selection and eviction,
occupancy and vacant unit turnaround, rent collection, routine and
preventive maintenance, equal opportunity, and other HA policies and
procedures.
(3) A certification that the HA has met the requirements for
consultation with local officials and residents/homebuyers and that all
developments included in the application have long-term physical and
social viability, including prospects for full occupancy. If the HA
cannot make this certification with respect to long-term viability, the
HA shall attach a narrative, explaining its viability concerns.
(B) A Narrative Statement, in an original and two copies,
addressing each of the rating factors in Section III(B) of this CIAP
section of the SuperNOFA. In addressing the affirmatively furthering
fair housing technical review factor, actions that the HA has taken, or
plans to take, to accomplish this objective may include, but are not
limited to the following:
(1) Actions that contribute toward the reduction of concentration
of low-income-persons who are protected under the Fair Housing Act and
Title VI of the Civil Rights Act. Such actions may include housing
programs/activities that provide information regarding housing
opportunities outside of minority concentrated areas within the HA's
jurisdictional boundaries, or efforts that encourage landlords/owners
to make available housing opportunities outside of minority
concentrated areas. For example, the HA may refer applicants to other
available housing as part of an established housing counseling service
or assist applicants in getting on other waiting lists.
(2) Actions that overcome the consequences of prior discriminatory
practices or usage which may have tended to exclude persons of a
particular race, color or national origin; or that overcome the effects
of past discrimination against persons with disabilities. Such actions
may include those actions taken without any kind of legally binding
order, but which have changed previous discriminatory management,
tenant selection and assignment or maintenance practices.
(3) Actions that assist the jurisdiction 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, or any other planning document that
addresses fair housing issues. Examples of actions that can be taken
may include, but are not limited to: neighborhood revitalization
efforts that encourage fair housing choice (such as schools, grocery
stores, transportation, and the quality of services); implementing site
selection policies which give priority to sites located outside of
minority and low-income areas; participating in mobility counseling
programs and clearinghouses which offer housing opportunities both
within and outside of high-poverty areas; increasing the supply of
accessible housing available to low-income persons with disabilities;
and ensuring accessibility and visitability for persons with
disabilities to aspects of the program. Additional examples may be
obtained from Chapter 5 of the Fair Housing Planning Guide, Vol 1''
which may be ordered from HUD's Fair Housing Clearinghouse by calling
(800) 343-3442.
(C) Form HUD-50071, Certification for Contracts, Grants, Loans and
Cooperative Agreements, in an original only, required of HAs
established under State law, applying for grants exceeding $100,000.
(D) Evidence of Physical Condition of the Developments. At the
option of the HA, photographs or video cassettes showing the physical
condition of the developments.
V. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
[[Page 15577]]
Funding Availability for Revitalization of Severely Distressed
Public Housing (Hope VI Revitalization)
Program Description: Approximately $441 million is available in
funding for the Revitalization of Severely Distressed Public Housing
(the ``HOPE VI Revitalization Program''), as provided in the
Departments of Veterans Affairs and Housing and Urban Development, and
Independent Agencies Appropriations Act, 1998. The continued funding of
the HOPE VI Program is to enable revitalization and transformation of
the physical site of severely distressed public housing developments
and the social dynamics of life for low-income residents at that site,
or in any off-site replacement housing.
Application Due Date: Applications must be received at HUD
Headquarters on or before 12:00 pm. Eastern time on June 29, 1998, at
HUD Headquarters. See the General Section of this SuperNOFA for
specific procedures governing the form of application of submission
(e.g., mailed applications, express mail, overnight delivery, or hand
carried).
Addresses for Submitting Applications: One copy of the completed
application must be received at HUD Headquarters, 451 Seventh Street,
SW, Room 4138, Washington, DC 20410, Attention: Deputy Assistant
Secretary for Public Housing Investments. In addition, two copies of
the completed application also must be received at the appropriate HUD
Field Office HUB.
For Application Kits, Further Information, Technical Assistance:
For Application Kits. A copy of the application kit will be mailed
to every eligible PHA. Application kits and any supplementary
information also may be obtained 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. 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 HOPE VI and provide your name, address (including zip
code), and telephone number (including area code).
For Further Information and Technical Assistance. For answers to
your questions, you may call Mr. Milan Ozdinec, Director, Office of
Urban Revitalization, Department of Housing and Urban Development, 451
Seventh Street, SW, Room 4142, Washington, DC 20410; telephone (202)
401-8812 (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 1-800-877-8399.
I. Additional Information
(A) Authority
The funding for HOPE VI Revitalization grants under this SuperNOFA
is provided by the FY 1998 HUD Appropriations Act under the heading
``Revitalization of Severely Distressed Public Housing (HOPE VI).''
(B) Purpose
The purpose of the HOPE VI Program is to enable revitalization and
transformation of the physical site of severely distressed public
housing developments and the social dynamics of life for low-income
residents at that site, or in any off-site replacement housing. The
HOPE VI Revitalization Program provides for grants to public housing
agencies to assist in:
(1) The demolition of severely distressed public housing projects
or portions of these projects;
(2) The revitalization (where appropriate) of sites (including
remaining public housing units) on which such projects are located;
(3) The provision of replacement housing which will avoid or lessen
concentration of very low-income families;
(4) Tenant-based assistance in accordance with section 8 of the
U.S. Housing Act of 1937;
(5) Assisting tenants displaced by demolition.
The FY 1998 HOPE VI appropriation also provides for grant funds to
be used for the demolition of severely distressed elderly public
housing projects and the replacement, where appropriate, and
revitalization of the elderly public housing as new communities for the
elderly designed to meet the special needs and physical requirements of
the elderly.
(C) Amount Allocated
(1) Revitalization grants. Approximately $416 million of the FY
1998 HOPE VI appropriation has been allocated to fund HOPE VI
Revitalization grants.
(2) Elderly Housing grants. In accordance with the FY 1998 HUD
Appropriations Act, $26 million of the HOPE VI appropriation has been
allocated to fund projects proposing demolition of severely distressed
elderly public housing projects and the replacement, where appropriate,
and revitalization of the elderly public housing as new communities for
the elderly designed to meet the special needs and physical
requirements of the elderly.
(a) Targeted developments may be either:
(i) Housing designated for the elderly, persons with disabilities,
or mixed-populations, in accordance with section 7 of the U.S. Housing
Act of 1937; or
(ii) Projects of a PHA designated as elderly by HUD in accordance
with requirements in effect prior to enactment of the Housing and
Community Development Act of 1992.
(iii) A PHA may, after revitalization, designate the targeted
development through a HUD-Approved allocation plan.
(b) Applications targeting elderly developments will be rated in a
separate competition, and will be ranked only with other elderly
applications.
(c) Of the $26 million made available for elderly housing, the FY
1998 HUD Appropriation Act included up to $10 million for Heritage
House in Kansas City, Missouri. HUD awarded $6,570,500 to Heritage
House under the FY 1997 HOPE VI NOFA, therefore the full $10 million
will not be needed. After funding the needs of Heritage House, the
balance of the $10 million set-aside will be made available for Elderly
Housing grants eligible for funding under this SuperNOFA.
(3) HOPE VI Demolition-Only Grants. Up to $60 million in HOPE VI
funds will be made available for the demolition of obsolete public
housing without revitalization. Those funds will be distributed through
a separate NOFA.
(4) Section 8. Up to $91 million (approximately 10,000 units) has
been allocated for Section 8 tenant-based certificates and vouchers for
public housing relocation or public housing replacement (including
units selected for the HOPE VI Program). The Section 8 funds will be
allocated by HUD after HUD approval of the applicant's demolition/
disposition application or distressed public housing conversion plan
submitted in lieu of a demolition/disposition application in
conformance with the statutory requirements for the mandatory
conversion of distressed public housing units as required by section
202 of the Omnibus Consolidated Rescissions and Appropriations Act of
1996. These section 8 funds will be distributed through a separate
notice.
(D) Eligible Applicants
PHAs that own public housing units are eligible to apply. Indian
Housing Authorities are not eligible to apply.
[[Page 15578]]
(E) Eligible Activities and Program Authority
Eligible activities are those eligible under sections 5 and 14 of
the U.S. Housing Act of 1937 (42 U.S.C. 1437f, 1437l) (1937 Act).
Revitalization activities using HOPE VI funds must be for public
housing developments. Accordingly, certain activities under the
revitalization plan are subject to statutory requirements applicable to
public housing developments under the U.S. Housing Act of 1937 (the
1937 Act), other statutes, and the ACC. Within such restrictions, HUD
seeks innovative solutions to the long-standing problems of severely
distressed developments.
In order to satisfy any particular statutory requirement, a Grantee
may take measures as described in implementing regulations, or upon
request to HUD for a different approach, as otherwise approved in
writing by HUD. As of the date of publication of this SuperNOFA, the
provisions of section 14(q) of the U.S. Housing Act of 1937, as amended
by section 201 of the FY 1996 HUD Appropriation Act, including
provisions in sections 14(q)(2), (3), and (4) of the U.S. Housing Act
of 1937 concerning mixed-income development, have not been extended to
cover FY 1998 HOPE VI or section 14 Modernization Funding.)
The recipient must conduct the following activities, which may be
undertaken with HOPE VI grant funds, in accordance with the cited
program requirements or otherwise with HUD's written approval,
consistent with the 1998 Appropriations Act and this SuperNOFA.
Activities which may be funded with HOPE VI grant funds include but are
not limited to:
(1) Total or partial demolition of buildings, in accordance with 24
CFR part 970;
(2) Disposition of property, in accordance with 24 CFR part 970;
(3) 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;
(4) Major rehabilitation and other physical improvements of housing
and community facilities primarily intended to facilitate the delivery
of self-sufficiency, economic development, or other 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);
(5) 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
service opportunities 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;
(6) Homeownership units will be deemed Replacement Units only as
specified in the Urban Revitalization heading of the 1993
Appropriations Act (Pub.L. 102-389; approved October 6, 1992); that is,
if they meet the statutory requirements of the Section 5(h) Program (42
U.S.C. 1437c(h)); the HOPE II program (42 U.S.C. 12871-80; Pub. L. 101-
625, secs. 421-31; 104 Stat. 4079, 4162-72); the HOPE III program (42
U.S.C. 12891-98; Pub.L. 101-625, secs. 441-48; 104 Stat. 4079, 4172-
80); or are made available through housing opportunity programs of
construction or substantial rehabilitation of homes meeting essentially
the same eligibility requirements as the Nehemiah Program.
(7) Management improvements;
(8) Administration, planning, and technical assistance;
(9) Programs designed to help residents gain employment and attain
self-sufficiency;
(10) Programs designed to meet the special needs and physical
requirements of the elderly and/or disabled and enable the elderly and/
or disabled to live where one chooses with dignity, control, and
independence.
(11) Relocation, conducted in accordance with 24 CFR 970.5
(demolition) or 24 CFR 968.108 (rehabilitation), as appropriate.
(F) Waivers
PHAs 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 to
permit a PHA to undertake measures that enhance the long-term viability
of a development revitalized under this program.
(G) Limitations on Use of Funds
No funds awarded for the HOPE VI Revitalization Program under this
SuperNOFA shall be used for any purpose that is not provided for under
the: FY 1998 HUD Appropriations Act; United States Housing Act of 1937;
the Appropriations Acts for the Departments of Veterans Affairs and
Housing and Urban Development, and Independent Agencies, for the Fiscal
Years 1993, 1994, 1995, and 1997; and the Omnibus Consolidated
Rescissions and Appropriations Act of 1996. Additionally, no funds
awarded for the HOPE VI Program under this SuperNOFA shall be used
directly or indirectly by granting competitive advantage in awards to
settle litigation or pay judgements.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following
requirements:
(A) Severely Distressed
In order to be eligible for HOPE VI funding, a public housing
development, or portion of the development, must be severely distressed
as to physical condition, location, or other factors, making the
development, in its current condition, unusable for housing purposes.
Major problems indicative of severe distress are:
(1) Physical Condition: structural deficiencies (e.g. settlement of
earth below the building caused by inadequate structural fills, faulty
structural design, or settlement of floors), substantial deterioration
(e.g., severe termite damage or damage caused by extreme weather
conditions), or other design or site problems (e.g., severe erosion or
flooding).
(2) Location: physical deterioration of the neighborhood; change
from residential to industrial or commercial development; or
environmental conditions as determined by HUD environmental review,
which was previously conducted in accordance with 24 CFR part 50, which
jeopardize the suitability of the site or a portion of the site and its
housing structures for residential use.
(3) Other factors which have seriously affected the marketability,
usefulness, or management of the property, such as significant numbers
of families living in poverty, significant incidence of serious crime,
high vacancy rate, high turnover rate, low rent collections, etc.
(B) Grant Limitations
The following grant amount limits apply to HOPE VI grants under
this SuperNOFA. The grant amount shall be limited by the total amount
determined by addition of paragraphs (1), (2), (3), and (4) below, as
applicable.
(1) Total Development Cost (TDC). TDC is limited to the sum of:
(a) TDCs up to, but not to exceed 100% of, HUD's published TDC
limits for the costs of demolition and new construction multiplied by
the number of public housing Replacement Units; and/or
[[Page 15579]]
(b) 90% of such TDC limits multiplied by the number of public
housing units to be substantially rehabilitated.
Total Development Cost (TDC) is 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.
Duplicative funding is prohibited for any replacement units previously
funded by HOPE VI or other HUD funds. This requirement does not
prohibit any non-HUD funds to be used to supplement HUD funds for any
project cost. Disclosure of all prior HUD grant assistance is required
for the targeted development. The only exception to this rule is that
the receipt of Section 8 relocation assistance does not affect the
eligibility of the applicant to receive subsequent HOPE VI
Revitalization funding for replacement of the same units.
The Department has developed a new TDC policy and cost control
which applies to 1998 grants. A HUD Notice and rule describing this
policy will be issued in the near future.
(2) Community and Supportive Services Programs. Applicants may
request up to $5,000 per household for community and supportive
services, including self-sufficiency programs, based on:
(a) The number of households in occupied units in the project to be
revitalized at the time of application submission, and
(b) The estimated number of new households that are expected to
occupy replacement units after revitalization; or
(3) Services to Assist the Elderly. Applicants may request up to
$5,000 per household for human services programs to address quality of
life and other social needs, as opposed to self-sufficiency programs of
family HOPE VI projects, rewarding innovative objectives and programs,
particularly as related to aging in place and assisted living.
(4) Relocation. Applicants may request no more than $3,000 per
occupied unit at the time of HOPE VI application submission for
relocation services and expenses.
(5) Total Grant Amount.
(a) Revitalization Applications.
(i) A PHA may submit one or two separate Revitalization
applications. The total amount requested in one or both applications
may not exceed $35 million. If a PHA submits two applications, each
application will be reviewed separately, subject to the grant
limitation amounts above, and if both applications are selected, the
total amount the applicant may receive may not exceed $35 million.
(ii) Notwithstanding the fact that a PHA may submit one or two
Revitalization applications, each individual application may include a
request for funds for only one public housing development. Developments
that are contiguous, immediately adjacent to one another, or within
four city blocks from each other will be considered one development for
the purposes of the HOPE VI Program under this SuperNOFA. There is no
minimum or maximum number of housing units for which funds may be
requested in a single application.
(b) Elderly Housing Grant Applications.
(i) A PHA may submit only one application under the Elderly Housing
grant requesting no more than $5 million.
(ii) A PHA may not submit an application for an Elderly Housing
grant that targets the same units targeted in a Revitalization
application.
(iii) Each application will be evaluated independently and must be
viable regardless of whether a PHA applies for funds under the
Revitalization grant.
(C) Public Meeting
The application must include a certification that at least one
public meeting was held to notify residents and community members of
the proposed activities described in the application. The meeting must
be held after the publication date of this SuperNOFA. Issues that must
be covered in the public meeting include:
(a) The extent of proposed demolition;
(b) Relocation issues; and
(c) Other revitalization activities.
(D) Replacement Units
(1) 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.
(2) Homeownership units will be deemed Replacement Units only as
specified in the Urban Revitalization heading of the 1993
Appropriations Act (Pub. L. 102-389; approved October 6, 1992); that
is, if they meet the statutory requirements of the Section 5(h) program
(42 U.S.C. 1437c(h)); the HOPE II program (42 U.S.C. 12871-80; Pub. L.
101-625, secs. 421-31; 104 Stat. 4079, 4162-72); the HOPE III program
(42 U.S.C. 12891-98; Pub.L. 101-625, secs. 441-48; 104 Stat. 4079,
4172-80); or are made available through housing opportunity programs of
construction or substantial rehabilitation of homes meeting essentially
the same eligibility requirements as the Nehemiah program.
(3) HOPE VI funds may not directly support mixed-finance units
which are not themselves to be placed under ACC or be sold as
homeownership units as specified above.
(E) Section 3 Economic Opportunities
Please see Section II(E) of the General Section of this SuperNOFA.
The requirements of Section 3 are applicable to HOPE VI.
(F) Flood Insurance
In accordance with the Flood Disaster Protection Act of 1973 (42
U.S.C. 4001-4128), HUD will not approve applications for grants
providing 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:
(1) 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
(2) Where the community is participating in the National Flood
Insurance Program, flood insurance is obtained as a condition of
approval of the application.
(G) Coastal Barrier Resources Act
In accordance with the Coastal Barrier Resources Act (16 U.S.C.
3501), HUD will not approve grant applications for properties in the
Coastal Barrier Resources System.
(H) OMB Circulars
Please see Section II(H) of the General Section of this SuperNOFA.
(I) Conflict of Interest
(1) In addition to the conflict of interest requirements in 24 CFR
part 85, no person who is an employee, agent, consultant, officer, or
elected or appointed official and who exercises or has exercised any
functions or responsibilities with respect to activities assisted by
HOPE VI funds, or who is in a position to participate in a
decisionmaking process or gain inside information with regard to such
activities, may obtain a financial interest or benefit from the
activity, or have an interest in any contract, subcontract, or
agreement with respect thereto, or the proceeds thereunder, either for
himself or herself or for those with whom her or she has family or
business ties, during his or her tenure or for one year thereafter.
[[Page 15580]]
(2) HUD may grant an exception to the exclusion in paragraph (1) of
this section on a case-by-case basis when it determines that such an
exception will serve to further the proposes of the program and the
effective and efficient administration of the revitalization
activities. HUD will consider an exception only after the applicant or
recipient has provided a disclosure of the nature of the conflict,
accompanied by an assurance that there has been public disclosure of
the conflict and a description of how the public disclosure was made,
and an opinion of the applicant's or recipient's attorney that the
interest for which the exception is sought would not violate State or
local laws. In determining whether to grant a requested exception, HUD
will consider the cumulative effect of the following factors, as
applicable:
(a) Whether the exception would provide a significant cost benefit
or an essential degree of expertise to the revitalization program that
would otherwise not be available;
(b) Whether an opportunity was provided for open competitive
bidding or negotiation;
(c) Whether the person affected is a member of a group or class
intended to be the beneficiaries of the activity, and the exception
will permit such person to receive generally the same interest or
benefits as are being made available or provided to the group or class;
(d) Whether the affected person has withdrawn from his or her
functions or responsibilities, or the decisionmaking process, with
respect to the specific activity in question;
(e) Whether the interest or benefit was present before the affected
person was in a position as described in paragraph (1) of this section;
(f) Whether undue hardship will result either to the applicant,
recipient, or the person affected when weighted against the public
interest served by avoiding the prohibited conflict; and
(g) Any other relevant considerations.
(J) Labor Standards
Where HOPE VI funds provide assistance with respect to low-income
housing that will be subject to a contract for assistance under the
U.S. Housing Act of 1937, Davis-Bacon or HUD-determined wage rates
apply to development or operation of the housing to the extent required
under section 12 of the Act. 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 the revitalization program, labor standards requirements apply to
the extent required by such other Federal programs, on portions of the
development that are not subject to Davis-Bacon rates under the Act.
