[Federal Register Volume 59, Number 93 (Monday, May 16, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-11762]
[[Page Unknown]]
[Federal Register: May 16, 1994]
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Part III
Department of Housing and Urban Development
_______________________________________________________________________
Office of the Assistant Secretary for Fair Housing and Equal
Opportunity
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Fair Housing Initiatives Program; FY 1994 Competitive Solicitation;
Notice of Funding Availability
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of the Assistant Secretary for Fair Housing and Equal
Opportunity
[Docket No. N-94-3755; FR-3622-N-01]
NOFA for Fair Housing Initiatives Program; FY 1994 Competitive
Solicitation
AGENCY: Office of the Assistant Secretary for Fair Housing and Equal
Opportunity, HUD.
ACTION: Notice of funding availability (NOFA).
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SUMMARY: This NOFA announces the availability of up to $14,881,000 of
1994 Fiscal Year (FY) funding for the Fair Housing Initiatives Program
(FHIP). 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. In the body
of this document is information concerning the purpose of the NOFA,
eligibility, available amounts, selection criteria, how to apply for
funding, and how selections will be made.
DATES: An application kit for funding under this Notice will be
available following publication of the Notice. The actual application
due date will be specified in the application kit. However, applicants
will be given at least 60 days from today's date, until July 15, 1994,
to submit their applications. Applications will be accepted if they are
received on or before the application due date, or are received within
7 days after the application due date, but with a U.S. postmark or
receipt from a private commercial delivery service (such as, Federal
Express or DHL) that is dated on or before the application due date.
ADDRESSES: To obtain a copy of the application kit, please write the
Fair Housing Information Clearinghouse, Post Office Box 6091,
Rockville, MD 20850 or call the toll free number 1-800-343-3442. Please
also contact this number if information concerning this NOFA is needed
in an accessible format.
FOR FURTHER INFORMATION CONTACT: Jacquelyn J. Shelton, Director, Office
of Fair Housing Assistance and Voluntary Programs, room 5234, 451
Seventh Street, SW., Washington, DC 20410-2000. Telephone number (202)
708-0800. A telecommunications device (TDD) for hearing and speech
impaired persons is available at (202) 708-0455. (These are not toll-
free numbers.)
SUPPLEMENTARY INFORMATION:
Paperwork Reduction Act Statement
Application requirements associated with this program have been
approved by the Office of Management and Budget, under section 3504(h)
of the Paperwork Reduction Act of 1980 (44 U.S.C. 3054(h)), and
assigned OMB control number 2529-0033.
I. Purpose and Substantive Description
(a) Authority
Title VIII of the Civil Rights Act of 1968, as amended, 42 U.S.C.
3601-19 (Fair Housing Act), charges the Secretary of Housing and Urban
Development with responsibility to accept and investigate complaints
alleging discrimination based on race, color, religion, sex, handicap,
familial status or national origin in the sale, rental, or financing of
most housing. In addition, the Fair Housing Act directs the Secretary
to coordinate action with State and local agencies administering fair
housing laws and to cooperate with, and render technical assistance to,
public or private entities carrying out programs to prevent and
eliminate discriminatory housing practices.
Section 561 of the Housing and Community Development Act of 1987,
42 U.S.C. 3616 note, established the Fair Housing Initiatives Program
(FHIP) to strengthen the Department's enforcement of the Fair Housing
Act and to further fair housing. 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. Implementing regulations are found at 24 CFR part 125.
Three general categories of activities were established at 24 CFR
part 125 for FHIP funding under section 561 of the Housing and
Community Development Act of 1987: The Administrative Enforcement
Initiative, the Education and Outreach Initiative, and the Private
Enforcement Initiative. Section 905 of the Housing and Community
Development Act of 1992 (HCDA 1992) (Pub. L. 102-550, approved October
28, 1992), amended section 561 by adding specific eligible applicants
and activities to the Education and Outreach and Private Enforcement
Initiatives, as well as an entirely new Fair Housing Organizations
Initiative.
More significantly, section 905 has established FHIP as a permanent
program. As originally promulgated by section 561, FHIP was a
demonstration program authorized to expire on September 30, 1992. Since
this demonstration period has passed, and FHIP is now a permanent
program, the Department has determined that the requirements
specifically tied to the demonstration period, namely, the testing
guidelines at Sec. 125.405, are no longer applicable to FHIP.
Accordingly, the use of these testing guidelines is not required under
this NOFA. The Department has executed a waiver of Sec. 125.405 for the
purposes of this NOFA, pending the elimination of this provision in the
revision of 24 CFR part 125. Because section 905 does not eliminate any
FHIP provisions other than those related to its status as a
demonstration program, the Initiatives and activities currently
eligible under 24 CFR part 125 remain eligible under this NOFA.