(K) Lead-Based Paint Testing and Abatement
Any property assisted under the HOPE VI Program is covered by the
Lead-Based Paint Poisoning Prevention Act (24 U.S.C. 4821 et seq.) and
is therefore subject to 24 CFR part 35; 24 CFR part 965, subpart H; and
24 CFR 968.110(k).
(L) Building Standards
All activities that include construction, rehabilitation, lead-
based paint removal, and related activities:
(1) Must meet or exceed local building codes; and
(2) Must comply with the 1992 Model Energy Code issued by the
Council of American Building Officials.
(M) Program Income
Where a plan contemplates the receipt of program-related income
prior to grant closeout (e.g., from sale of homeownership Replacement
Units, or the disposition of improved land), such income must be
reflected in the HOPE VI budget and used for program purposes.
III. Application Selection Process
(A) Threshold Criteria for Funding Consideration
(1) The applicant must be an eligible Public Housing Agency.
(2) The targeted public housing development or portion thereof must
be severely distressed, as defined in Section II(A) of this HOPE VI
Program section of the SuperNOFA.
(3) The application must include all required forms, certifications
and assurances, properly signed and executed, after any period provided
for the curing of deficiencies consistent with section V below.
(4) Applications that propose new construction of replacement
housing must comply with the requirements of section 6(h) of the 1937
Act by submitting the information described in either paragraphs (a) or
(b) of this section:
(a) A PHA comparison of the costs of new construction (in the
neighborhood where the PHA proposes to construct the housing) and the
costs of acquisition of existing housing or acquisition and
rehabilitation in the same neighborhood (including estimated costs of
lead-based paint testing and abatement), or
(b) A PHA certification, accompanied by supporting documentation,
that there is insufficient existing housing in the neighborhood to
develop housing through acquisition of existing housing or acquisition
and rehabilitation.
(B) Application Rating Factors
The factors for rating and ranking applications and the maximum
points for each factor, are provided below. The maximum number of
points for each application is 102. This includes two EZ/EC bonus
points, as described in the General Section of this SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
This factor addresses the extent to which the applicant has the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. In order to ensure that
revitalization efforts take place without delays attributable to
administration and management, applications that demonstrate the
highest degree of capability to implement revitalization in an
expeditious manner upon grant award will be awarded the most points
under this rating factor.
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 which
are firmly committed to the project.
In rating this factor, HUD will consider the extent to which:
(1) The applicant and/or its proposed partners, including the
overall proposed project director and staff, the day-to-day program
manager, consultants, and contractors, have knowledge and recent,
successful experience in planning, implementing, adapting, and
managing:
(a) Revitalization activities;
(b) Self-sufficiency programs;
(c) Supportive services for the elderly, if applicable;
(d) Other programs similar in scope or nature to the proposed
activities.
HUD does not require that the applicant have its program manager
and/or developer selected prior to submission of the application,
although the PHA may elect to do so. Rather, the PHA must demonstrate
its capacity or its ability to identify needs in its current staffing
to successfully implement its program, and/or describe in detail its
proposed method for securing a program manager and/or development
partner to implement the plan.
[[Page 15581]]
(2) The applicant has adequate experience in management and
marketing. The applicant has thoroughly evaluated the obstacles that
prevented good management, as well as other problems that contributed
to the obsolescence of the targeted development, and the new management
plan will protect against such obstacles and problems and will improve
the efficiency and economy of management. PHAs may propose private
management or self-management, but in the latter case must demonstrate
its capacity to self-manage; or
(3) The applicant has sufficient personnel or will be able to
procure partners quickly to implement the revitalization plan in a
timely and effective fashion immediately after grant award;
(4) The applicant proposes an appropriate balance of oversight and
autonomy in its use of partners and/or contractors;
(5) The applicant has satisfactory managerial experience with
resident initiatives;
(6) If the applicant received HOPE VI funding in previous years,
HUD will evaluate its ability to demonstrate progress through its
expenditure rate and achievement of program objectives.
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 to address a documented problem
in the target area.
In rating this factor, HUD will consider:
(1) The extent to which the applicant has documented a critical
level of need for the proposed activities at the targeted development.
Documentation of need must demonstrate that:
(a) There is a significant level of physical deterioration of
buildings and sites, as supported by information and data which shows
the extent of physical problems at the site such as major structural
deficiencies, electrical systems under code, poor site conditions,
leaking roofs, deteriorated infrastructure, high levels of deferred
maintenance, number of units that do not meet Housing Quality
Standards, levels of lead based paint, and other factors;
(i) The level of distress at the site is urgent and threatens to
become imminently greater without immediate intervention;
(ii) The PHA lacks the funds to revitalize the development to
provide decent, safe, and sanitary housing at the site;
(b) The level of physical distress in the surrounding community is
extreme and contributes to the obsolescence of the site, as evidenced
by information and data addressing such factors as housing density,
housing deterioration, and lack of adequate infrastructure or
utilities;
(c) The community as a whole has a demonstrated level of social
distress, as evidenced by indicators such as significant incidence of
criminal activity, a high vacancy rate, high rates of housing turnover,
truancy, and unemployment, low rates of rent collections, graduation,
and other objective, measurable indicators;
(d) The distress at the site was caused or exacerbated by
obsolescence, not factors within the applicant's control;
(2) The extent to which the level of need for the proposed activity
and the urgency in meeting the need are documented with statistics and
analyses contained in a data source(s) that is sound and reliable. To
the extent that the applicant's community's Consolidated Plan and
Analysis of Impediments to Fair Housing Choice (AI) identifies the
level of the problem and the urgency in meeting the need, references to
these documents should be included in the response. The Department will
review more favorably those applicants who 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), applicants 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, and other
sound and reliable sources appropriate for the specific SuperNOFA
program and activities for which an applicant is applying. For
technical assistance programs, input from HUD State and Area Office(s)
and assessments are included among the data sources that may be used to
identify need.
(3) The PHA agrees that they are subject to the provisions found at
24 CFR part 971 and that they are required to submit a conversion plan,
i.e., a plan for removal of the distressed development from the public
housing inventory, in accordance with the requirements at 24 CFR
971.7(b).
Rating Factor 3: Soundness of Approach (40 Points)
This factor addresses the quality and cost-effectiveness of the
applicant's proposed revitalization plan. There must be a clear
relationship between the proposed activities, community needs and the
purpose of the program funding for an applicant to receive points for
this factor. In rating this factor, HUD will consider the extent to
which:
(25 Points for Subfactors (1) through (7))
(1) There is a demonstrated considerable market for the revitalized
and/or replacement units of the type and size proposed;
(2) The purposes and goals of the program for which funding is
requested will be achieved within an appropriate and reasonable
timeframe and program activities will result in measurable
accomplishments consistent with the purposes of the program.
(3) The cost estimates of program activities:
(a) Are financially sustainable over the long run;
(b) Are developed through the use of technically competent
methodologies
(c) Represent a cost-effective plan for designing, organizing and
carrying out the proposed activities;
(d) Are reasonable for the work to be performed and consistent with
rates established for the level of expertise required to perform the
work in the proposed geographic area;
(e) Are projected to be within HUD TDC and Community and Supportive
Service limits;
(f) Are reasonable relative to the cost of providing section 8
tenant-based assistance.
(4) The information and strategies described are coherent and
internally consistent.
(5) The proposal will lessen concentration of low-income residents
and create desegregation opportunities:
(a) The physical design of the proposed housing will significantly
reduce the isolation of low-income residents and/or significantly
promote mixed-income communities in well-functioning neighborhoods;
(b) Access to municipal services, job information, mentoring
opportunities, transportation, and educational facilities will be
increased;
(c) Operational and management principles will promote economic and
social diversity;
(d) Intensive counseling will be provided to section 8 certificate
or voucher holders to find housing in non-poor areas and prepare these
residents for self-sufficiency;
[[Page 15582]]
(6) The revitalization plan proposes innovative approaches to
public housing transformation.
(a) Applicants are encouraged to design forward-thinking programs
that incorporate the most current sound research on planning,
implementation, financing, partnerships, management, and operation of
public housing and self-sufficiency and educational programs.
Conventional approaches should be reserved for HUD's formula-based
capital programs.
(b) Applications should have the potential to yield innovative
strategies or ``best practices'' that can be replicated and
disseminated to other organizations, including nonprofit organizations,
State and local governments. HUD will assess the transferability of
results in terms of model programs or lessons learned from the work
performed under the award. Applicants will be required to prepare an
analysis of best practices as part of their reports to HUD that may be
used by HUD to inform others who may be interested in learning from the
experiences gained from the work performed under awards funded through
this SuperNOFA.
(7) The design of the revitalized development demonstrates an
achievable effort to blend into and enrich the urban landscape;
(10 Points for Subfactors (8) through (11))
(8) Applications for Elderly Housing grants:
(a) Will create new communities for the elderly and disabled
designed to meet the special needs and physical requirements of the
elderly and disabled. Applicants' elderly program strategies complement
their overall HOPE VI revitalization strategy.
(b) Address the issues of transportation, access to health care,
security, and affordability with innovative approaches.
(c) Propose demonstration programs based on recent research and
program innovations. Applicants are free, however, to propose programs
that address elderly and disabled needs in the manner most appropriate
for their locality.
(d) Include provisions for sustainability beyond the proposed
program period.
(10 points for Subfactors (9) through (11))
(9) Applications targeted toward families propose opportunities for
self-sufficiency, particularly for persons enrolled in welfare-to-work
programs. The self-sufficiency plan:
(a) Demonstrates objectives that are results-oriented, with
measurable goals and outcomes;
(b) Demonstrates consistency with state and local welfare reform
goals;
(c) Is financially and programmatically sustainable over the long
run;
(d) Is well integrated with the development process;
(e) Proposes a program that is of an appropriate scale, type, and
variety of services to meet the needs of residents;
(f) Proposes resident training, self-motivation, employment, and
education;
(g) Includes opportunities for economic and retail development at
or near the public housing site, as appropriate.
(h) Provides commitments by service providers to provide services
and/or funding;
(i) Demonstrates that relationships have been forged 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 children of PHA residents from
birth through higher education;
(j) Identifies employers and potential employment opportunities for
residents who complete community and supportive service training: and
(k) Demonstrates an effective use of technology.
(10) Residents and members of the communities to be affected by the
proposed activities have had and will continue to have full and
meaningful involvement in the planning and implementation of the
revitalization effort:
(a) In addition to meeting the requirement for at least one public
meeting to inform residents and members of the surrounding community of
the revitalization plan as presented in the application submitted to
HUD, the PHA has provided meaningful opportunities for participation to
residents and members of the surrounding community of the meeting(s)
through:
(i) Clear information about the application;
(ii) Prominent posting of information about the application and
scheduled meetings in locations likely to attract notice; and
(iii) Posting of the information in adequate time to allow
participants to plan to attend meetings.
(b) Residents and non-resident members of the surrounding
community:
(i) Have had the opportunity to participate in the shaping of the
application;
(ii) Support the activities proposed in the submitted application;
(iii) Will have opportunities for continued involvement and
participation as program activities proceed.
(11) The proposed operation and management principles will
accomplish all of the following goals:
(a) Achieve efficient and effective property management and
maintenance through private or PHA management;
(b) Lead to a range of incomes in the targeted development
including substantial numbers of working residents through effective
self-sufficiency programs;
(c) Reward work and promote family stability through positive
incentives such as income disregards and ceiling rents. PHAs may
establish ceiling rents and may institute earned income disregards for
FY 1998;
(d) 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, or Department of Justice ``Weed and Seed'' programs;
(iv) Promoting healthy homes, i.e., improving the safety and
security of residents through anti-crime measures and the installation
of physical security or design enhancements.
(e) Promote economic and demographic diversity through a system of
local preferences; and
(f) Encourage self-sufficiency by including lease requirements that
promote resident involvement in the tenants association, community
service, self-sufficiency, and transition from public housing.
(12) (5 Points) The Revitalization Plan will affirmatively further
fair housing by actively ensuring that marketing, locations of housing,
and structural accessibility of housing will encourage natural
integration and discourage inappropriate concentrations of minorities
in undesirable neighborhoods.
(a) Developments constructed or rehabilitated with HOPE VI funds
must meet the accessibility requirements contained in various civil
rights statutes
[[Page 15583]]
and regulations, and may receive points under this factor if they meet
the visitability standards adopted by the Department that apply to
those units not otherwise covered by the accessibility requirements.
(b) PHAs are encouraged to promote greater opportunities for
housing choice by making at least 5% of for-sale units accessible to
individuals with mobility disabilities and 2% of for-sale units
accessible to individuals who have visual or hearing disabilities.
(c) Innovative designs are encouraged, particularly with respect to
for-sale house configurations, which simultaneously meet accessibility
requirements and achieve marketability for non-disabled households.
(d) Program activities should aid a broad diversity of eligible
residents, including those that have been traditionally underserved.
Efforts to increase community awareness in a culturally sensitive
manner through education and outreach will also be evaluated, if
applicable.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure
additional resources for the proposed activities which can be combined
with HUD's program resources to achieve program purposes. Resources
include in-kind contributions such as staff or supplies; grants, loans,
and other financing; or other types of contributions to the program
activities. This factor emphasizes the importance of a PHA not just
seeking endorsements and vendor relationships with others, but actively
enlisting other stakeholders who are vested in the revitalization
effort, including public and private non-profit and for-profit entities
with experience in the development and/or management of low- and
moderate-income housing, those that are skilled in the delivery of
services to residents of public housing, educational institutions,
foundations, banks, and other organizations. HUD will evaluate the
strength of commitment articulated in letters of support.
If a PHA is also a redevelopment agency or otherwise has citywide
responsibilities, HUD will consider the city's redevelopment or other
functional area to be a separate partner with which the housing
authority function is partnering, where appropriate.
In rating this factor, HUD will consider the extent to which:
(1) The PHA has initiated strong partnerships with entities that
will provide significant, firm funding and other commitments if HOPE VI
funds are awarded. Applicants must provide evidence of leveraging and
partnerships by including in the application letters of firm
commitments, memoranda of understanding, agreements to participate, or
letters of support if firm commitments cannot be secured. All such
documentation must include the organization's name, proposed level of
commitment, and proposed responsibilities as they relate to the
revitalization plan. The commitment must be signed by an official of
the organization legally authorized to make commitments on behalf of
the organization.
(2) The infusion of HOPE VI dollars will leverage additional
resources after grant award, including municipal funds, charitable
contributions, private debt and equity, and other partnerships which
may not have a dollar value but are critical to the successful
transformation of the development and the lives of its residents.
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 is
working towards addressing a need in a holistic and comprehensive
manner through linkages with other activities in the community.
In rating this factor, HUD will consider the extent to which the
applicant demonstrates that it has:
(1) Coordinated its 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. Any written agreements, memoranda of understanding in place, or
that will be in place after award should be described;
(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 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:
(i) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan;
(ii) Civil rights organizations;
(iii) Local Area Agency on Aging, if applicable;
(iv) Local agency serving persons with disabilities, if applicable;
(v) Local Weed and Seed task force, if the targeted development is
located in a designated Weed and Seed area; and
(vi) Other Federal, State or locally funded activities, including
those proposed or on-going in the community.
(vii) Local law enforcement agencies and the local United States
Attorney.
(C) Application Evaluation.
Awards under this HOPE VI Program section of the SuperNOFA will be
made through a selection process that will award grants to the most
meritorious applications.
(1) Revitalization Applications.
(a) HUD will preliminarily review, rate and rank each eligible
application on the basis of the evaluation factors set forth in Section
III(B) of this HOPE VI Program section of the SuperNOFA, above,
excluding Factor 3(8), which is specific to applications proposing
revitalization of elderly housing.
(b) A final review panel will assess each of the applications
advanced to final review and will assign the final scores. The final
review panel will review the scores of all applications:
(i) Whose preliminary score is above a base score established by
HUD. HUD intends to set the base scores so that applications requesting
a total of approximately $900 million are advanced to the final review
stage.
(ii) That proposed revitalization activities at sites for which
HOPE VI revitalization implementation applications were submitted to
HUD in the FY 1997 HOPE VI revitalization competition but were not
selected for funding.
(c) HUD will select for funding the most highly-rated eligible
applications up to available funding, except that HUD, in its
discretion, may choose to select a lower-rated approvable application
over a higher-rated application in order to increase the level of
national geographic diversity of applications selected under this HOPE
VI Program section of the SuperNOFA.
(2) Elderly Housing Grant Applications.
(a) HUD will preliminarily review, rate and rank each eligible
application on the basis of the evaluation factors set forth in Section
III(B), above, excluding Factor 3(9), which is specific to applications
proposing revitalization of family housing.
(b) A final review panel will assess each application and will
assign the final scores;
[[Page 15584]]
(c) HUD will select for funding the most highly-rated eligible
applications up to available funding.
(D) Notification of Funding Decisions.
(1) In accordance with the HUD Reform Act, HUD may not notify
applicants as to whether or not they have been selected to participate
until the announcement of the selection of all recipients for this HOPE
VI Program under this SuperNOFA. HUD will provide written notification
to all applicants.
(2) HUD's notification of award to a selected applicant will
constitute a preliminary approval by HUD subject to:
(a) The completion of a subsidy layering review pursuant to 24 CFR
941.10(b);
(b) The execution by HUD and the recipient of a Grant Agreement;
and
(c) A HUD environmental review. Selection for participation
(preliminary approval) does not constitute approval of the proposed
site. Each preliminarily-selected PHA must assist HUD in complying with
environmental review procedures, conducted by HUD in accordance with 24
CFR part 50. The PHA may not acquire, rehabilitate, convert, lease,
repair, or construct a property, or commit HUD or local funds to these
activities, until written approval is received from the appropriate HUD
Environmental Clearance Officer in its area, certifying that the
proposed activities have been approved and the PHA is released from all
environmental conditions. The results of the environmental review may
require that proposed activities be modified or the proposed site
rejected.
(E) Grant Agreement.
Because the HOPE VI Program does not have Federal regulations, upon
selection for funding, HUD and the recipient will execute a Grant
Agreement setting forth the amount of the grant and applicable rules,
terms, and conditions, including sanctions for violation of the
agreement. The Grant Agreement will set forth the precise schedules of
the HOPE VI Program, provide program requirements, describe
requirements for implementation of the revitalization plan, and provide
any special conditions on the Grantee, as applicable. Among other
things, the Grant Agreement will provide that the recipient agrees to:
(1) Carry out the program in accordance with the provisions of this
NOFA, applicable law, the approved application, and all other
applicable requirements, including requirements for mixed finance
development, and section 202 of OCRA;
(2) 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, including full cooperation with HUD's program
oversight contractor;
(3) Assemble a team to implement the HOPE VI Program that has a
strong management and development track record and has the capability
to commence and carry out a quality HOPE VI program. If the Grantee
fails to make this demonstration to the satisfaction of HUD and its
program oversight manager, HUD will direct corrective actions as a
condition of retaining the grant;
(4) Execute a construction contract within 18 months (or a period
specified in the Grant Agreement). Failure to obligate funds will
result in the enforcement of default remedies up to and including
withdrawal of funding; and
(5) Establish interim performance goals and complete the physical
component of the HOPE VI revitalization within 48 months of execution
of the grant agreement. The Secretary shall enforce this requirement
through default remedies up to and including withdrawal of funding that
the PHA has not obligated. HUD will take into consideration those
delays caused by factors beyond the control of the Grantee when
enforcing these schedules; and
(6) Execute an ACC Amendment for Mixed-Finance development.
(F) Failure to Proceed
In the event that an applicant selected to receive HOPE VI funding
does not proceed in a manner consistent with its application, HUD may
withdraw any unobligated balances of funding and make this funding
available, subject to applicable law, in HUD's discretion, to the next
highest ranked applicant that was not selected for funding in the most
recently conducted HOPE VI selection process or combined with funding
under an upcoming competitive selection process. Failure to proceed
with respect to obligated funds will be governed by the terms of the
Grant Agreement or ACC amendment, as applicable.
IV. Application Submission Requirements.
Each HOPE VI revitalization application must conform to the
requirements of the HOPE VI Revitalization Application Kit, both in
format and content. In addition to the forms, certifications and
assurances required by Section II of the General Section of this
SuperNOFA, each application must include the following, as directed by
the application kit:
(A) A description of existing conditions that describes the extent
of need for the program funds requested;
(B) Revitalization Plan which describes all revitalization
activities to be funded in the application and details how the proposed
work will be accomplished;
(C) For Revitalization applications, a description of plans for
resident Self-Sufficiency Programs, including plans for resident
consultation and documentation of resident involvement in the planning
process;
(D) For Elderly Housing grant applications, a description of plans
for resident services, including plans for resident consultation and
documentation of resident involvement in the planning process;
(E) A proposed Management Plan which describes the capacity of the
applicant and partners to carry out the plan, and proposed management
principles which will be implemented to support revitalization efforts;
(F) Documentation of program financing and resources;
(G) A description of any capital funds received by the PHA within
the past five years for improvement of the project, including but not
limited to Modernization funding under section 14 and MROP funding.
(H) A program schedule.
(I) A certification that at least one public meeting was held to
notify residents and community members of the proposed activities
described in the application.
V. Corrections to Deficient Applications
The General Section of this SuperNOFA provides the procedures for
corrections to deficient applications.
BILLING CODE 4210-32-P
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
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[GRAPHIC] [TIFF OMITTED] TN31MR98.022
billing code 4210-32-C
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Funding Availability for the Public Housing Drug Elimination
Program
Program Description: Approximately $288,498,934 is available in FY
1998 for the Public Housing Drug Elimination Program (PHDEP). The PHDEP
provides funds for public housing authorities and tribally designated
housing entities to develop and finance drug and drug-related crime
elimination efforts in their developments. Funds may be used for
enhancing security within the developments, making physical
improvements to improve security or developing and implementing
prevention, intervention and treatment programs to help curtail the use
of drugs in public and Indian housing. Approximately $44.9 million in
FY 1997 funds is available only for public and Indian housing
authorities that have not already received an award of FY 1997 PHDEP
funds.
Application Due Date: Completed applications (an original and two
copies) must be submitted no later than 6:00 pm local time on June 15,
1998 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
the application must be received by the application due date at the
local Field Office with delegated public or assisted housing
responsibilities attention: Director, Office of Public or Assisted
Housing, or, in the case of the Native American population, to the
local HUD Administrator, Area Office of Native American Programs
(AONAP), as appropriate.
For Application Kits, Further Information, and Technical Assistance
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, or, from the local HUD Field Office HUB
with delegated housing responsibilities over an applying housing
agency, or from the AONAPs with jurisdiction over the Tribally
Designated Housing Entity preparing an application or by calling HUD's
Drug Information and Strategy Clearinghouse (DISC) at 800-578-3472.
When requesting an application kit, please refer to the Public Housing
Drug Elimination Program (PHDEP). Please be sure to 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 the PHDEP under this SuperNOFA.
For Further Information and Technical Assistance. For further
information or technical assistance, please contact the local HUD Field
Office HUB with delegated housing responsibilities over an applying
housing agency, or from the AONAPs with jurisdiction over the Tribally
Designated Housing Entity preparing an application or by calling HUD's
Drug Information and Strategy Clearinghouse (DISC) at 800-578-3472.
Additional Information
I. Authority; Purpose; Amount Allocated; and Eligibility
(A) Authority
The 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.
(B) Purpose
HUD is making FY 1997 PHDEP funds available to public housing
agencies (PHAs) and former Indian Housing Authorities (IHAs) (PHAs and
IHAs are collectively referred to as HAs) that have not already
received an award of FY 1997 PHDEP funds, and FY 1998 PHDEP funds
available to PHAs and Tribally Designated Housing Entities (TDHEs) for
use in eliminating drug-related crime. In FY 1998, HUD is not
announcing a separate competition for the Youth Sports Program,
although youth sports-type activities are eligible under ``Programs to
Reduce/Eliminate Drug Activities.''
HUD strongly encourages housing agencies to work closely with law-
enforcement agencies and target the drug elimination resources to
improve safety and security in public and Indian housing communities.
These resources shall be made available and leveraged with other
resources focusing on violent crime and drug-related crime within
public housing authorities through programs such as the Operation Safe
Home Program and Operation Weed and Seed. Operation Weed and Seed,
conducted through the Department of Justice, is a comprehensive multi-
agency approach to combating violent crime, drug use, and gang activity
in high crime neighborhoods. Through Operation Weed and Seed, the
approach is to ``weed'' out crime from targeted neighborhoods and then
``seed'' the sites with a wide range of crime and drug prevention
programs.
HUD encourages grantees to establish collaborative relationships
with, and increase over and above existing levels, the efforts of local
municipal police departments and/or other law enforcement agencies,
local social and/or religious organizations, and other public and
private nonprofit organizations who provide community-wide services to
offer substance abuse prevention, intervention, treatment, aftercare,
education, assessment, and referral programs and services for residents
of public housing. The applicants shall include ``One Strike and You're
Out'' activities underway to ensure the broadest range of tools for
making and maintaining a safe residential community.
(C) Amount Allocated
(1) FY 1998 Funding. FY 1998 HUD Appropriations Act appropriated
$310,000,000 for the Public Housing Drug Elimination Program. Of the
total $310,000,000 appropriated, approximately $243,563,000 is being
made available for Public Drug Elimination grants through this
SuperNOFA.
(2) FY 1997 Funding. The Departments of Veterans Affairs and
Housing and Urban Development, and Independent Agencies Appropriations
Act, (Pub.L. 104-204, approved September 26, 1996, (the FY 1997 HUD
Appropriations Act) appropriated $290 million for the Public Housing
Drug Elimination Program to remain available until expended.
Approximately $250,649,052 was made available for competitive funding
in a NOFA published on May 23, 1997 (62 FR 28538). HUD made 533 awards
for a total of approximately $205,714,118 under that FY 1997 NOFA.
In this SuperNOFA, approximately $50 million of FY 1997 funds is
being made available to housing authorities that did not receive an
award under the May 23, 1997, PHDEP NOFA. Any housing authority that
has already received an FY 1997 PHDEP award is not eligible to apply
under this PHDEP notice for these FY 1997 funds. Housing authorities
applying for FY 1997 PHDEP funding shall complete a separate proposal
and budget and submit these documents in order to be considered for
funding.
(3) Maximum Grant Award Amounts. HUD is distributing grant funds
for
[[Page 15587]]
PHDEP under this SuperNOFA on a national competition basis. Maximum
grant award amounts are computed for the Public Housing Drug
Elimination Program on a sliding scale, using an overall maximum cap,
depending upon the number of housing authority units.
(a) PHAs: The unit count includes rental, Turnkey III Homeownership
and Section 23 leased housing bond-financed projects,
(b) IHAs and TDHEs: The unit count includes rental, Turnkey III and
Mutual Help 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.
Eligible units are those units which are under management, fully
developed, and occupied. However, applicants 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.
Applicants for Native American housing developments must certify that
the targeted units were covered by an Annual Contributions Contract
(ACC) on September 30, 1997. Eligible PHA projects must be covered by
an ACC during the period of the grant award.
(c) Minimum and Maximum FY 1998 grant awards.
(i) For housing authorities and TDHEs with 1-1,250 units: the
minimum grant award amount is $50,000 or a maximum grant award cap of
$300.00 per unit;
(ii) For housing authorities and TDHEs with 1,251-24,999 units; the
maximum grant award is a maximum grant award cap of $260.00 per unit;
(iii) For housing authorities and TDHEs with 24,000-49,999 units
the maximum grant award is a maximum grant cap of $230.00 per unit; and
(iv) For housing authorities and TDHEs with 50,000 or more units;
the maximum grant award is a maximum cap of $200.00 per unit up to, but
not to exceed, a maximum grant award of $30 million.
(d) Minimum and Maximum FY 1997 grant awards.
(i) For HAs with 1-499 units: the maximum grant award amount is
either $50,000 or a grant award cap of $500.00 per unit, whichever is
greater;
(ii) For HAs with 500-1,249 units: the maximum grant award is
either $250,000 or a maximum grant award cap of $300.00 per unit,
whichever is greater;
(iii) For HAs with 1,250-49,999 units: the maximum grant award is
either $375,000 or a maximum grant award cap of $250,000 per unt,
whichever is greater; and
(iv) For HAs with 50,000 or more units: the maximum grant award is
$200.00 per unit, not to exceed a maximum grant award of $12 million.
(D) Eligible Applicants.
Eligible entities qualified to receive grants include for FY 1998
funding public housing agencies and Tribally Designated Housing
Entities (TDHEs); and for FY 1997 funding, public housing agencies and
Indian housing authorities. IHAs applying for FY 1997 funding must have
been eligible to apply for funding as September 30, 1997 and continue
to own and/or manage the targeted developments. Resident Management
Corporations (RMCs) may continue to receive funding from housing
authority grantees as sub-grantees, to develop security programs and
substance abuse prevention programs involving site residents as they
have in the past.
(E) Eligible Activities
The following is a listing of eligible activities under this
program and guidance as to their parameters (the term TDHEs includes
those IHAs applying for FY 1997 funding:
(1) Physical Improvements to Enhance Security.
(a) Physical improvements that are specifically designed to enhance
security are permitted under this program. These improvements may
include (but are not limited to) the installation of barriers, speed
bumps, lighting systems, fences, surveillance equipment (e.g., Closed
Circuit Television (CCTV), software, fax, cameras, monitors, components
and supporting equipment) bolts, locks; and the landscaping or
reconfiguration of common areas so as to discourage drug-related crime
in the housing authorities and development(s) proposed for funding.
(b) An activity cost that is funded under any other HUD program,
such as the modernization program at 24 CFR part 968, shall not also be
funded by this program. Housing authorities are encouraged to fund
physical security improvements under their approved modernization
programs whenever possible since the PHDEP program is designed
essentially to fund ``soft'' costs rather than ``hard'' costs. The
applicant must demonstrate program compliance, accountability,
financial and audit controls of PHDEP funds and prevent duplication of
funding any activity. Housing authorities shall not co-mingle funds of
HUD multiple programs such as: CIAP, CGP, OTAR, ED/SS, TOP, IHBG, HOPE
projects, Family Investment, Elderly Service Coordinator, and Operating
Subsidy.
(c) Funding is not permitted for physical improvements that involve
the demolition of any units in a development.
(d) Funding is not permitted for any physical improvements that
would result in the displacement of persons.
(e) Funding is not permitted for the acquisition of real property.
(f) Funding is permitted for purchase or lease of house trailers
used for eligible community policing, educational, employment, and
youth activities.
(g) All physical improvements must also be accessible to persons
with disabilities. For example, some types of locks, buzzer systems,
etc. are not accessible to persons with limited strength or mobility or
to persons who have hearing impairments, and should not be utilized.
Accessible alternatives should be utilized. All physical improvements
must meet the accessibility requirements of 24 CFR part 8.
(2) Programs to Reduce/Eliminate the Use of Drugs (Prevention,
Intervention, Treatment, Short/Long Range Structured Aftercare and
Individual Support Systems). Programs that reduce/eliminate drug-
related crime ``in and around'' the premises of the housing authority/
development(s), including substance abuse prevention, intervention, and
referral programs, and programs of local social and/or religious and
other organizations that provide treatment services [contractual or
otherwise] for dependency/remission, and structured aftercare/support
system programs, are permitted under this program.
The applicant must establish a confidentiality policy regarding
medical and disability-related information. For purposes of this
section, the goals of this program are best served by focusing
resources directly upon housing authority residents and families.
Successful strategies (best practices) have incorporated substance
abuse prevention, intervention and treatment (dependency/remission and
short and long term aftercare) activities into a ``continuum of care''
approach that assists persons that are using or are at-risk of using
drugs and/or committing drug-related crime by providing alternative
activities, such as education, training and employment development
opportunities.
The applicant's goal must be to reduce/eliminate drug-related crime
through a program designed to provide education, training and
employment
[[Page 15588]]
opportunities for residents. Such programs create a prime opportunity
for housing authorities to leverage resources and bring additional
Federal, State, local and Tribal resources into the housing authority
community. While housing authorities provide space and other
infrastructure, other public or private agencies can provide staff and
other resources with limited cost or no cost. Applicants are encouraged
to use the PHDEP resources in this fashion.
A community-based approach requires a culturally appropriate
strategy. Curricula, activities, and staff should address the cultural
issues of the local community, which requires familiarity and facility
with the language and cultural norms of the community. As applicable,
this strategy should discuss cultural competencies associated with
Hispanic, African-American, Asian, Native American or other racial or
ethnic communities. Applicants are encouraged to develop a substance
abuse/sobriety (remission)/treatment (dependency) strategy to
facilitate substance abuse prevention, intervention, treatment, and
structured aftercare efforts, that include outreach to community
resources, youth activities, and that facilitate bringing these
resources onto the premises, or providing resident referrals to
treatment programs or transportation to out-patient treatment programs
away from the premises.
Funding Is Permitted for reasonable, necessary and justified
purchasing or leasing (whichever can be documented as the most cost
effective) of vehicles for grant administration, resident youth and
adult education, and training and employment opportunity activities
directly related to reducing/eliminating drug-related crime. Based upon
the current Diagnostic and Statistical Manual (DSM) of Mental Disorders
of the American Psychiatric Association dated May 1994, as it applies
to substance abuse, dependency and structured aftercare, related
activities and programs are eligible for funding under this program.
For additional information regarding the DSM Manual 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.
Funding Is Permitted for reasonable, necessary and justified
program costs, such as meals, beverages and transportation, incurred
only for training, education and employment activities, as set forth in
OMB Circular A-87, directly related to reducing/eliminating drug-
related crime.
(a) Prevention. Prevention programs that will be considered for
funding under this notice should provide a comprehensive prevention
approach for the housing authority resident(s) that addresses the
individual resident and his or her relationship to family, peers, and
the community and that reduces/eliminates drug-related crime.
Prevention programs should include activities designed to identify and
change the factors present in housing authorities that lead to drug-
related crime, and thereby lower the risk of drug usage. Many
components of a comprehensive approach, such as refusal and restraint
skills training programs or drug, substance abuse/dependency, and
family counseling, may already be available in the community of the
applicant's housing developments.
(i) Educational Opportunities. Providing young people with the
working knowledge and skills they need to reject illegal drugs has been
identified by the Office of National Drug Control Policy as one of the
top five goals and objectives to address in its 10-Year Strategy
Commitment. The causes and effects of illegal drug/substance abuse must
be discussed in a culturally appropriate and structured setting.
Grantees may contract (in accordance with 24 CFR 85.36) with
professionals to provide such knowledge and skills with training
programs or workshops. The professionals contracted to provide these
services shall be required to base their services upon the needs
assessment and program plan of the grantee. These educational
opportunities may be a part of resident meetings, youth activities, or
other gatherings of public and Indian housing residents.
(ii) Family and Other Support Services. For purposes of this
section, the term ``supportive services'' means services to provide
housing authority families with access to prevention, educational and
employment opportunities, such as: child care; employment training;
computer skills training; remedial education; substance abuse
counseling; assistance in the attainment of certification of high
school equivalency; and other services to reduce drug-related crime. In
addition, substance abuse and other 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.
(iii) Adult and Youth Services. Prevention programs must
demonstrate that they have included groups composed of young people as
a part of their prevention programs. These groups should be coordinated
by adults with the active participation of youth to organize youth
leadership, sports, recreational, cultural and other activities
involving housing authority youth. The dissemination of information
designed to reduce drug-related crime, such as prevention programs,
employment opportunities; employment training; literacy training;
computer skills training; remedial education; substance abuse and
dependency/remission counseling; assistance in the attainment of
certification of high school equivalency; and other appropriate
services and the development of peer leadership skills and other
prevention activities must be a component of youth services.
(iv) Economic and Educational Opportunities for Resident Adult and
Youth Activities. Prevention programs must demonstrate a capacity to
provide housing authority residents the opportunities for interaction
with, or referral to, established higher education or vocational
institutions with the goal of developing or building on the residents'
skills to pursue educational, vocational and economic goals. Programs
such as computer learning centers for both adults and youth, employment
service centers coordinated with Federal, Tribal, State and local
employment offices, and micro-business centers are eligible under this
program.
The application should demonstrate that the proposed activities
will provide housing authority residents the opportunity to interact
with private sector businesses in their immediate and surrounding
communities for the same desired goals. Economic and educational
opportunities for residents and youth activities should be discussed 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.
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 $25,000. Educational scholarship FY
1997 PHDEP funds must be obligated and expended during the term of the
grant. The applicant must demonstrate in its plan and timetable the
scholarship strategy; the financial and audit controls that will be
used; and projected outcomes. Student financial assistance
[[Page 15589]]
is permitted for individual public and Indian housing scholarship
activities. These activities must be reasonable, necessary and
justified.
(b) Intervention. The aim of intervention is to provide housing
authority residents substance abuse/dependency remission services, and
assist them in modifying their behavior and maintaining remission, and
in obtaining early substance abuse, treatment and structured aftercare,
if necessary.
(c) Substance Abuse/Dependency Treatment.
(i) Treatment funded under this program should be ``in and around''
the premises of the housing authority/development(s) proposed for
funding. HUD has defined the term ``in and around'' to mean within, or
adjacent to, the physical boundaries of a public or Indian housing
development. The intent of this definition is to make certain that
program funds and program activities are targeted to benefit, as
directly as possible, public and Indian housing developments, the
intended beneficiaries of PHDEP. The goals of this program are best
served by focusing its resources directly upon the residents of housing
authorities and development(s). The applicant must establish a
confidentiality policy regarding medical and disability-related
information.
(ii) Funds awarded under this program shall be targeted towards the
development and implementation of sobriety maintenance, substance-free
maintenance support groups, substance abuse counseling, referral
treatment services and short or long range structured aftercare, or the
improvement of, or expansion of, such program services for housing
authority residents.
(iii) Each proposed drug program must address, but is not limited
to, the following goals:
(1) Increase resident accessibility to treatment services;
(2) Decrease drug-related crime ``in and around'' the housing
authority/development(s) by reducing and/or eliminating drug use among
residents; and
(3) Provide 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, or other supportive
services such as domestic or youth violence counseling.
(iv) Independent approaches that have proven effective with similar
populations will be considered for funding. Applicants must consider in
the overall strategy the following criteria:
(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, applicants 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 the
substance dependency treatment proposal.
(vi) Applicants 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) The Single State Agency or authority with substance abuse and
dependency programs coordination responsibilities must certify that the
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 (contractual or otherwise)
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. The applicant must demonstrate how
individuals that complete drug treatment will be provided employment
training, education and employment opportunities related to ``welfare
to work,'' if applicable.
(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.
(xi) All activities described in this section I.(E)(8) of this
PHDEP notice to reduce/eliminate the use of drugs and reduce/eliminate
drug-related crime 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 related to education, training and employment of housing
authority residents receiving Federal, Tribal, State or local
assistance, in public and Indian housing authorities/development(s).
(xii) Funding is permitted to contractually hire organizations and/
or consultant(s) to conduct independent assessments and evaluations of
the effectiveness of the PHDEP program.
(3) Resident Management Corporations (RMCs), Resident Councils
(RCs), and Resident Organizations (ROs). Funding under this program is
permitted for housing authorities' RMCs and incorporated RCs and ROs to
develop security and substance abuse prevention programs involving site
residents. Such programs may include (but are not limited to) voluntary
tenant patrol activities, substance abuse education, intervention, and
referral programs, youth programs, and outreach efforts. For the
purposes of this Section I(E)(9) of this PHDEP section of the
SuperNOFA. The elimination of drug-related crime within housing
authorities/developments requires the active involvement and commitment
of public housing residents and their organizations.