This NOFA further incorporates the HCDA 1992 section 905 FHIP
additions to the extent of including the new eligible applicants and
activities, and the new Fair Housing Organizations Initiative. For the
purpose of future funding rounds, the Department is soliciting in a
separate proposed rule comments on the amendment of 24 CFR part 125 by
section 905. The proposed rule will be published shortly in the Federal
Register. However, applications for FY 1994 funds will be subject to
the requirements and deadlines in this NOFA. Eligible applicants should
not wait for the rule's publication to prepare and submit their FY 1994
applications in response to this NOFA.
Two of the new eligible applicants, fair housing enforcement
organizations and qualified fair housing enforcement organizations, are
given specific definitions, which apply to this NOFA, in section 905:
Fair housing enforcement organization means any organization that--
(1) Is organized as a private, tax-exempt, nonprofit, charitable
organization;
(2) Is currently engaged in complaint intake, complaint
investigation, testing for fair housing violations and enforcement of
meritorious claims; and
(3) Upon the receipt of FHIP funds will continue to be engaged in
complaint intake, complaint investigation, testing for fair housing
violations and enforcement of meritorious claims.
Qualified fair housing enforcement organization means any
organization, whether or not it is solely engaged in fair housing
enforcement activities, that--
(1) Is organized as a private, tax-exempt, nonprofit, charitable
organization;
(2) Has at least 2 years experience in complaint intake, complaint
investigation, testing for fair housing violations and enforcement of
meritorious claims; and
(3) Is engaged in complaint intake, complaint investigation,
testing for fair housing violations and enforcement of meritorious
claims at the time of application for FHIP assistance.
The program components of FHIP are described in the Catalog of
Federal Domestic Assistance at 14.408, Administrative Enforcement
Initiative; 14.409, Education and Outreach Initiative; 14.410, Private
Enforcement Initiative; and 14.413, Fair Housing Organizations
Initiative.
(b) Allocation Amounts
For FY 1994, the Departments of Veterans Affairs and Housing and
Urban Development, and Independent Agencies Appropriations Act, 1994
(approved October 28, 1993, Pub. L. 103-124), (94 App. Act)
appropriated $20,481,000 for the FHIP program. Of this amount,
$2,000,000 of Private Enforcement Initiative funds will be used to fund
the second year of two-year projects approved under the FY 1993 FHIP
NOFA; $2,000,000 of Private Enforcement Initiative funds will be made
available for special projects to be announced in a separate NOFA; and
$1,600,000 of Fair Housing Organizations Initiative funds will be used
to fund the second year of two-year projects to establish new
organizations approved under the FY 1993 FHIP NOFA. The remaining
$14,881,000 is being made available on a competitive basis to eligible
organizations that submit timely applications and are selected in
response to this NOFA. The funding selections will be made on the basis
of criteria for eligibility, factors for award, and completeness of
budget information. The Department retains the right to shift funds
between FHIP Initiatives, listed below, within statutorily prescribed
limitations. The amounts included in this NOFA are subject to change
based on fund availability. The total amount available under this NOFA
will be divided among the four FHIP Initiatives as follows:
(1) Administrative Enforcement Initiative. The amount of $1.5
million in FY 1994 funds is available under this NOFA for the
Administrative Enforcement Initiative.
(2) Education and Outreach Initiative. The amount of $3 million in
FY 1994 funds is available under this NOFA for the Education and
Outreach Initiative. Of this amount, $1.5 million is available for
national programs, of which $200,000 is designated for Fair Housing
Month activities. Of the remaining $1.5 million, $1 million is
available for regional and local programs, and $500,000 is for
community-based programs.
(3) Private Enforcement Initiative. The amount of $4,981,000 in FY
1994 funds is available under this NOFA for the Private Enforcement
Initiative. Of this amount, $2,981,000 will be available for two-year
projects, with the commitment of second year funding, in an amount not
to exceed the first year's funding, subject to annual appropriations
and annual performance reviews. The remaining $2 million is for one-
year projects.
(4) Fair Housing Organizations Initiative. This NOFA makes $5.4
million in FY 1994 funds available for activities under the Fair
Housing Organizations Initiative. Of this amount, $2.5 million in FY
1994 funds is available for the purpose of the continued development of
existing organizations under the Fair Housing Organizations Initiative.
The remaining $2.9 million will be available for two-year projects for
the purpose of establishing new organizations, with the commitment of
second year funding subject to annual appropriations and annual
performance reviews.
(c) Eligibility
Eligible activities, eligible applicants, and additional
requirements under each Initiative are listed below. All activities and
materials funded by FHIP must be reasonably accessible to persons with
disabilities. The Department is particularly interested in projects
that address fair housing issues confronting persons with disabilities.