To enhance the ability of housing authorities to combat drug-
related crime within their developments, Resident Councils (RCs),
Resident Management Corporations (RMCs), and Resident Organizations
(ROs) will be permitted to undertake program management functions
specified in this part, notwithstanding the otherwise applicable
requirements of 24 CFR parts 1000 and 964. In order to implement the
approved activity, the housing authority shall be the grantee and enter
into a sub-contract with the RMC/RC/RO setting forth the amount of
funds, applicable terms, conditions, financial controls, payment
mechanism schedule, performance and financial report requirements,
special conditions, including sanctions for violation of the agreement,
and monitoring.
Expenditures for activities under this section will not be incurred
by the housing authority (grantee) and/or funds will not be released by
the local HUD Field Office until the grantee has met all of the above
requirements. Activities described in this PHDEP section of the
SuperNOFA should demonstrate efforts to coordinate with Federal,
Tribal, State and local employment training and development services,
``welfare to
[[Page 15590]]
work'' efforts, or other new but related ``welfare reform'' efforts
related to education, employment training and employment of housing
authority residents receiving Federal, Tribal, State or local
assistance.
(4) Employment of HA Security Personnel. Employment of HA security
personnel is permitted under this section. Employment of security
personnel is divided into two categories: security personnel services,
and housing authority police departments. The following requirements
apply to all employment of security personnel activities funded under
this PHDEP section of the SuperNOFA:
(a) Compliance. Security guard personnel and public housing
authority police departments funded under this PHDEP section of the
SuperNOFA must meet, and demonstrate compliance with, all relevant
Federal, State, Tribal or local government insurance, licensing,
certification, training, bonding, or other similar law enforcement
requirements.
(b) Law Enforcement Service Agreement. The applicant and the local
law enforcement agency, and if relevant, the contract provider of
security personnel services, are required to enter into a law
enforcement service agreement, in addition to the housing authority's
cooperation agreement, that describes the following:
(i) The activities to be performed by security guard personnel or
the public housing authority police department; the scope of authority,
written policies, procedures, and practices that will govern security
personnel or public housing authority police department performance
(i.e., a policy manual and how security guard personnel or the public
housing authority police department shall coordinate activities with
the local law enforcement agency;
(ii) The types of activities that the approved security guard
personnel or the public housing authority police department are
expressly prohibited from undertaking.
(c) Policy Manual. Security guard personnel services and public
housing authority police departments funded under this PHDEP section of
the SuperNOFA shall 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 describe in detail how jobs
are to be performed. The policy manual must exist before execution of
the grant agreement. The housing authority shall ensure all security
guard personnel and housing authority police officers are trained, at a
minimum, in the following areas that must be covered in the policy
manual: use of force, resident contacts, enforcement of HA rules,
response criteria to calls, pursuits, arrest procedures, reporting of
crimes and workload, feedback procedures to victims, citizens'
complaint procedures, internal affairs investigations, towing of
vehicles, authorized weapons and other equipment, radio procedures
internally and with local police, training requirements, patrol
procedures, scheduling of meetings with residents, reports to be
completed, record keeping and position descriptions on all personnel,
post assignments, monitoring, and self-evaluation program requirements.
(d) Data Management. A daily activity and incident complaint form
approved by the housing authority must be used by security personnel
and officers funded under this PHDEP section of the SuperNOFA for the
collection and analysis of criminal incidents and responses to service
calls. Security guard personnel and housing authority police
departments funded under this PHDEP section of the SuperNOFA 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 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. 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. Housing authorities are permitted and
encouraged to demonstrate in plans the employment of qualified
resident(s) as security guard personnel, and/or to contract with
security guard personnel firms that demonstrate in a proposed contract
a program to employ qualified residents as security guard personnel. An
applicant's program of eliminating drug-related crime should promote
``welfare to work'' in housing authorities and development(s).
(6) Employment of Personnel and Equipment for HUD Authorized
Housing Authority Police Departments. Funding for equipment and
employment of housing authority police department personnel is
permitted for housing authorities that already have their own public
housing authority police departments. The below-listed twelve (12)
housing authorities have been identified by HUD as having eligible
public housing police departments/agencies under the FY 1998 PHDEP:
Baltimore Housing Authority and Community Development, Baltimore, MD
Boston Housing Authority, Boston, MA
Buffalo Housing Authority, Buffalo, NY
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) On September 22, 1995, HUD issued Notice PIH 95-58 (Guidelines
for Creating, Implementing and Managing Public Housing Authority Police
Departments in Public Housing Authorities). This notice identifies the
prerequisites for creating public housing police departments and
provides guidance regarding technical assistance to housing authorities
to assist in making decisions regarding public housing security,
analysis of security needs, and performance measures and outcomes.
(b) Housing authorities that have established their own public
housing authority police departments, but are not included on this
list, shall file a written request to be recognized by HUD as a public
housing authority police department by contacting the Office of the
Deputy Assistant Secretary for Assisted Housing Delivery, Public and
Indian Housing, Department of Housing and Urban Development, Room 4126,
451 Seventh Street, SW, Washington, D.C. 20410. This request must be
submitted and approved by HUD prior to the submission of the FY 1998
PHDEP application.
[[Page 15591]]
(c) An applicant seeking funding for this activity 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 a part of
the overall city and 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.
(d) Applicants for funding of housing authority public housing
authority police department officers must have car-to-car (or other
vehicles) and portable-to-portable radio communications links between
public housing authority police officers and local municipal 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. Applicants
that do not have such links must submit a plan and timetable for the
implementation of such communications links, which is an activity
eligible for funding. A housing authority funded under the FY 1994,
1995, 1996 and/or 1997 PHDEP for public housing police departments
shall demonstrate in its plan what progress has been made in
implementing its communications links. HUD will monitor results of the
housing authority's plan and timetable.
(e) Public housing authority police departments funded under this
program that are not employing a community policing concept must submit
a plan and timetable for the implementation of community policing. A
housing authority funded under the FY 1994, 1995, 1996 or 1997 PHDEP
for public housing police departments shall demonstrate in its plan
what progress has been made in implementing its community policing
program. HUD will monitor results of the housing authority's plan and
timetable.
(i) Community policing has a variety of definitions; however, for
the purposes of this program, it is defined as follows: Community
policing is a method of providing law enforcement services that
stresses a 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 the fear of crime.
(ii) This method of policing involves a philosophy of proactive
measures, such as foot patrols, bicycle patrols, motor scooters
patrols, KOBAN activities (community police officers who operate
through community-based facilities in housing authorities (e.g.,
community center, police mini-station) providing human resource
activities with inner-city youth who demonstrate high risk behaviors
which can lead to drug-related crime), and citizen contacts. For
additional information regarding KOBAN community policing contact
Marvin Klepper, (202) 708-1197, extension 4229. This concept empowers
police officers at the beat and zone level and residents in
neighborhoods in an effort to: reduce crime and fear of crime; assure
the maintenance of order; provide referrals of residents, victims, and
the homeless to social services and government agencies; assure
feedback of police actions to victims of crime; and promote a law
enforcement value system on the needs and rights of residents.
(f) Housing authority police departments 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 public housing police department accreditation
activities is permitted. Housing authorities receiving grants for
funding (public housing police departments) are required to hire a
public housing police department accreditation specialist to manage the
accreditation program. Housing authority police departments must submit
a plan and timetable in order to be funded for this activity. Any
public housing police department funded under the FY 1994, 1995, 1996
or 1997 PHDEP shall demonstrate in its plan what progress has been made
in implementing its accreditation program and the projected date of
accreditation. HUD will monitor results of the housing authority's plan
and timetable. Future funding will be based on an evaluation its
accreditation status and accomplishments to maintain its accreditation
status.
(g) Housing authorities that have been identified by HUD as having
authorized public housing police departments are permitted to use PHDEP
funds to purchase or lease any law enforcement clothing or equipment,
such as, vehicles, uniforms, ammunition, firearms/weapons, police
vehicles; including cars, vans, buses, and protective vests, or any
other equipment that supports their crime prevention and security
mission. Housing authorities not identified by HUD as having an
authorized public housing police department are not permitted to use
PHDEP funds to directly 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 (supplemental) security
and protective services are permitted under this program, but such
services must be over and above the local police department's current
level of baseline services. Housing authorities and TDHEs are required
to identify the level of local law enforcement services that they are
required to receive pursuant to their local cooperation agreements, as
well as the current level of services being received. For purposes of
PHDEP section of the SuperNOFA, local police department baseline
services are defined as ordinary and routine services, including
patrols, police officer responses to 911 communications and other calls
for service, and investigative follow-up of criminal activity, provided
to housing authority residents as a part of the overall deployment of
police resources by the local jurisdiction in which the housing
authority is located.
(8) Employment of Investigators. Employment of and equipment for
one or more individuals is permitted under this program to investigate
drug-related crime ``in and around'' the real property comprising any
housing authority's development(s) and provide evidence relating to any
such crime in any administrative or judicial proceedings.
(a) Housing authorities that employ investigators funded by this
program must meet and demonstrate compliance with all relevant Federal,
Tribal, State or local government insurance, licensing, certification,
training, bonding, or other similar law enforcement requirements.
(b) The housing authority and TDHE (grantee), and the provider of
the investigative services are required to enter into and execute a
written agreement that describes the following:
(i) The nature of the activities to be performed by the housing
authority investigators, their scope of authority, reports to be
completed, established policies, procedures, and practices that will
govern their performance (i.e., a Policy Manual and how housing
authority investigators will coordinate their activities with local,
State, Tribal,
[[Page 15592]]
and Federal law enforcement agencies); and
(ii) The types of activities that the housing authority
investigators are expressly prohibited from undertaking.
(c) 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.
(d) Housing authority and TDHE investigator(s) shall report on
drug-related crime and other part I and part II crimes in the housing
authority and developments. Housing authorities shall 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 the collection, analysis and
reporting of activities by housing authority investigators funded under
this section. Management Information Systems (MIS) (Computers,
software, hardware, and associated equipment) and management personnel
are encouraged and are eligible program expenses in support of a
housing authority's crime and workload data collection activity and its
crime prevention and security mission.
(e) Funding is permitted for housing authority investigator(s) to
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, to support the activities of the investigators.
(f) Expenditures for activities under this section will not be
incurred by the housing authority (grantee) and funds will not be
released by the local HUD Field Office until the grantee has met all of
the above requirements.
(9) Voluntary Tenant Patrols. Active voluntary tenant patrol
activities, to include purchase of uniforms, equipment and related
training, are permitted under this section. For the purposes of this
section, 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.
(a) The provision of training and equipment (including uniforms)
for use by voluntary tenant patrols acting in cooperation with
officials of local law enforcement agencies is permitted under this
program. Members must be volunteers and must be residents of the
housing authority's development(s). Voluntary tenant patrols
established under this program are expected to patrol in the housing
authority's 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.
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 an eligible program expense.
(b) The housing authority (grantee) and cooperating local law
enforcement agency, and the members of the voluntary tenant patrol are
required, prior to expending any grant funds, to enter into and execute
a written housing authority/local municipal police department agreement
that describes the following:
(i) The nature of the activities to be performed by the voluntary
tenant patrol, the patrol's scope of authority, assignment, the
established 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 types of activities that a voluntary tenant patrol is
expressly prohibited from undertaking, including, but not limited to,
the carrying or use of firearms or other weapons, nightstick, clubs,
handcuffs, or mace in the course of their duties under this program;
(iii) The initial and follow-up voluntary tenant patrol training
the members receive from the local law enforcement agency (training by
the local law enforcement agency is required before putting the
voluntary tenant patrol into effect); and
(iv) Voluntary tenant patrol members must be advised that they may
be subject to individual or collective liability for any actions
undertaken outside the scope of their authority and that such acts are
not covered under a housing authority's liability insurance.
(c) Uniforms, communication and related equipment eligible for
funding under this program shall be reasonable, necessary, justified
and related to the operation of the voluntary tenant patrol and must be
otherwise permissible under local, State, Tribal, or Federal law.
(d) Under this program, bicycles, motor scooters, all season
uniforms and associated equipment to be used, exclusively, by the
members of the housing authority's voluntary tenant patrol are eligible
items. Voluntary tenant patrol uniforms and equipment must be
identified with specific housing authority/development(s)
identification and markings.
(e) PHDEP grant funds shall not be used for any type of financial
compensation, such as any 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.
(F) 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 the grant agreement
(Form HUD-1044), including, but not limited to, consultant fees related
to the development of an application or the actual writing of the
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.
(4) Direct purchase or lease of any law or military enforcement
clothing or equipment, such as vehicles, including cars, vans, buses,
uniforms, ammunition, firearms/weapons, protective vests, and any other
supportive equipment. Exceptions are public housing police departments,
and investigator activities listed in this NOFA.
(5) Wages or salaries for voluntary tenant patrol participants.
Housing authorities and TDHEs are permitted to fund housing authority/
resident coordinator(s) to be hired for this activity. Staffing must be
reasonable, necessary and justified. Excessive staffing is not
permitted.
(6) Construction of any facility space in a building or unit,
although funding is permitted for the costs of retrofitting/modifying
existing building space owned by the housing authorities and TDHEs for
eligible activities/programs such as: community policing mini-station
operations, adult/youth education, and employment training facilities.
The goal of this funding is to reduce/eliminate drug-related crime and
form partnerships with Federal, Tribal, State and local government
resources.
[[Page 15593]]
Program costs are permitted if shared among other HUD programs. The
applicant must demonstrate the use of program compliance,
accountability, financial and audit controls of PHDEP funds and
controls to prevent duplicate funding of any activity. Housing
authorities shall not co-mingle funds of multiple programs such as
CIAP, CGP, OTAR, TOP, EDSS, IHBG, Family Investment Center, Elderly
Service Coordinators, and Operating Subsidy. House trailers of any type
that are not designated as a building are eligible items for purchase
or lease for specific community policing, educational, employment, and
youth activities.
(7) Organized fund raising, advertising, financial campaigns,
endowment drives, solicitation of gifts and bequests, rallies, marches,
community celebrations and similar expenses.
(8) Costs of entertainment, amusements, or social activities and
for the expenses of items such as meals, beverages, lodgings, rentals,
transportation, and gratuities related to these ineligible activities.
However, under Section I.(E)(8) of this PHDEP notice, funding is
permitted for reasonable, necessary and justified program costs, as
defined in OMB Circular A-87, such as meals, beverages and
transportation, incurred only for prevention programs, employment
training, education and youth activities directly related to reducing/
eliminating drug-related crime.
(9) Costs (such as court costs and attorneys fees) related to
screening or evicting residents for drug-related crime. However,
housing authority and TDHE investigators funded under this program may
participate in judicial and administrative proceedings as provided in
and listed under section I.(E)(5) (Employment of Investigator(s)), of
this NOFA.
(10) Although participation in activities with Federal drug
interdiction or drug enforcement agencies is encouraged, the transfer
of PHDEP grant funds to any Federal agency.
(11) Establishment of councils, resident associations, resident
organizations, and resident corporations since HUD funds these
activities under a separate NOFA.
(12) Indirect costs as defined in OMB Circular A-87 are not
permitted under this program (only direct costs are permitted).
(13) Supplant existing positions/activities. For purposes of the
PHDEP, supplanting is defined as ``taking the place of or to
supersede''.
(14) The PHDEP is targeted by statute at controlled substances as
defined at section 102 of the Controlled Substances Act (21 U.S.C.
802). Since alcohol is a legal substance, alcohol-exclusive activities
and programs are not eligible for funding under this NOFA, although
activities and programs may address situations of multiple abuse
involving controlled substances and alcohol.
Eligible Activities for the Youth Sports Program. (1) Any qualified
entity that receives a grant may use the funds to assist in carrying
out a youth sports program in the following manner:
(2) Provision of public services, including salaries and expenses
for staff or youth sports programs and cultural activities, educational
programs relating to drug abuse, and sports and recreation equipment.
(a) Non-profit programs that have partnered with housing
authorities that provide scheduled organized sports competitions,
cultural, educational, recreational, or other activities designed to
involve public housing youth as alternatives to drug related criminal
activity are eligible activities. Examples include but are not limited
to professional sports and/or national prevention organizations for
youth, nationally and locally recognized youth programs such as Boys
and Girls Clubs, YMCAs, YWCAs, Scouts, National Association of Midnight
Basketball Leagues, national or local sports figures, etc.
(b) The purchase of recreational equipment to be used by program
participants is permitted under this program.
(c) Cultural and recreational activities, such as ethnic heritage
classes, art, dance, drama and music appreciation and instruction
programs are eligible Youth Sports Program activities.
(d) Youth leadership skills training for program participants is
permitted under this program. These activities must be designed to
involve youth in peer leadership roles in the implementation of program
activities, for example, as team or activity captains, counselors to
younger program participants, assistant coaches, and equipment or
supply managers. Grantees may contract with youth trainers to provide
services which may include training in peer pressure reversal,
resistance or refusal skills, life skills, goal planning, parenting
skills, and other relevant topics.
(e) Transportation costs directly related to youth sports
activities (for example, leasing a vehicle to transport a youth sports
team to a game) are eligible program expenses and liability insurance
costs directly related to youth sports activities are eligible program
expenses.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following
requirements:
(A) Threshold Requirements
Housing authorities applying for PHDEP funds are required to submit
the following threshold information:
(1) Applicants must submit a program plan/evaluation specifically
demonstrating how the activities under this program will be evaluated.
This is an eligible expense.
(2) A description of how PHDEP resources will be used to establish
collaborative relationships with, and increase over and above existing
levels, the efforts of local municipal police departments and/or other
law enforcement agencies, local social and/or religious organizations,
and other public and private nonprofit organizations who provide
community-wide services to offer substance abuse prevention,
intervention, treatment, aftercare, education, assessment, and referral
programs and services.
(3) A discussion, in their comprehensive anti-crime strategies, of
how the proposed PHDEP drug and crime prevention activities will be
coordinated with larger Empowerment and Enterprise Zone strategies and
Welfare Reform efforts, especially in the areas of training and
employment of PHA residents. The PHDEP application may include specific
opportunities for resident employment and training with such activities
as contracting or hiring of residents as security guard personnel,
housing authority police officers, and for referrals to employment and
training opportunities. The applicant must demonstrate how the
employment and training qualifies as an eligible activity. PHDEP
applicants should coordinate with Federal, Tribal, State and local
agencies to increase employment and training opportunities for low-
income residents, and thereby decrease drug-related crime. Many
communities are already developing and providing such services, and
housing authorities are strongly encouraged to provide community
facility space to allow the provision of these services for residents
living ``in and around'' housing authorities.
(4) A description of how the applicant plans to increase the use of
housing authority community facilities, and bring back a community
focus to housing authority properties. Expenses related to community
policing; police mini-stations; and resident training,
[[Page 15594]]
substance abuse prevention, intervention, treatment, structured
aftercare, and other human resources programs that comply with the
requirements of this program are eligible program expenses. HUD
encourages applicants to use housing authority community facilities in
all eligible PHDEP activities. Community policing, resident training,
substance abuse prevention, intervention and treatment (dependency,
structured aftercare, and support systems) are all activities most
effectively implemented in housing authority community facilities.
While all PHDEP activities must be carried out ``in and around''
housing authorities, often the use of the community facilities is taken
for granted, and not considered when planning effective implementation
of PHDEP activities. HUD encourages applicants to consider current and
future use of their community facilities for eligible activities, and
to incorporate a strategy regarding facilities for on-site service
delivery.
(5) As applicable, incorporate ``One Strike and You're Out''
elements in applications to ensure PHAs have available the broadest
range of tools for making and maintaining a safe residential community.
``One Strike and You're Out'' activities in applications may be
eligible program expenses but to qualify as eligible activities, they
must be included in the plan to address the crime problem in public and
Indian housing developments required by this PHDEP section of the
SuperNOFA. Factors related to the One Strike initiative, such as
screening applicants and lease enforcement, are addressed in this PHDEP
section of the SuperNOFA. As a part of the Public Housing Management
Assessment Program (PHMAP), PHA performance will be measured, in part,
by PHMAP indicator #8, ``Security'', which was included in the revised
PHMAP rule published on December 30, 1996, (61 FR 68894). Any
successful, comprehensive anti-crime strategy in public housing only
(PHMAP does not apply to Indian housing) should address the elements of
the PHMAP security indicator: tracking and reporting crime-related
problems, screening applicants, enforcing lease requirements, and
stating and achieving anti-crime strategies/goals in appropriate HUD
grant programs.
(B) 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.
III. Application Selection Process.
(A) Rating and Ranking
Applications will be evaluated competitively and ranked against all
other applicants that have applied for Drug Elimination grants. HUD
will review each application to determine that it meets the
requirements of this SuperNOFA and to assign points in accordance with
the rating factors.
HUD will select and fund the highest ranking applications based on
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 which to award funds.
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 both cannot 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. Each application submitted will be
evaluated on the basis of the selection criteria set forth below.
(B) Factors for Award to Evaluate 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
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 (20 Points).
This factor addresses the extent to which the applicant has proper
organizational resources necessary to successfully implement the
proposed activities in a timely manner. The rating of the ``applicant''
or the ``applicants organization and staff'' for technical merit or
threshold compliance, unless otherwise specified, will include any
subcontractors, consultants, sub-recipients, and members of consortia
which are firmly committed to the project. In rating this factor, HUD
will consider the following:
(1) The knowledge and experience of the staff and administrative
capability to manage grants, including administrative support
functions, procurement, lines of authority, and fiscal management
capacity.
(a) For PHAs (and TDHEs that had previously applied as IHAs), HUD
will consider such measurement tools as PHMAP, uniform crime index,
physical inspections, agency monitoring of records, Line of Credit
Control System Reports (LOCCS), audits and such other relevant
information available to HUD on the capacity of the owner or manager to
undertake the grant.
(b) For owners of multifamily housing, HUD will consider the most
recent Management Review (including Rural Development Management
Review), HQS review, State Agency review and such other relevant
information available to HUD on the capacity of the owner or manager to
undertake the grant.
(c) A description of established performance goals to define the
results expected to be achieved by all major grant activities proposed
in the grant application, and a description of the goals expressed in
an objective, quantifiable, and measurable form. The goals must be
outcome or result-oriented and not out-put related. Outcomes include
accomplishments, results, impact and the ultimate effects of the
program on the drug or crime problem in the target/project area.
(2) The applicant's performance in administering Drug Elimination
funding in the previous 5 years.
(a) For PHAs the applicant's past experience will be evaluated in
terms of their 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 the applicant has
formed a collaboration with Tribal, State and local law enforcement
agencies and courts to gain access to criminal conviction records of
applicants to determine their suitability for residence in public
housing. Such data will be measured and evaluated based on the Public
Housing Management Assessment Program at 24 CFR part 901.
(b) The applicant must identify their participation in HUD grant
programs within the preceding three years and discuss the degree of the
applicant's success in implementing and managing 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
[[Page 15595]]
by HUD, the Office of Inspector General, the General Accounting Office
or independent public accountants.
(3) Submission of evidence that applicants have initiated other
efforts to reduce drug-related crime by working with Operation Safe
Home, SNAP, Weed and Seed, or tenant and/or law enforcement groups.
(4) The applicant's performance in administering other Federal,
State or local grant programs.
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor addresses the extent to which there is a need for
funding the 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 project proposed for funding). In
responding to this factor, applicants will be evaluated on the extent
to which a critical level of need for the proposed activities is
explained and an indication of the urgency of meeting the need in the
target area. Applicants must include 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) (15 points) ``Objective Crime Data'' relevant to the target
area. For objective crime data, an applicant can be awarded up to 15
points. 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 two-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 developments
and surrounding area;
(b) The number of lease terminations or evictions for drug-related
crime at the 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 authorities 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 on 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) (10 Points) Other Crime Data: Other supporting data on the
extent of drug-related crime. For this section, an applicant can
receive up to 10 points. To the extent that objective data as described
above may not be available, or to complement that data, the 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. However, if other relevant information is to be used in
place of objective data, the application must indicate the reasons why
objective data could not be obtained and what efforts were made to
obtain it and what efforts will be made 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 the 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 the targeted developments, to include
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/remission) or
counseling professionals, or other social service providers).
(d) The school dropout rate and level of absenteeism for youth that
the applicant can relate to drug-related crime. If crime or other
statistics are not available at the development or precinct level the
applicant must use other verifiable, reliable and objective data.
(e) To the extent that the applicant 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 the response.
The Department will review more favorably those applicants who used
these documents to identify need, when applicable.
Rating Factor 3: Soundness of Approach--(Quality of the Plan) (35
Points)
This factor addresses the quality and effectiveness of the
applicant's proposed work plan. In rating this factor, HUD will
consider the impact of the activity; if there are tangible benefits
that can be attained by the community and by the target population.
An 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. 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, pattern over a period of time,
type of crime, and plans to improve data collection and reporting.
In evaluating this factor, HUD will consider the following:
(1) (15 Points) The quality of the applicant's plan to address the
drug-related crime problem, and the problems associated with drug-
related crime in the developments proposed for funding, the resources
allocated, and how well the proposed activities fit with the plan.
(2) (10 Points for (2) and (3)) The anticipated effectiveness of
the plan and proposed activities in reducing or eliminating drug-
related crime problems immediately and over an extended period,
including whether the proposed activities enhance and are coordinated
with on going or proposed programs sponsored by HUD such as
Neighborhood Networks, Campus of Learners, Computerized Community
Connections, Operation Safe Home, ``One Strike and You're Out,''
Department of Justice Weed and Seed Efforts, or any other prevention
intervention treatment activities.
(3) The rationale for the proposed activities and methods used
including evidence that proposed activities have
[[Page 15596]]
been effective in similar circumstances in controlling drug-related
crime. Applicants that are proposing new methods for which there is
limited knowledge of the effectiveness, should provide the basis for
modifying past practices and rationale for why they believe the
modification will yield more effective results.
(4) (10 Points for (4) and (5)) The process it 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 applicant's proposed analysis of the data collected should include
a method for assessing the impact of activities on the collected crime
statistics on an on-going basis during the award period.
(5) Specific steps the applicant 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.
(6) 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.
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 the ability of the applicant to secure
community and government resources which can be combined with HUD's
program resources to achieve program purposes.
(1) In assessing this factor, HUD will consider the following:
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. 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) In evaluating this factor, HUD will also consider the extent to
which these initiatives are used to leverage resources for the 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) An application must describe what role residents in the
targeted developments, applicable community leaders and organizations,
and law enforcement agencies have had in planning the activities
described in the application and what role they will have in carrying
out such activities.
(b) The 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 the applicant's
plan and will continue to be involved in implementing such activities
during and after the period of PHDEP funding.
(c) The application must demonstrate the extent to which the
relevant governmental jurisdiction has met its local law enforcement
obligations under the Cooperation Agreement with the applicant (as
required by the grantees Annual Contributions Contract with HUD). The
applicant must describe the current level of baseline local law
enforcement services being provided to the housing authority/
developments proposed for assistance.
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 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 the
applicant demonstrates it has:
(1) Coordinated its 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. Any written agreements, memoranda of understanding in place, or
that will be in place after award should be described.
(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 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.
IV. Application Submission Requirement
Each applicant must comply with the submission requirements listed
in Section IV of the General Section of the SuperNOFA. In addition,
each application must specify whether it is for the FY 1997 or the FY
1998 funding competition. To qualify for a grant under this program,
the application submitted to HUD shall also include those requirements
listed under Section III of the PHDEP section of this SuperNOFA,
including the plan to address the problem of drug-related crime in the
developments proposed for funding. The applicant must accurately
complete the form for HUD's application database entry. The form, with
examples, is provided in the application kit.
V. Corrections to Deficient Applications
The General Section of this SuperNOFA provides the procedures for
corrections to deficient applications.
VI. 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.
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
[[Page 15597]]
Funding Availability for the New Approach Anti-Drug Program
(Formerly Known as the Safe Neighborhood Grant Program)
Program Description: Approximately $20 million is available for
funding for the New Approach Anti-Drug Program (formerly known as the
Safe Neighborhood Grant Program). The purpose of these competitive
grants under the New Approach Anti-Drug Program is to assist 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.
Application Due Date: Applications must be physically received on
or before 6:00 pm, local time June 15, 1998 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
the application must be physically received by the deadline at the
local Field Office with delegated public or assisted housing
responsibilities attention: Director, Office of Public or Assisted
Housing, or, in the case of the Native American population, to the
local HUD Administrator, Area Offices of Native American Programs
(AONAPs), as appropriate.
For Application Kits, Further Information, and Technical Assistance
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 1-800-2209. 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 the New Approach Anti-
Drug Program, and provide your name, address (including zip code) and
telephone number (including area code).
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) 278-4505, x 3027, or
(804) 278-4501 (the TTY number).
Additional Information
I. Authority; Purpose; Amount Allocated; and Eligibility
(A) Authority
The FY 1998 HUD Appropriations Act.
(B) Purpose of the New Approach Anti-Drug Program (Formerly the Safe
Neighborhood Grant Program)
(1) 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 the development of capital improvements
at such developments directly relating to the security of such
developments. Housing authorities shall form partnerships as sub-
grantees to be eligible for assistance.
(2) With these grants, HUD is taking a comprehensive neighborhood/
community-based approach to crime. 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
public housing agencies (PHAs) and Tribally Designated Housing Entities
(TDHEs)). Applicants who are owners/operators of eligible housing will
be required to have as a subgrantee the unit of general local
government (city or county--preferably with the local police department
and the local district attorney or prosecutor's office) and other
community stakeholders including the owners and residents of assisted
housing developments in the benefitting neighborhoods to address crime
in an entire neighborhood (a neighborhood may include more than one
assisted housing development). Applicants shall also form partnerships
with the following entities, if applicable: community residents;
neighborhood businesses; and non-profit providers of support services,
including spiritually-based organizations and their affiliates.
(C) Amount Allocated
(1) Available Funding. Twenty million dollars ($20 million) is
available for funding under the New Approach Anti-Drug Program, as
provided in the FY 1998 Appropriations Act.
(2) Maximum Grant Award. The maximum grant award amount is limited
to $250,000 per application.
(3) Reduction of Requested Grant Amounts. HUD may award an amount
less than requested if:
(a) HUD determines the amount requested for an eligible activity
and/or any budget line item is unreasonable;
(b) Insufficient amounts remain under the allocation to fund the
full amount requested by the applicant, and HUD determines that partial
funding is a viable option;
(c) HUD determines that some elements of the proposed plan are
suitable for funding and others are not; or
(d) HUD determines that a reduced grant would prevent duplicative
Federal funding.
(4) Distribution of Funds. HUD is allocating funds to the highest
scoring applications that have met all program threshold requirements
and have been ranked by HUD or it's agent.
(5) Grant Reductions After Award. HUD may rescind and/or recapture
grant funds based on the failure of the grantees or the grantee's'
partners to perform in accordance with the Grant Agreement, including
the project application that will be incorporated in the Grant
Agreement by reference. In addition, grant funds not expended for
eligible purposes and in accordance with OMB cost principles by the end
of the grant term will be recaptured by HUD.
(D) Eligible Applicants
(1) General. Grants may be made to a lead applicant that must be an
owner/operator of one or more housing developments that have received
some form of financial support from a unit of government or from a
private non-profit entity. Unless the lead applicant is a unit of
general local government which operates the assisted project, the lead
applicant must own an assisted housing development in the neighborhood
to be assisted. Housing authorities shall form partnerships as sub-
grantees to be eligible for assistance. Indian tribes or Tribally
Designated Housing Entities may apply for assistance if they have
eligible project areas and eligible assisted housing (see Section I(H)
of this New Approach Anti-Drug Program section of the SuperNOFA). New
Approach Anti-Drug Program grants
[[Page 15598]]
may be awarded to entities that manage or operate Federally assisted
multifamily housing.
(2) Lead Applicant.
(a) The lead applicant, which if the application is selected for
funding will be the grantee, must be an owner/operator of one or more
housing developments that has received some form of financial support
from a unit of government or from a private nonprofit entity. Housing
Authorities shall form partnerships as sub-grantees to be eligible for
assistance. Such support must be designated and assigned by the funding
source specifically for the housing rather than for any specific
resident household which may, however, benefit from the support in the
form of reduced rent. The housing support may be provided on a one-time
or periodic basis to pay for or waive: project development costs; costs
of financing; operating costs (which include but are not limited to
utilities, taxes, fees, and debt service payments); (iv) owner taxes;
(v) unit rent levels; or (vi) tenant rent payments.
(b) Unless the lead applicant is a unit of general local government
which owns the assisted project, the lead applicant must also own an
assisted housing development (as defined in Section I(H) of this New
Approach Anti-Drug Program section of the SuperNOFA) in the
neighborhood to be assisted. The lead applicant may not have any
outstanding findings of civil rights violations.
(c) Housing authorities may not be the lead applicant; housing
authorities must form partnerships as sub-grantees to be eligible for
assistance.
(3) Subgrantees and Partnerships.
(a) Memorandum of Understanding. The application must include a
number of subgrantees. The chief executive officer or empowered
designee of each subgrantee must enter into a Memorandum of
Understanding (MOU) with the applicant. The MOU must describe the
subgrantee's commitment to serve as a subgrantee, and must specify the
expertise and/or resources that the subgrantee will contribute towards
the success of the grant activity. The MOU must be included as part of
the application.
(b) Required Subgrantees. The following entities must be included
as subgrantees in the application:
(i) The unit(s) of general local government with primary law
enforcement and community development jurisdiction over the project.
The MOU of this entity must commit the local police department,
prosecutor's office, and community development office to actively
support the grant project in partnership with the grantee. The MOU must
also describe the level of current services being provided by these
entities, and the level of services above this baseline which the
entities are committed to providing in support of the grant.
(ii) The owners of assisted housing developments in the
neighborhood that will benefit from grant funding. HUD is inclined to
reward applications in neighborhoods which have demonstrated that more
than one assisted housing development will benefit, and where owners
have agreed to participate in the grant activities.
(iii) Residents of each assisted low income project in the
neighborhood that will benefit from grant funding. The residents'
commitment must include the extent to which they are involved in the
planning, and will be participating in and support the Action Plan.
This commitment must be signed either by individuals from a majority of
project resident households, or by one or more organized resident
groups that, combined, have been endorsed by a majority of project
resident households or recognized by a governmental entity as
representing a majority of project residents.
(c) Encouraged Partnerships. In addition to the required
subgrantees specified above, applicants are encouraged 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.
(E) Eligible Activities
The following is a listing of eligible activities under this
program and guidance as to their parameters (the term TDHEs includes
those IHAs applying for FY 1997) funding:
(1) Augmenting Security (Including Personnel).
(a) General. Subject to a Cost Reimbursement Agreement, the grantee
may reimburse local law enforcement entities for the costs of
additional police presence (police salaries and other expenses directly
related to such presence or security) in and around assisted housing
developments in the neighborhood over and above baseline services
currently provided.
(b) Baseline Services. Additional/supplemental security services
are permitted but must be over and above the local police department's
current level of baseline services. An applicant seeking funding for
augmenting security 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). The 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. The applicant must
then demonstrate to what extent the proposed funded activity will
represent an increase over and above this baseline.
(c) Police Presence. For any grant, at least 70 percent of such
reimbursed costs must be for police presence in or immediately adjacent
to the premises of assisted housing developments and the remainder of
such reimbursed costs must be for police presence within the project
area.
(d) Crime Fighting Strategy.
(i) In its criteria for awarding points in the funding competition,
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:
(1) 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
(2) 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).
(ii) 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.
[[Page 15599]]
(iii) Federal law enforcement activities may not be funded by the
New Approach Program Grant.
(2) Security Services Provided by Other Entities (such as the Owner
of an Assisted Housing Development).
(a) General.
(i) Coordination. The activities of any contract security personnel
funded under this grant must be coordinated with other law enforcement
and crime prevention efforts under the plan approved by HUD. Efforts to
achieve such coordination must be described in the plan. 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.
(ii) Proven Ability to Address Crime Problems. HUD is inclined, as
stated elsewhere in this New Approach Anti-Drug Program section of the
SuperNOFA, to reward applicants that partner with entities that have a
proven ability to address crime problems.
(b) Reimbursement of State and Local Law Enforcement Agencies.
(i) Subject to a Cost Reimbursement Agreement, the grantee may
reimburse local or State prosecuting offices and related public
agencies for the prosecution or investigation of crime committed in the
neighborhood related to the Action Plan. Such reimbursement must be for
costs over and above what the office or agency incurred for such
purposes for crimes committed in the same geographic area during the
period equal in length and immediately prior to the period of
reimbursement.
(ii) For any grant, at least 70 percent of such reimbursed costs
must be in connection with crimes committed in or immediately adjacent
to the premises of Assisted Housing developments and the remainder of
such reimbursed costs directly related to crime committed elsewhere in
the neighborhood.
(c) Hiring of Private Investigator Services. Subject to appropriate
justification, grantees and subgrantees are permitted to use grant
funds to hire private investigator services to investigate crime in and
around the premises of an assisted housing development and/or the
surrounding neighborhood. Based on HUD's inclination to reward
applicants that partner with entities that have a proven ability to
address crime problems, HUD is strongly inclined to provide more points
under the rating factors entitled ``Quality of Plan'' and ``Strength of
Partnerships'' to applications that propose reimbursing municipal
police departments or prosecutor offices than those reimbursing private
operators, for investigative or prosecutorial services (See Section III
of this New Approach Anti-Drug Program section of this SuperNOFA).
(3) Capital Improvements to Enhance Security. Grantees and
subgrantees may use grant funds for capital improvements to enhance
security. All such 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 the grant. Defensible space improvements
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 is generally
inclined to 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) The new construction or rehabilitation of structures housing
police substations or mini-stations;
(b) The installation of barriers, speed bumps, the installation of
fences, barriers, and appropriate use of close circuit television
(CCTV);
(c) Improved door or window security such as locks, bolts, or bars;
and
(d) The landscaping or other reconfiguration of common areas to
discourage drug-related criminal activities.
(F) Eligible Project Areas
(1) The project area must be a ``neighborhood.'' For purposes of
the New Approach Anti-Drug Program, the term ``neighborhood'' means:
(a) A geographic area within a jurisdiction of a unit of general
local government (but not the entire jurisdiction unless the population
is less than 25,000) designated in comprehensive plans, ordinances, or
other local documents as a neighborhood, village, or similar
geographical designation; or
(b) The entire jurisdiction of a unit of general local government
with a population of less than 25,000 persons.
(2) The project area must include at least one assisted low-income
housing project under:
(a) 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
project 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.
(b) Section 101 of the Housing and Urban Development Act of 1965
(12 U.S.C. 1701s);
(c) 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).
(3) HUD will award only one grant per project area.
(G) Ineligible Project Areas
FHA-insured projects which have no project-based subsidy but have
tenants receiving housing vouchers or Section 8 tenant certificates are
not considered Federally assisted housing and would not qualify an area
for eligibility.
(H) Eligible Assisted Housing
The following definitions apply to this program.
(1) Assisted Housing Development.
(a) For purposes of this program, the term ``assisted housing
development'' means four or more adjoining, adjacent, or scattered site
(within a single neighborhood) housing units, developed simultaneously
or in stages, having common ownership and project identity, and
receiving a project-based financial subsidy from a unit of government
at the Federal, State, or local level, or from a private nonprofit
entity.
(b) Such 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 defined by the U.S. Housing Act of 1937, or by households at or
below an alternative limit that falls below this statutory low income
limit, at rents which the public or nonprofit entity determines to be
affordable.
(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
[[Page 15600]]
the public or nonprofit entity determines to be affordable.
(3) Project Based Subsidies. For purposes of this program, the term
``project based subsidies'' is defined as 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.
(I) Ineligible Activities
New Approach Anti-Drug Program Grant funding is not permitted for
any of the activities listed below, unless otherwise specified in this
New Approach Anti-Drug Program section of this SuperNOFA.
(1) Crime prevention, treatment, or intervention activities are not
permitted in this program.
(2) Costs incurred before the effective date of the grant
agreement, including but not limited to consultant fees related to the
development of an application or the actual writing of the application.
(3) 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).
(4) Compensating informants, including confidential informants.
These should be part of the baseline services provided and budgeted by
local law enforcement agencies.
(5) Although participation in activities with Federal drug
interdiction or drug enforcement agencies is encouraged, these grant
funds shall not be transferred to any Federal agency.
(J) Implementation Principles
HUD has established the following principles in its plan for
implementing these New Approach Anti-Drug Program Grants:
(1) 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. With these
grants, HUD is taking a comprehensive neighborhood/community-based
approach to crime. Applicant owners/operators of eligible housing will
be required to partner with the unit of general local government (city
or county) and other stakeholders to address crime in an entire
neighborhood (which may include more than one assisted housing
development). (Units of local government that are owners/operators of
eligible housing may also be designated grantees whether or not the
neighborhood designated for assistance includes housing that they own.)
(2) Crime fighting efforts are most effective when partnerships are
formed with law-enforcement agencies and with a full range of community
stakeholders. Applicants will be required to demonstrate that they have
formed a partnership with units of general local government, preferably
with the local police department and the local district attorney or
prosecutor's office playing key roles in this partnership. Applicants
shall also form partnerships with the following entities, if
applicable:
(a) Federal law enforcement agencies (such as the HUD Office of
Inspector General (OIG), the U.S. Attorney's Office, the FBI, the Drug
Enforcement Administration (DEA), and the U.S. Marshal's Office) and
State and local law enforcement agencies;
(b) All owners of assisted housing developments in the targeted
neighborhood; and
(c) Residents of these assisted housing developments and of the
community.
(d) Neighborhood businesses; and
(e) Non-profit providers of support services, including
spiritually-based organizations and their affiliates.
(3) Law enforcement strategies, however effective in the short run,
need to be combined with efforts to address the underlying causes of
crime and deter its reappearance. The long term solution to the crime
problems of assisted housing developments and their surrounding
neighborhoods rest in changing the conditions--and the culture that
exists.
(4) Encouraging Partnerships.
(a) 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. HUD now wishes to encourage these successful
partnerships to address similar problems in and around privately-owned,
Federally assisted housing. In addition to rewarding partnerships, HUD
is requiring that at least one project in each targeted neighborhood be
multifamily housing with either:
(i) A HUD-insured, held, or direct mortgage and Rental Assistance
Payments (RAP), Rent Supplement, or interest reduction payments; or
(ii) Section 8 project-based assistance with or without HUD
interest in the project mortgage.
(b) 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 applicants to address the needs of multiple assisted
housing developments which may feature a mix of ownership types and
subsidy sources.
(5) 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.
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 bases may not be allowed. In addition, all segments of the
population should be represented in developing and implementing these
crime-fighting strategies.
(6) 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. As
such, HUD encourages owners to participate in Departmental and other
Federal law enforcement agencies' programs, as described below:
(7) Safe Neighborhood Action Program (SNAP).
(a) The Safe Neighborhood Action Program (SNAP) initiative,
announced June 12, 1994 by HUD, the National Assisted Housing
Management Association (NAHMA), and the U.S. Conference of Mayors
(USCM), 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
[[Page 15601]]
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.
(b) 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.
(c) 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.
(d) The cities participating in the SNAP initiative include:
Atlanta, GA; Boston, MA; 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.
(e) For more information on SNAP, contact Henry Colonna, National
SNAP Coordinator, Virginia State Office, 3600 West Broad Street,
Richmond, VA 23230-4920; telephone (804) 278-4505, 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.
II. 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 the
applicant shall 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 the HUD approved applications, as may be amended by any
special condition in the Grant Agreement. HUD will monitor grantees,
utilizing the Grant Agreements to ensure that grantees have achieved
commitments set out in their HUD approved grant application. Failure to
honor such commitments would be the basis for HUD determining a default
of the Grant Agreement, and exercising available sanctions, including
grant suspension, termination, and/or the recapture of grant funds.
(B) Requirements Governing Grant Administration, Audits and Cost
Principles
The policies, guidelines, and requirements of this New Approach
Anti-Drug Program section of the SuperNOFA, 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 the acceptance and use of assistance by grantees. 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 allocability 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
Grant funds must be expended within 24 months after HUD executes a
Grant Agreement. There will be no extensions or waivers of this grant
term.
(D) Subgrants and Subcontracting
(1) In accordance with an approved application, a grantee may
directly undertake any of the eligible activities under this New
Approach Anti-Drug Program section of the SuperNOFA, it may contract
with a qualified third party, or it may make a subgrant to any entity
approved by HUD as a member of the partnership, provided such party is
a unit of government, 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 share with the grantee 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 project 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 the grantee and the subgrantee. The agreement must include a
program budget that is acceptable to the grantee, and that is otherwise
consistent with the grant application budget. The agreement must
require the subgrantee to permit the grantee to inspect the
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 to the grantee for the use of grant funds and implementation
of program activities. In addition, the agreement must describe the
nature of the activities to be undertaken by the subgrantee, the scope
of the subgrantee's authority, and the amount of any insurance to be
obtained by the grantee and the subgrantee to protect their respective
interests.
(3) The grantee shall be responsible for monitoring, and for
providing technical assistance to, any subgrantee to ensure compliance
with applicable HUD and OMB requirements. The grantee must also ensure
that subgrantees have appropriate insurance liability coverage.
(E) 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, the application may be downgraded or
rejected.
(F) 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.
(G) Employment Preference
A grantee under this program shall give preference to the
employment of residents of Assisted Housing projects
[[Page 15602]]
in the neighborhood to be assisted by this grant, and shall comply with
section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C.
1701u) and 24 CFR part 135, to carry out any of the eligible activities
under this program, so long as residents provided such preferences have
comparable qualifications and training as nonresident applicants.
(H) Drawdown of Grant Funds
All grantees will access the 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.
(I) Reports and Closeout
Each grantee receiving a grant shall submit to HUD a semiannual
progress report in a format prescribed by HUD that indicates program
expenditures and measures performance in achieving goals. At grant
completion, the grantee shall participate in a closeout process as
directed by HUD 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 HUD and the grantee and, when appropriate,
in the return of grant funds which have not been expended in accordance
with applicable requirements.
(J) Suspension or Termination of Funding
HUD may suspend or terminate funding if the grantee fails to
undertake the approved program activities on a timely basis in
accordance with the grant agreement, adhere to grant agreement
requirements or special conditions, or submit timely and accurate
reports.
(K) Affirmatively Furthering Fair Housing
The first two sentences of the requirement in Section II(D) of the
General Section of the SuperNOFA do not apply to this program.
III. Application Selection Process
(A) Rating and Ranking
(1) HUD will evaluate all eligible applications based on the
factors for award identified in this Section III.
(2) After the applications have been scored, HUD will rank by Field
Office on a national basis. Awards will be made in ranked order until
all funds are expended.
HUD will select the highest ranking applications whose eligible
activities can be fully funded. Where there is insufficient funds to
fully fund all applicants by Field Office, HUD will award remaining
funds, regardless of Field Office, to the next highest ranking
applicant. HUD will continue the process until all funds allocated to
it have been awarded or to the point where there are insufficient
acceptable applications for which to award funds.
(3) In the event of a tie, HUD will select the applicant with the
highest score in Factor 1. If Factor 1 is scored identically, the
scores in 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 in order to promote the more efficient use of
resources. In the event of a tie and there is not sufficient funds to
fully fund an applicant, HUD will offer remaining funds to the highest
ranking applicant following the procedures above.
(B) Factors for Award To Evaluate and Rank Applications
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. An 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 the applicant has 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) (7 Points) The applicants' successful experience combined with
its subgrantees' successful experience in utilizing similar strategies
to alleviate crime. To receive maximum points under this section, the
applicant must have worked in partnership with one or more of its
subgrantees (or, under some circumstances, two or more of the
subgrantees may have worked together in partnership) using a similar
strategy that reduced crime in and/or around Assisted Housing
developments. The applicant must demonstrate the reduction in the
occurrence of crime as indicated in Selection Factor 3 of this
component of the SuperNOFA. Examples of other Federal programs which
promote such partnerships are HUD's Operation Safe Home Program, Safe
Neighborhood Action Program and, to some extent, the Drug Elimination
Grant Program. In the absence of previous partnerships, the experience
of the applicant will weigh more heavily than the experience of any
single subgrantee in HUD's assignment of partial points under this
subfactor.
(2) (6 Points) The strength of the applicants' partnership as it
relates to eliminating the crime problem identified in Factor 2. Points
in this area will be awarded based on the strength of resource
commitments by subgrantees (both in terms of the amount of resources
committed and the firmness of the commitments); evidence of the
subgrantees' (including project tenants') pre-application role in the
development of 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 project 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 by other
partners on their project premises; the willingness of the unit of
general local government (lead applicant) to use its prosecutor's
office as its lead agency in implementing the grant; utilization of
additional partners other than those required under the heading
``Eligible Applicants'' (for example, neighborhood business
organizations); and the effectiveness of the partnership structure
(synergistic arrangements of collective action will receive more points
than a simple advisory committee of subgrantees).
(3) The applicants' administrative capacity to implement the grant.
Points will be awarded based on the quality and amount of staff
allocated to the grant activity by the grantee; the anticipated
effectiveness of the grantee's 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 the grant activity,
coordinating the partnership, and assuring that the applicant's and
subgrantees' commitments will be met. In assessing this factor, HUD
will consider the following factors with the indicated total available
points:
[[Page 15603]]
(a) (4 Points) The applicant must identify their participation in
HUD grant programs within the preceding three years, and discuss the
degree of the applicant's 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.
(b) (3 Points) The local HUD Field Office shall evaluate the extent
of the applicant's success or failure in implementing and managing an
effective program under previous grants (prior three years). This
evaluation will be based on, but not limited to, the relationship
between the extent of the crime detailed in Factor 2 during the
preceding years, and outcomes regarding reducing/eliminating drug-
related crime described in the plans and achievements of proposed
strategies regarding crime reduction goals outlined in HUD program
performance outcome measurements relating to reducing drugs and crime
activities, and HUD reviews, audits, and other monitoring methods.
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor addresses the extent to which there is a need for
funding the 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 project proposed for funding). In
responding to this factor, applicants will be evaluated on the extent
to which a critical level of need for the proposed activities is
explained and an indication of the urgency of meeting the need in the
target area. Applicants must include 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) (15 points) ``Objective Crime Data'' relevant to the target
area. For objective crime data, an applicant can be awarded up to 15
points. 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 two-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 developments
and surrounding area;
(b) The number of lease terminations or evictions for drug-related
crime at the 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 authorities 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 on 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) (10 Points) Other Crime Data: Other supporting data on the
extent of drug-related crime. For this section, an applicant can
received up to 10 points. To the extent that objective data as
described above may not be available, or to complement that data, the
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. However, if other relevant information
is to be used in place of objective data, the application must indicate
the reasons why objective data could not be obtained and what efforts
were made to obtain it and what efforts will be made 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 the 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 the targeted developments, to include
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/remission) or
counseling professionals, or other social service providers.)
(d) The school dropout rate and level of absenteeism for youth that
the applicant can relate to drug-related crime. If crime or other
statistics are not available at the development or precinct level the
applicant must use other verifiable, reliable and objective data.
(e) To the extent that the applicant's 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 the
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 effectiveness of the
applicant's proposed work plan. In rating this factor, HUD will
consider the impact of the activity; if there are tangible benefits
that can be attained by the community and by the target population.
An 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. 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, pattern over a period of time,
type of crime, and plans to improve data collection and reporting.
In evaluating this factor, HUD will consider the following:
(1) (15 Points) The quality of the applicant's plan to address the
drug-related crime problem, and the problems associated with drug-
related crime in the developments proposed for funding, the resources
allocated, and how well the proposed activities fit with the plan.
[[Page 15604]]
(2) (10 Points for (2) and (3)) The anticipated effectiveness of
the plan and proposed activities in reducing or eliminating drug-
related crime problems immediately and over an extended period,
including whether the proposed activities enhance and are coordinated
with on going or proposed programs sponsored by HUD such as
Neighborhood Networks, Campus of Learners, Computerized Community
Connections, Operation Safe Home, ``One Strike and You're Out,''
Department of Justice Weed and Seed Efforts, or any other prevention
intervention treatment activities.
(3) The rational for the proposed activities and methods used
including evidence that proposed activities have been effective in
similar circumstances in controlling drug-related crime. Applicants
that are proposing new methods for which there is limited knowledge of
the effectiveness, should provide the basis for modifying past
practices and rationale for why they believe the modification will
yield more effective results.
(4) (10 Points for (4) and (5)) The process it 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 applicant's proposed analysis of the data collected should include
a method for assessing the impact of activities on the collected crime
statistics on an on-going basis during the award period.
(5) Specific steps the applicant 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.
(6) 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.
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 the ability of the applicant to secure
community and government resources, in-kind services from local
governments, non-profit or for-profit entities, private organizations
be combined with HUD's program resources to achieve program purposes.
In assessing this factor, HUD will consider the following:
(1) 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. 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.
In evaluating this factor, HUD will also consider the extent to
which these initiatives are used to leverage resources for the 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.
(2) An application must provide a description of the Neighborhood
and the Assisted Housing Developments in the Neighborhood, and the
extent to which the community organizations, and law enforcement
agencies have had in planning the activities described in the
application and what role they will have in carrying out such
activities.
(3) The 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 the applicant's
plan and will continue to be involved in implementing such activities
during and after the period of PHDEP funding.
(4) The application must demonstrate the extent to which the
relevant governmental jurisdiction has met its local law enforcement
obligations under the Cooperation Agreement with the applicant (as
required by the grantees Annual Contributions Contract with HUD). The
applicant must describe the current level of baseline local law
enforcement services being provided to the housing authority/
developments proposed for assistance.
Rating Factor 5: Comprehensiveness and Coordination (10 points)
This factor addresses the extent to which the applicant coordinated
its activities with other known organizations, participants or promotes
participation in a community's Consolidated Planning process, 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
the applicant demonstrated it has:
(1) Coordinated its proposed activities with those of either groups
of 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. Any written agreements, memoranda of understanding in place, or
that will be in place after award should be described.
(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 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 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.
IV. 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 III of the New Approach Anti-Drug Program section of the
SuperNOFA and Section IV of the General Section of this NOFA:
(A) Application Cover Letter;
(B) Congressional Summary--Summary of the proposed program
activities in five (5) sentences or less:
(C) 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
[[Page 15605]]
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 New
Approach Anti-Drug Program section of the SuperNOFA; 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 the lead applicant
organization.
(F) A description of the subgrantees. The description must include
the names of the subgrantees' relative roles and contributions of each
subgrantee in implementing grant activities; structures for partnership
coordination and joint decision making, e.g., form of partnership
interaction (task force, advisory group or corporate entity), lines of
accountability, degree of grant decision making power conferred by the
applicant/grantee to its partners, frequency of meetings, etc.; the
roles, if any, of subgrantees, especially project tenants) in designing
the Action Plan; which subgrantees (if any) will be designated to
receive and dispense grant funds for grant activities; and how the
applicant (grantee) proposes to direct and monitor its partners to
account for funds received or expended and to ensure that commitments
are met; and a profile of each subgrantee including governmental or
nonprofit status (copies of official up-to-date IRS verification of
status must be provided for all nonprofit institutions), a detailed
description of their experience and success in similar or related anti-
crime initiatives, roles in and financial or in-kind contributions to
the partnership, and the approximate value of any in-kind
contributions.
(G) Accompanying the description must be letters from each
subgrantee signed by their respective chief executive officers,
describing their role if any in designing the application and,
especially, the Action Plan; detailing the amounts and types of
financial and other contributions to be made by the subgrantee firmly
committing the subgrantee to such contributions; affirming the specific
role(s) that the subgrantee will undertake in implementing Plan
activities, including its agreement to act as subgrantee, and
summarizing the subgrantee's experience in undertaking similar or
related activities.
(H) With respect to subgrantees that are owners of Assisted Housing
development(s), the application should include external assessment or
evidence of the quality of the development's ownership or management
(e.g., available management reviews by governing public entities) that
relates to the capacity of the ownership and management to undertake
their share of responsibilities in the partnership; and such related
concerns as whether project management carefully screens applicants for
units and takes appropriate steps to deal with tenants known to exhibit
or suspected of exhibiting criminal behavior) and cooperates with law
enforcement actions by other partners on their project premises.
(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) Staffing. 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) Coordination. The applicant/grantee's plan and lines of
accountability (including an organization chart) for implementing the
grant activity, coordinating the partnership, and assuring that the
applicant's and 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.
V. Corrections to Deficient Applications
The General Section of this SuperNOFA provides the procedures for
corrections to deficient applications.
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
[[Page 15607]]
Funding Available for Drug Elimination Grants for Federally
Assisted Low-Income Housing (Multifamily Housing Drug Elimination)
Program Description: Approximately $16,250,000 in funding is
available for Federally Assisted Low Income Housing Drug Elimination
Grants. This Multifamily Housing Drug Elimination Program section of
the SuperNOFA does not apply to the funding available under Public and
Indian Housing.
Application Due Dates: Completed applications (an original and two
copies) must be received no later than 6:00 pm local time in the HUD
Office with jurisdiction over the applicant project June 15, 1998. 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: Completed applications (an
original and two copies) must be submitted no later than close of
business to the HUD Office with jurisdiction over the applicant
project. The application kit contains a list of the HUD Offices to
which applications must be sent.
For Application Kits, Further Information, and Technical Assistance
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. 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 Multifamily Housing Drug
Elimination Grants, and provide your name, address (including zip code)
and telephone number (including area code).
For Further Information and Technical Assistance. Policy questions
of a general nature may be referred to Carissa Janis, Housing Project
Manager, Office of Portfolio Management, Department of Housing and
Urban Development, 451 Seventh Street, SW, Washington, DC 20410; (202)
708-3291, extension 2487. (This number is not toll free). Hearing or
speech impaired persons may access this number via TTY by calling the
Federal Information Relay Service at 1-800-877-8339. HUD will notify
all applicants whether or not they were selected for funding.
Additional Information
I. Authority; Purpose; Amounts Allocated; and Eligibility
(A) 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.
(B) Purpose
The purpose of this Multifamily Housing Drug Elimination Grant
Program is to:
(1) Enable owners of federally assisted low-income housing projects
to deal effectively with drug-related criminal activity in and around
the project.
(2) Improve the physical structure and the surrounding environment
to enhance security designed to discourage drug-related criminal
activity.
(3) Develop programs and security measures designed to reduce the
use of drugs in and around federally assisted low-income housing
projects, including drug-abuse prevention, intervention, referral, and
treatment programs.
(C) Amounts Allocated
The maximum grant award amount is limited to $125,000 per project.
Any grant funds under this Multifamily Drug Elimination Grant Program
of the SuperNOFA that are allocated, but that are not reserved for
grantees, must be released to HUD Headquarters for reallocation. If the
Award Office determines that an application cannot be partially funded
and there are insufficient funds to fund the application fully, any
remaining funds after all other applications have been selected will be
released to HUD Headquarters for reallocation. Amounts that may become
available due to deobligation will also be reallocated to Headquarters.
All reallocated funds will be awarded in the following manner: HUD
Award Office will submit to Headquarters a list of applications, with
their scores and amount of funding requested, that would have been
funded had there been sufficient funds in the appropriate allocation to
do so. Headquarters will select applications from those submitted by
the HUD Award Offices, using a random number lottery overseen by the
Offices of Housing, General Counsel, and Inspector General, and make
awards from any available reallocated funds.
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. The Award Offices will receive the scores from each HUD
Office which has received, rated, ranked, and scored its applications.
The Award Offices will, in turn, request Headquarters to fund those
properties with the highest score from each HUD Office. If sufficient
funds remain, the next highest scored applications, regardless of HUD
Office, will be awarded funds. 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.................... Vermont, Massachusetts, $4,015,000
Connecticut, Rhode Island,
New York, Maine, New
Hampshire, New Jersey,
Pennsylvania, Delaware,
Maryland, District of
Columbia, West Virginia,
Virginia.
Knoxville.................. Kentucky, Tennessee, North 4,110,000
Carolina, South Carolina,
Georgia, Alabama, Puerto
Rico, Mississippi,
Florida, Iowa, Kansas,
Missouri, Nebraska.
Minneapolis................ Illinois, Minnesota, 3,919,000
Indiana, Wisconsin,
Michigan, Ohio,.
Little Rock................ Arkansas, Louisiana, New 4,206,000
Mexico, Oklahoma, Texas,
Colorado, Montana, North
Dakota, South Dakota,
Utah, Wyoming, Arizona,
California, Hawaii,
Nevada, Alaska, Idaho,
Oregon, Washington.
------------------------------------------------------------------------
(D) Eligible Applicants
Eligible applicants include owners of the following low-income
housing projects: Section 221(d)(3), Section 221(d)(4), or Section 236
of the National Housing Act with project-based assistance. (Note:
Section 221(d)(3) and Section 221(d)(4) market rate projects with
tenant-based assistance are not eligible for funding); Section 101 of
the Housing and Urban Development Act of 1965; or Section 8 of the
United States Act of 1937. This includes State Housing Agency projects,
Rural Housing and Community Development projects, and Moderate
Rehabilitation projects with project-based Section 8 assistance. This
does not include Section 8 tenant-
[[Page 15608]]
based assistance. Owners of Section 8 tenant-based projects are also
ineligible.
(E) Eligible Activities
Programs which foster interrelationships among the residents, the
housing owner and management, the local law enforcement agencies, and
other community groups impacting on the housing are greatly desired and
encouraged. Resident participation in the determination of programs and
activities to be undertaken is critical to the success of all aspects
of the program. Working jointly with community groups, the neighborhood
law enforcement precinct, residents of adjacent properties and the
community as a whole can enhance and magnify the effect of specific
program activities and should be the goal of all applicants.
(1) Physical improvements to enhance security. The improvement may
include but are not limited to systems designed to limit building
access to project residents, the installation of barriers, lighting
systems, fences, bolts, locks; the landscaping or reconfiguration of
common areas to discourage drug-related crime; and other physical
improvements designed to enhance security and discourage drug-related
activities. In particular, HUD is seeking plans that provide
successful, proven, and cost-effective deterrents to drug-related crime
that are designed to address the realities of federally assisted low-
income housing environments. All physical improvements must also be
accessible to persons with disabilities. For example, some types of
locks or buzzer systems are not accessible to persons with limited
strength, or mobility, or to persons who have hearing impairments and
should not be utilized. Accessible alternatives should be utilities.
All physical improvements 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.
(2) Programs to Reduce the Use of Drugs. Programs to reduce the use
of drugs in and around the project, including drug-abuse prevention,
intervention, referral, and treatment programs are eligible for funding
under this program. The program should facilitate drug prevention,
intervention, and treatment efforts, to include outreach to community
resources and youth activities, and facilitate bringing these resources
onto the premises, or provide resident referrals to treatment programs
or transportation to out-patient treatment programs away from the
premises. 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. Alcohol-related activities and programs are not
eligible for funding under this Multifamily Housing Drug Elimination
Grant Program section of the SuperNOFA.
(3) Drug Prevention. Drug prevention programs that will be
considered for funding under this Multifamily Housing Drug Elimination
Grant Program section of the SuperNOFA must provide a comprehensive
drug prevention approach for residents that will address the individual
resident and his or her relationship to family, peers, and the
community. Prevention programs must include activities designed to
identify and change the factors present in federally assisted low-
income housing that lead to drug-related problems, and thereby lower
the risk of drug usage. Many components of a comprehensive approach,
such as refusal and restraint skills training programs or drug-related
family counseling, may already be available in the community of the
applicant's housing projects, and the applicant must act to bring those
available program components onto the premises. Activities that should
be included in these programs are:
(a) Drug Education Opportunities for Residents. The causes and
effects of illegal drug usage must be discussed in a formal setting to
provide both young people and adults the working knowledge and skills
they need to make informed decisions to confront the potential and
immediate dangers of illegal drugs. Grantees may contract (in
accordance with 24 CFR Part 85.36) with drug education professionals to
provide training or workshops. The drug education professional
contracted to provide these services shall be required to base their
services upon the program plan of the grantee. These educational
opportunities may be a part of resident meetings, youth activities, or
other gatherings of residents.
(b) Family and Other Support Services. Drug prevention programs
must demonstrate that they will provide directly or otherwise make
available services designed to distribute drug education information,
to foster effective parenting skills, and to provide referrals for
treatment and other available support services in the project or the
community for federally-assisted low-income housing families.
(c) Youth Services. Drug prevention programs must demonstrate that
they have included groups composed of young people as a part of their
prevention programs. These groups must be coordinated by adults with
the active participation of youth to organize youth leadership, sports,
recreational, cultural and other activities involving housing youth.
The dissemination of drug education information, the development of
peer leadership skills and other drug prevention activities must be a
component of youth services.
(4) Economic/Educational Opportunities for Resident Youth. Drug
prevention programs should demonstrate a capacity to provide residents
the opportunity for referral to established higher education or
vocational institutions with the goal of developing or building on the
resident's skills to pursue educational, vocational, and economic
goals. The program must also demonstrate the ability to provide
residents the opportunity to interact with private sector businesses in
their immediate community for the same desired goals.
(5) Intervention. The aim of intervention is to identify federally-
assisted low-income housing resident drug users and assist them in
modifying their behavior and in obtaining early treatment, if
necessary. The applicant must establish a program with the goal of
preventing drug problems from continuing once detected.
(6) Drug Treatment. Treatment funded under this program shall be in
or around the premises of the project. Funds awarded under this program
shall be targeted towards the development and implementation of new
drug referral treatment services and/or aftercare, or the improvement
of, or expansion of such program services for residents. Each proposed
drug treatment program should address the following goals:
(a) Increase resident accessibility to drug treatment services;
(b) Decrease criminal activity in and around the project by
reducing illicit drug use among residents;
(c) Provide services designed for youth and/or maternal drug
abusers, e.g., prenatal/postpartum care, specialized counseling in
women's issues; parenting classes, or other drug treatment supportive
services. Approaches that have proven effective with similar
populations will be considered for funding. Programs should meet the
following criteria:
(i) Applicants may provide the service of formal referral
arrangements to other treatment programs not in or around the project
when the resident is able to obtain treatment costs from sources other
than this program. Applicants may also provide transportation for
residents to out-patient treatment and/or support programs.
[[Page 15609]]
(ii) Provide family/collateral counseling.
(iii) Provide linkages to educational/vocational counseling.
(iv) Provide coordination of services to appropriate local drug
agencies, HIV-related service agencies, and mental health and public
health programs.
(7) Working Partnerships. Applicants must demonstrate a working
partnership with the Single State Agency or State license provider or
authority with drug program coordination responsibilities to
coordinate, develop and implement the drug treatment proposal. In
particular, applicants must review and determine with the Single State
Agency or State license provider or authority with drug program
coordination responsibilities whether: A) the drug treatment
provider(s) has provided drug treatment services to similar
populations, identified in the application, for two prior years; and B)
the drug treatment proposal is consistent with the State treatment plan
and the treatment service meets all State licensing requirements.
(8) Resident Councils. Providing funding to resident councils to
develop security and drug abuse programs.
(E) Ineligible Activities
The following activities are not eligible for funding:
(1) 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;
(2) The acquisition of real property or physical improvements that
involve the demolition of any units in the project or displacement of
tenants;
(3) Costs incurred prior to the effective date of the grant
agreement, including, but not limited to, consultant fees for surveys
related to the application or its preparation;
(4) Reimbursement of local law enforcement agencies for additional
security and protective services;
(5) The employment of one or more individuals to investigate drug-
related crime on or about the real property comprising any federally-
assisted low-income project and/or to provide evidence relating to such
crime in any administrative or judicial proceeding;
(6) The provision of training, communications equipment and other
related equipment for use by voluntary tenant patrols acting in
cooperation with local law enforcement officials;
(7) Treatment of residents at any in-patient medical treatment
programs or facilities;
(8) Detoxification procedures, short term or long term, designed to
reduce or eliminate the presence of toxic substances in the 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.]
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the additional
requirements in this Section II. These requirements apply to all
activities, programs, and functions used to plan, budget, and evaluate
the work funded under this program. After applications have been ranked
and selected, HUD and the applicant shall 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.
(A) General
The policies, guidelines, and requirements of this NOFA, along with
applicable HUD program regulations, HUD Handbooks, and the terms of
grant/special conditions and subgrant agreements apply to the
acceptance and use of assistance by grantees and will be followed in
determining the reasonableness and allocability of costs. All costs
must be reasonable and necessary.
(B) Term of Funded Activities
The term of funded activities may not exceed 12 months. Owners must
ensure that any funds received under this program are not commingled
with other HUD or project operating funds. To avoid duplicate funding,
owners must establish controls to assure that any funds from other
sources, such as Reserve for Replacement, Rent increases, etc., are not
used to fund the physical improvements to be undertaken under this
program.
HUD may terminate funding if the grantee fails to undertake the
approved program activities on a timely basis in accordance with the
grant agreement. Grantees must adhere to grant agreement requirements
and/or special conditions, and must submit timely and accurate reports.
(C) Subgrants--Subcontracting
A grantee may directly undertake any of the eligible activities
under this Multifamily Drug Elimination Program section of the
SuperNOFA or it may contract with a qualified third party, including
incorporated Resident Councils. Resident groups that are not
incorporated may share with the grantee in the implementation of the
program, but may not receive funds as subgrantees. Subgrants to
incorporated Resident Councils may be made only for eligible statutory
activities and only under a written agreement executed between the
grantee and the Resident Council. The agreement must include a program
budget that is acceptable to the grantee, and that is otherwise
consistent with the grant application budget. The agreement must
obligate the incorporated Resident Council to permit the grantee to
inspect and audit the Resident Council's financial records related to
the agreement, and to account to the grantee on the use of grant funds,
and on the implementation of program activities. In addition, the
agreement must describe the nature of the activities to be undertaken
by the subgrantee, the scope of the subgrantee's authority, and the
amount of insurance to be obtained by the grantee and the subgrantee to
protect their respective interests.
The grantee shall be responsible for monitoring and for providing
technical assistance to any subgrantee to ensure compliance with HUD
program requirements, including the regulations at 24 CFR part 84,
Grants and Agreements with Institutions of Higher Education, Hospitals,
and Other Non-Profit Organizations. The procurement requirements of
Part 84 also apply to Resident Councils. The grantee must also ensure
that subgrantees have appropriate insurance.
(D) Forms, Certifications and Assurances
See General Section of the SuperNOFA for the applicable forms,
certifications and assurances to be submitted.
(E) Affirmatively Furthering Fair Housing
The first two sentences of the requirement of Section II(D) of the
General Section of the SuperNOFA do not apply to this program.
III. Application Selection Process
(A) Rating and Ranking
Applications will be evaluated competitively and ranked against all
other applicants that have applied for these Drug Elimination Grants.
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.
[[Page 15610]]
(B) 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 51 points out of the total of 100 points
provided for the five factors to be eligible for funding under this
competition. The Award Office will select the highest ranking
application from each HUD Office whose eligible activities can be fully
funded. The Award Office will then select the highest scored unfunded
application submitted to it regardless of Field Office and continue the
process until all funds allocated to it have been awarded or to the
point where there are insufficient acceptable applications for which to
award funds. Each application submitted will be evaluated on the basis
of the 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 the applicant has proper
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 application demonstrates the
capabilities described below. In rating this factor, HUD will consider
the following:
(1) The knowledge and experience of the staff and administrative
capability to manage grants, including administrative support
functions, procurement, lines of authority, and fiscal management
capacity.
(a) For PHAs (and TDHEs that had previously applied as IHAs), HUD
will consider such measurement tools as PHMAP, uniform crime index,
physical inspections, agency monitoring of records, Line of Credit
Control System Reports (LOCCS), audits and such other relevant
information available to HUD on the capacity of the owner or manager to
undertake the grant.
(b) For owners of multifamily housing, HUD will consider the most
recent Management Review (including Rural Development Management
Review), HQS review, State Agency review and such other relevant
information available to HUD on the capacity of the owner or manager to
undertake the grant.
(c) A description of established performance goals to define the
results expected to be achieved by all major grant activities proposed
in the grant application, and a description of the goals expressed in
an objective, quantifiable, and measurable form. The goals must be
outcome or result-oriented and not out-put related. Outcomes include
accomplishments, results, impact and the ultimate effects of the
program on the drug or crime problem in the target/project area.
(2) The applicant's performance in administering Drug Elimination
funding in the previous 5 years.
(a) For PHAs the applicant's past experience will be evaluated in
terms of their 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 the applicant has
formed a collaboration with Tribal, State and local law enforcement
agencies and courts to gain access to criminal conviction records of
applicants to determine their suitability for residence in public
housing. Such data will be measured and evaluated based on the Public
Housing Management Assessment Program at 24 CFR part 901.
(b) The applicant must identify their participation in HUD grant
programs within the preceding three years and discuss the degree of the
applicant's success in implementing and managing (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.
(3) Submission of evidence that applicants have initiated other
efforts to reduce drug-related crime by working with Operation Safe
Home, SNAP, Weed and Seed, or tenant and/or law enforcement groups.
(4) The applicant's performance in administering other Federal,
State or local grant programs.
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor addresses the extent to which there is a need for
funding the 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 project proposed for funding). In
responding to this factor, applicants will be evaluated on the extent
to which a critical level of need for the proposed activities is
explained and an indication of the urgency of meeting the need in the
target area. Applicants must include 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) (15 points) ``Objective Crime Data'' relevant to the target
area. For objective crime data, an applicant can be awarded up to 15
points. 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 two-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 developments
and surrounding area;
(b) The number of lease terminations or evictions for drug-related
crime at the 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 authorities 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 on 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) (10 Points) Other Crime Data: Other supporting data on the
extent of drug-related crime. For this section, an applicant can
received up to 10 points. To the extent that objective data as
described above may not be available, or to complement that data, the
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. However, if other relevant information
is to be used in place of objective data, the application must indicate
the reasons why objective data could not be obtained and what efforts
were made to obtain it and what efforts will be made during the grant
period to begin obtaining the data. Examples of
[[Page 15611]]
the data should include (but are not necessarily limited to):
(a) Surveys of residents and staff in the 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 the targeted developments, to include
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/remission) or
counseling professionals, or other social service providers.)
(d) The school dropout rate and level of absenteeism for youth that
the applicant can relate to drug-related crime. If crime or other
statistics are not available at the development or precinct level the
applicant must use other verifiable, reliable and objective data.
(e) To the extent that the applicant's 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 the response.
The Department will review more favorably those applicants who used
these documents to identify need, when applicable.
Rating Factor 3: Soundness of Approach--(Quality of the Plan) (35
Points)
This factor addresses the quality and effectiveness of the
applicant's proposed work plan. In rating this factor, HUD will
consider the impact of the activity; if there are tangible benefits
that can be attained by the community and by the target population.
An 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. 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, pattern over a period of time,
type of crime, and plans to improve data collection and reporting.
In evaluating this factor, HUD will consider the following:
(1) The quality of the applicant's plan to address the drug-related
crime problem, and the problems associated with drug-related crime in
the developments proposed for funding, the resources allocated, and how
well the proposed activities fit with the plan.
(2) The anticipated effectiveness of the plan and proposed
activities in reducing or eliminating drug-related crime problems
immediately and over an extended period, including whether the proposed
activities enhance and are coordinated with on going or proposed
programs sponsored by HUD such as Neighborhood Networks, Campus of
Learners, Computerized Community Connections, Operation Safe Home,
``One Strike and You're Out,'' Department of Justice Weed and Seed
Efforts, or any other prevention intervention treatment activities.
(3) The rational for the proposed activities and methods used
including evidence that proposed activities have been effective in
similar circumstances in controlling drug-related crime. Applicants
that are proposing new methods for which there is limited knowledge of
the effectiveness, should provide the basis for modifying past
practices and rationale for why they believe the modification will
yield more effective results.
(4) The process it 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 applicant's proposed
analysis of the data collected should include a method for assessing
the impact of activities on the collected crime statistics on an on-
going basis during the award period.
(5) Specific steps the applicant 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.
(6) 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.
Rating Factor 4: Leveraging Resources (10 Points)
In assessing this factor, HUD will consider the following:
(1) The extent to which the owner is participating in programs that
are available from local governments or law enforcement agencies.
(2) The level of participation and support by the local government
or law enforcement agency for the applicant's proposed activities. This
may include letters of support to the owner, documentation that the
owner participates in town hall type meetings to develop strategies to
combat crime, or any other form of partnership with local government or
law enforcement agencies.
(3) The level of assistance received from local government and/or
law enforcement agencies.
(4) The extent to which an applicant has sought the support of
residents in planning and implementing the proposed activities.
Evidence that comments and suggestions have been sought
from residents to the proposed plan for this program and the degree to
which residents will be involved in implementation.
Evidence of resident support for the proposed plan.
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 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
the applicant demonstrates it has:
(1) Coordinated its proposed activities with those of other groups
or organizations prior to submission in order to best complement,
support and coordinate all know activities and if funded, the specific
steps it 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) 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
[[Page 15612]]
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.
IV. Application Submission Requirements
An applicant is allowed to submit only one application for funding
under this program. A separate application must be submitted for each
project. If the grant is to serve connecting or adjacent properties, an
applicant may submit one application that will serve all properties. In
such a case, the applicant must describe in detail in its application
how the grant will serve the properties. Only one project would receive
the funding even though the grant would be serving several properties.
The application includes the forms, certifications and assurances
listed in the General Section of the SuperNOFA.
V. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VI. 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.
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
[[Page 15613]]
Funding Availability for Public and Indian Housing Drug Elimination
Technical Assistance Program
Program Description: Approximately $2 million is available for
funding short-term, technical assistance services for the Public and
Indian Housing Drug Elimination Technical Assistance (PHDE-TA) Program.
The purpose of this program is to provide short-term (90 days for
completion) technical assistance consultant services to assist public
housing agencies (PHAs), 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.
Application Due Date: One original application must be received at
the Office of Community Safety and Conservation (OCSC), Room 4112 at
the HUD Headquarters Building at 451 Seventh Street, SW, Washington DC,
20410, no later than 12:00 midnight on June 15, 1998. 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).
A copy of the application must be submitted to the appropriate HUD
Field Office HUB with delegated housing responsibilities over an
applying housing entity, or from the AONAPs with jurisdiction over the
Tribes and Tribally Designated Housing Entities.
Applicants will also be required to submit with their applications
to OCSC, a Confirmation Form documenting that the appropriate HUD Field
Office received the TA application (this form is a threshold
requirement).
PHDE-TA applications will be reviewed on a continuing basis until
June 15, 1998, or until funds available under this program are
expended. Due to the reduced availability of funds in FY 1998, HUD
encourages early submission of applications. There is no application
deadline for consultants or for HUD initiated Public Housing Drug
Elimination Technical Assistance (PHDE-TA).
Address for Submitting Applications: Office of Community Safety and
Conservation, Department of Housing and Urban Development, Room 4112,
451 Seventh Street, SW, Washington DC, 20410.
For Application Kits, Further Information, and Technical Assistance
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. 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 the Public Housing Drug
Elimination Technical Assistance Program, and provide your name,
address (including zip code) and telephone number (including area
code).
For Further Information and Technical Assistance. For answers to
your questions or for technical assistance, please call the local HUD
Field Office HUB with delegated housing responsibilities over an
applying housing entity, or the AONAPs with jurisdiction over the
Tribes and Tribally Designated Housing Entities. The list of local HUD
Field Office with jurisdiction over the applicant is provided in the
application kit.
Additional Information
I. Authority; Purpose; Amount Allocated; Eligibility
(A) Authority
The FY 1998 HUD Appropriations Act under the heading, ``Drug
Elimination Grants for Low-Income Housing (Including Transfer of
Funds).''
(B) Purpose
The funds for the Drug Elimination Technical Assistance (TA)
Program are strictly used to hire HUD-registered consultants, whose
fields of expertise address the strategies requested to eliminate drugs
and drug-related crimes in public housing authorities (PHAs), Tribes,
and tribally-designated housing entities (TDHEs), resident management
corporations (RMCs), resident councils (RCs) or resident organizations
(ROs) nationwide.
(C) Amount Allocated
For FY 1998, up to $2 million in funding is available for Public
Housing Drug Elimination Technical Assistance.
(D) Eligible Applicants
Public housing agencies (PHAs), Tribes and Tribally Designated
Housing Entities (TDHEs), incorporated resident councils (RCs),
resident organizations (ROs) in the case of Tribes and TDHEs, and
resident management corporations (RMCs) are eligible to receive short-
term technical assistance services under this PHDE-TA Program section
of the SuperNOFA. More specific eligibility requirements follow:
(1) An eligible RC or RO must be an incorporated nonprofit
organization or association that meets all seven of the following
requirements:
(a) It must be representative of the residents it purports to
represent.
(b) It may represent residents in more than one development or in
all of the developments of a PHA or Tribe or TDHE, but it must fairly
represent residents from each development that it represents.
(c) It must adopt written procedures providing for the election of
specific officers on a regular basis (but at least once every 3 years).
(d) It must have a democratically elected governing board. The
voting membership of the board must consist of residents of the
development or developments that the resident organization or resident
council represents.
(e) It must be supported in its application by a public housing
authority or a Tribe or TDHE.
(f) It must provide evidence of incorporation.
(g) It must provide evidence of adopted written procedures for
electing officers.
(2) An eligible RMC 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 a Tribe or TDHE. An RMC must have
all seven of the following characteristics:
(a) It must be a nonprofit organization incorporated under the laws
of the State or Indian tribe where it is located.
(b) It may be established by more than one resident organization or
resident council, so long as each: approves the establishment of the
corporation; and has representation on the Board of Directors of the
corporation.
(c) It must have an elected Board of Directors.
(d) Its by-laws must require the Board of Directors to include
representatives of each resident organization or resident council
involved in establishing the corporation.
(e) Its voting members must be residents of the development or
developments it manages.
(f) It must be approved by the resident council. If there is no
council, a majority of the households of the development must approve
the establishment of such an organization to determine the feasibility
of establishing a corporation to manage the development.
(g) It may serve as both the resident management corporation and
the resident council, so long as the corporation meets the requirements
of 24 CFR part 964 for a resident council.
[[Page 15614]]
(In the case of a resident management corporation for a Tribe or TDHE,
it may serve as both the RMC and the RO, so long as the corporation
meets the requirements of this PHDE-TA Program section of the SuperNOFA
for a resident organization.)
(3) Applicants can only submit one application per award period.
Applicants are eligible to apply to receive technical assistance if
they are already receiving technical assistance under this program, as
long as the request creates no scheduling conflict with other PHDE-TA
requests. For HUD-initiated TA, the recipient may receive more than one
type of technical assistance concurrently unless HUD, in consultation
with the recipient, determines that it may negatively affect the
quality of the PHDE-TA.
(4) Applicants are eligible to apply to receive technical
assistance whether or not they are already receiving drug elimination
funds under the Public and Indian Housing Drug Elimination Program.
(5) The applicant must have substantially complied with the laws,
regulations, and Executive Orders applicable to the Drug Elimination TA
Program, including applicable civil rights laws.
(E) Eligible Consultants
(1) 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 the TA Consultant Database need not reapply,
but are encouraged to update their file with more recent experience and
rate justification. To qualify as eligible consultants, individuals or
entities should have experience in one or more of the following general
areas:
(a) PHA/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 the applicant may be funded as a consultant to the
applicant by this Drug Elimination Technical Assistance Program.
(b) Consultants who wish to provide drug elimination technical
assistance services through this program shall not have had any
involvement in the preparation or submission of any PHDE-TA proposal.
Any involvement of the consultant is considered a conflict of interest,
making the consultant ineligible for providing consulting services to
the applicant and will disqualify the consultant from future
consideration. This prohibition shall also be invoked for preparing and
distributing prepared generic or sample applications, when HUD
determines that any application submitted by a PHA, Tribe or TDHE, RC,
RO or RMC duplicates a sufficient amount of any prepared sample to
raise issues of possible conflict of interest.
(4) HUD-registered consultants are eligible to receive funds to be
reimbursed for up to $15,000 for conducting the short-term technical
assistance, but long-term results are expected from each job. After the
work is completed, evaluations are submitted from the housing
authorities on the consultants' work performance. The evaluations are
carefully reviewed to make sure the housing authorities are satisfied
with the services provided through HUD. Afterwards, the consultants are
reimbursed by HUD, which completes the PHDE-TA. In extreme cases of
technical assistance needs, staff members of HUD headquarters and field
offices may recommend specialized technical assistance for which HUD-
registered consultants can receive up to $25,000 in funds. HUD
encourages housing authorities/agencies and eligible resident
organizations with or without a drug elimination grant in their
communities to use this resource.
(F) Ineligible Consultants
Consultants and/or companies currently debarred or suspended by HUD
are not eligible to perform services under this program.
(G) 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 PHDE-TA program is intended to provide short-term,
immediate assistance to PHAs, Tribes and TDHEs, RMCs, RCs, and ROs in
developing and/or implementing their strategies to eliminate drugs and
drug-related crime. Short-term technical assistance means that
consultants shall only be reimbursed for a maximum of 30 days of work,
which must be completed in less than 90 days from the date of the
approved statement of work. 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) 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;
[[Page 15615]]
(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;
(v) Security and physical design.
(c) Training for housing authority staff and residents in anti-
crime and anti-drug prevention practices and programs;
(d) Evaluating current anti-crime and anti-drug-related crime
programs.
(3) The following are activities which 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 in circumstances
determined by HUD to require immediate attention because of severe drug
and crime issues and the presence of one of the following
circumstances:
(a) HAs that were unsuccessful in gaining Drug Elimination Program
Grants;
(b) Applicants having demonstrated an inability to explain the
nature and extent of local drug or crime activities;
(c) Applicants with a demonstrated inability to identify or develop
potential solutions to their local drug or crime problem;
(d) Applicants unable to develop local anti-drug, anti-crime
partnerships;
(e) Applicants lacking the capability to carry out a plan due to a
lack of anti-drug, anti-crime-related training;
(f) Applicants with an inability to effectively make progress to
address pervasive drug-related violence;
(g) Applicants where there is an inability between tenants, and/or
between tenants and management to effectively communicate about drug-
and crime-related issues;
(h) Applicants that need an evaluation performed on their ``One
Strike You're Out'' program; and
(i) Applicants lacking the capability to perform a program
evaluation of current anti-drug, anti-crime activities.
(H) Ineligible Activities
Funding is not permitted for:
(1) Any type of monetary compensation for residents.
(2) Any activity that is funded under any other HUD program,
including TA and training for the incorporation of resident councils or
RMCs, and other management activities.
(3) Salary or fees to the staff of the applicant, or former staff
of the applicant within a year of his or her leaving the housing
authority or resident organization.
(4) Underwriting conferences.
(5) Conference speakers.
(6) Program implementation, proposal writing, the financial support
of existing programs, or efforts requiring more than 30 billable days
of technical assistance over a 90 day period; the purchase of hardware
or equipment, or any activities deemed ineligible in the Drug
Elimination Program, excluding consultant's fees.
II. Program Requirements
(A) Individual Award Amounts
Applications received from HAs and qualified RCs, ROs, and RMCs;
and Tribes and their Tribally Designated Housing Entities (TDHEs) are
eligible for a maximum amount of Technical Assistance (TA) no greater
than $15,000. HUD-initiated TA is eligible for a maximum of $25,000
where HUD determines the circumstances require levels of assistance
greater than $15,000, such as more than 30 billable days are required
over a 90-day period for the technical assistance, as one example.
(1) Applications for short-term technical assistance may be funded
up to $15,000, with HUD providing payment directly to the authorized
consultant for the consultant's fee, travel, room and board, and other
approved costs at the approved government rate.
(2) For technical assistance initiated by HUD, the TA 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 one application from a HA, or group of
RCs, ROs, or RMCs 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) 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, as
directed by the application kit, 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, certifying the following:
(a) That 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; and
(b) That the application was reviewed by both the housing authority
Executive Director or Tribal Council or authorized TDHE official, and a
resident leader of the organization that is applying for the PHDE-TA
and contains the following:
(i) A four page (or fewer) application letter responding to each of
the threshold criteria listed below in Section III(C) of the PHDE-TA
section of the SuperNOFA, or the completed application forms available
in the application kit; and
(ii) A certification statement, or the form provided in the
application kit, signed by the executive director of the housing
authority and the authorized representative of the RMC or incorporated
RC or RO, certifying that any technical assistance received will be
used in compliance with all requirements in the SuperNOFA.
(D) Affirmatively Furthering Fair Housing
Section II(D) of the General Section does not apply to this
technical assistance program.
III. Application Selection Process
(A) General
Applications will be reviewed on a continuing first-come, first-
served basis, until funds under this PHDE-TA Program section of the
SuperNOFA are no longer available or until the application deadline
noted in this PHDE-TA Program section of the SuperNOFA. Applications
for PHDE-TA will be reviewed as they are received. Applicants are
encouraged to submit their applications as early as possible in the
fiscal year to ensure that they avoid situations where applications are
not eligible for funding. Consultant applications will be received
throughout the year with no deadline. Eligible applications will be
funded in the order in which negotiations for a statement of work are
completed between the consultant and the PHDE-TA program administrator
until all funds are expended.
(B) Threshold Criteria for Funding Consideration
(1) The applicant must meet the requirements outlined in this PHDE-
TA Program section of the SuperNOFA.
(2) The application must not request an ineligible activity.
(3) The application must answer the following questions:
(a) What is the nature of the drug-related crime problem in your
[[Page 15616]]
community in terms of the extent of such crime, the types of crime, and
the types of drugs being used? This should include quantifiable or
qualitative data on drug problems or criminal activity.
(b) What is the nature of the housing authority's working
relationships with law enforcement agencies, particularly local
agencies? How will PHDE-TA be used to improve those relationships?
(c) Are housing authority residents selling or using drugs, or
committing the crimes?
(d) What about non-residents?
(e) What are the problem(s) you need technical assistance to
address and how will you know that the technical assistance provided
was successful in addressing the problem?
Applicants cannot request PHDE-TA by answering ``to conduct a needs
assessment or survey;'' they must be able to answer the above
questions, and discuss what prevents them from identifying, describing
and/or measuring the problems.
(4) The application must answer the following questions:
(a) Describe what type of technical assistance you need and how you
will know it has been successful?
(b) What specific output, outcome, results, or deliverables do you
expect from the consultant?
(5) The application must describe the steps you and your
organization are currently taking to measure, understand or address the
drug-related crime problem in your development or housing authority.
(6) The application must describe how the proposed assistance will
allow you to develop an anti-drug, anti-crime strategy; or describe how
the proposed assistance fits into your current strategy.
(7) The application must describe and provide documentation
evidencing commitment to providing continued support of anti-drug and
anti-crime activities. This must include the community's
recommendations in developing and implementing the grant application
and in working cooperatively in ensuring success occurs. Applications
must include a description of how the community was involved in
developing the application and resolutions of support from law
enforcement officials and community service providers. The application
must include a memorandum of understanding or other written agreement
between the parties involved (e.g., housing authority, applicant, law
enforcement officials and community service providers).
(8) The application must include a form, ``HUD Field Office/AONAP
Confirmation Form.''
(C) Application Awards
(1) If the application is deemed eligible for funding and
sufficient funds are available, the applicant will be contacted by HUD
or its agent to confirm the work requirements.
(2) If HUD receives more than one application from a HA or TDHE; or
group of RCs, ROs or RMCs in proximity to one another, HUD may exercise
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. The TA Consultant Database is then
searched for at least three consultants who have:
(a) A principal place of business or residence located within a
reasonable distance from the applicant, as determined by HUD or its
agent;
(b) The requisite knowledge and skills to assist the applicant in
addressing its needs; and
(c) The most reasonable fees.
A list of the suggested consultants is forwarded to the applicant
from the consultant data base which is updated annually. From this
list, the applicant recommends a consultant to provide the requested
technical assistance.
(3) The applicant must contact at least three TA consultants from
the list provided. HUD may request confirmation from each recommended
consultant. If HUD determines that any consultant was not contacted,
HUD may consider the recommendation by the applicant void, and can
choose a consultant independent of the applicant. After contacting each
consultant, the applicant must send a written justification to HUD with
a list of the consultants in order of preference, indicating any that
are unacceptable, and stating the reasons for its preference. If the
applicant finds that all referred consultants lack the requisite
expertise, they must provide written documentation justifying this
decision. If after HUD review, it is determined that the justification
provided is adequate, the applicant will be provided with a second list
of potential consultants. If the applicant does not provide HUD the
written justification of consultant choice within 30 calendar days, HUD
reserves the right to cancel the Technical Assistance. There is no
guarantee that the applicant's first preference will be approved.
Consultants will only be approved for the PHDE-TA if the request is not
in conflict with other requests for the consultant's services.
(4) HUD or its agent will work with the consultant and applicant to
develop a ``statement of work.'' The statement of work should include:
a time line and estimated budget; 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 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. When HUD has completed the
authorization to begin work, the consultant is contacted to start work.
The consultant must receive written authorization from HUD or its
authorized agent before beginning to provide technical assistance under
this PHDE-TA Program section of the SuperNOFA. The applicant and the
relevant Field Office or Area Office of Office of Native American
Programs will also be notified. 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. Work begun before
the authorized date will be considered unauthorized work and may not be
compensated by HUD.
(D) Application Process for Consultants
(1) Individuals or entities interested in being listed in the PHDE-
TA Consultant Database should prepare their applications and send them
to the address specified in the application kit. Before they can be
entered into the Consultant Database, consultants 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 public housing authority,
Tribe or TDHE, RC, RO or RMC;
(b) A resume;
(c) Evidence submitted by the consultant to HUD that documents the
standard daily fee previously paid to the consultant for technical
assistance services similar to those requested under this PHDE-TA
Program section of the SuperNOFA.
(i) For consultants who can justify up to the equivalent of ES-IV,
or $462.00 per day, this evidence may include an
[[Page 15617]]
accountant's statement, W-2 Wage Statements, or payment statements, and
it should be 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).
(ii) For consultants who can justify above the equivalent of ES-IV,
or $462.00 per day, there must be three forms of documentation of the
daily rate: (1) A previous invoice and payment statement showing the
daily rate charged and paid, or the overall amount paid and the number
of days for work of a similar nature to that offered in this PHDE-TA
program;
(2) A certified accountant's statement outlining the daily rate
with an explanation of how the rate was calculated by the accountant.
This should include at a minimum the total number of jobs of a similar
nature completed by the consultant in the past 12 months, an
explanation of the specific jobs used to calculate the rate, and the
daily rates for each of the jobs used to justify the rate; and
(3) A signed statement from the consultant that the certified daily
rate was charged for work of a nature similar to that being provided
for the Drug Elimination Technical Assistance Program. The accountant
must be able to demonstrate independence from the consultant's
business.
(2) No one individual may have active at one time any more than
three contracts or purchase orders nor be involved with more than one
company at a time that has active Technical Assistance contracts. If an
individual is working as a member of a multi-person firm, the key
individual for the specific contract must be listed on the contract as
the key point of contact. The key 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 three purchase orders active
at the same time.
(3) HUD will determine a specific fee to pay a consultant based
upon the evidence submitted under this PHDE-TA Program section of this
SuperNOFA.
(4) Consultants may not be requested by name in any application.
HUD or its agent will recommend consultants considering at least three
elements including previous experience, proximity and cost. Section I
of this PHDE-TA section of this SuperNOFA explains this further.
(5) An employee of a housing agency (HA), Tribe, or TDHE may not
serve as a consultant to his or her employer. A HA employee who serves
as a consultant to other than their employer must be on annual leave to
receive the consultant fee.
IV. Application Submission Requirements
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.
V. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VI. 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.
Federal Register / Vol. 63, No. 61 / Tuesday, March 31, 1998 /
Notices
[[Page 15619]]
Appendix A to SuperNOFA--HUD Field Office Contact Information
Not all Field Offices listed handle all of the programs
contained in the SuperNOFAs. 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 AM-4:30 PM
Maine State Office, 99 Franklin Street, Third Floor, Suite 302,
Bangor, ME 04401-4925, 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: 7:30 AM-4:00 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-500 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., Suite 450,
Washington, DC 20002-4205, 202-275-9200, Office Hours: 8:30 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: 8:30 AM-4:30 PM
Pennsylvania State Office, The Wanamaker Building, 100 Penn Square
East, Philadelphia, PA 19107-3380, 215-656-0600, Office Hours: 8:30
AM-4:30 PM
Pittsburgh Area Office, 339 Sixth Avenue, Sixth Floor, Pittsburgh,
PA 15222-2515, 412-644-6428, Office Hours: 8:30 AM-4:30 PM
Virginia State Office, The 3600 Centre, 3600 West Broad Street,
Richmond, VA 23230-4920, 804-278-4539, Office Hours: 8:30 AM-430 PM
West Virginia State Office, 405 Capitol Street, Suite 708,
Charleston, WV 25301-1795, 304-347-7000, Office Hours: 8:00 AM-430
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-430 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-430 PM
Florida State Office, Gables One Tower, 1320 South Dixie Highway,
Coral Gables, FL 33146-2926, 305-662-4500, 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-430 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-4445 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 27407-3707, 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
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 Truman Street, N.E., Albuquerque, NM
87110-6472, 505-262-6463, Office Hours: 7:45 AM-4:30 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
Tulsa Area Office, 50 East 15th Street, Tulsa, OK 74119-4030, 918-
581-7434, Office Hours: 8:00 AM-4:30 PM
[[Page 15620]]
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, 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, 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, 1575 Delucchi Lane, Suite 114, Reno, NV 89502-
6581, 702-784-5356, Office Hours: 8:00 AM-4:30 PM
Sacramento Area Office, 777-12th Street, Suite 200, 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, 3 Hutton Centre Drive, Suite 500, Santa Ana,
CA 92707-5764, 714-957-3745, 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 99508-4135, 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, Farm Credit Bank Building, Eighth Floor East,
West 601 First Avenue, Spokane, WA 99204-0317, 509-353-2510, 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. 98-8102 Filed 3-30-98; 8:45 am]
BILLING CODE 4210-32-P