(1) Administrative Enforcement Initiative
(i) Eligible applicants. The Administrative Enforcement Initiative
provides funding to State and local fair housing agencies administering
fair housing laws certified by the Secretary as providing rights and
remedies that are substantially equivalent to those provided in the
Fair Housing Act. A State or local fair housing agency, to be eligible
to participate in the Administrative Enforcement Initiative, must be
certified by the Assistant Secretary as substantially equivalent under
24 CFR part 115, or have entered into an agreement with the Department
for interim referrals, as provided in 24 CFR 115.11.
(ii) Eligible activities. Funding will be available to support
enforcement and compliance activities conducted by eligible State and
local agencies. Eligible activities may include (but are not limited
to) the following:
(A) Projects that focus on the areas of mortgage lending, insurance
redlining, and appraisal practices;
(B) Discovering and providing remedies for discrimination in the
public and private real estate markets and real estate-related
transactions, including, but not limited to, the making or purchasing
of loans, the provision of other financial assistance for sales and
rentals of housing, including insurance redlining and appraisal
practices, and housing advertising;
(C) Implementing fair housing testing and other related enforcement
activity programs;
(D) Conducting investigations of systemic discrimination for
further enforcement processing by State or local agencies, or for
referral to HUD and the Department of Justice; and
(E) Developing new procedures to increase the efficiency of
operations, such as the use of computers for case processing, tracking,
and Home Mortgage Disclosure Act (HMDA) analysis.
(iii) Additional requirements. (A) Testers in testing activities
funded with Administrative Enforcement Initiative 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.
(B) Term of contract. Administrative Enforcement Initiative funding
is only available for one-year projects, which may be for up to
eighteen months in duration.
(C) Projects that appear to be aimed solely or primarily at
research or data-gathering unrelated to existing or planned fair
housing enforcement programs will not be approved. Data-gathering
activities will require OMB approval under the Paperwork Reduction Act
before commencement of the activity.
(D) No recipient of assistance under the Administrative Enforcement
Initiative may use any funds provided by the Department for the payment
of expenses in connection with litigation against the United States.
(E) Case tracking log requirement. Recipients of funds under the
Administrative Enforcement Initiative 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 discrimination received; the basis of these
complaints; the type and number of tests utilized in the investigation
of each allegation; the time for case processing, including
administrative or judicial proceedings; the cost of testing activities
and case processing; and case outcome or relief provided. The recipient
must agree to make this log available to HUD.
(2) Education and Outreach Initiative
(i) Eligible applicants. The following types of organizations are
eligible to receive funding under the Education and Outreach
Initiative:
(A) State or local governments;
(B) Qualified fair housing enforcement organizations (QFHO-Es);
(C) Fair housing enforcement organizations (FHO-Es);
(D) 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;
(E) Fair Housing Assistance Program (FHAP) Agencies--State and
local agencies funded by the Fair Housing Assistance Program (FHAP);
and
(F) Community Housing Resource Boards (CHRBs).
(ii) Eligible activities. (A) In general. Each application for
Education and Outreach Initiative funding must identify if it proposes
a national, Fair Housing Month, regional or local, or community-based
program. The kinds of activities that may be funded through this
Initiative may include (but are not limited to) the following:
(1) Projects that focus on informing persons with disabilities,
and/or their support organizations and service providers, housing
providers, and the general public on the rights of disabled persons
under the Fair Housing Act and on the location or availability of
accessible housing or the modification of non-accessible housing are
particularly encouraged;
(2) Projects that provide guidance to housing providers on meeting
their Fair Housing Act obligation to make reasonable accommodations for
persons with disabilities are also encouraged;
(3) Projects that will provide housing, mortgage lending,
appraisal, and insurance counseling services;
(4) Developing informative material on fair housing rights and
responsibilities;
(5) Developing fair housing and affirmative marketing instructional
material for educational programs for national, regional and local
housing industry groups;
(6) Providing educational seminars and working sessions for civic
associations, community-based organizations, and other groups;
(7) Developing educational material targeted at persons in need of
specific or additional information on their fair housing rights;
(8) Developing national, regional or local media campaigns
regarding fair housing;
(9) Bringing housing industry and civic or fair housing groups
together to identify illegal real estate practices and to determine how
to correct them;
(10) Designing specialized outreach projects to inform all persons
of the availability of housing opportunities;
(11) Developing and implementing a response to new or more
sophisticated practices that result in discriminatory housing
practices;
(12) Developing mechanisms for the identification of, and quick
response to, housing discrimination cases involving the threat of
physical harm;
(13) Developing and implementing school curriculums for fair
housing courses;
(14) Developing and implementing a response to community opposition
to the location of residential facilities for persons with
disabilities, as defined under the Fair Housing Act, where supportive
health or human services are provided in connection with the housing;
and
(15) Developing materials and providing technical assistance to
support compliance with housing adaptability and accessibility
guidelines contained in the 1988 Fair Housing Amendments Act.
(B) National programs. (1) Activities eligible to be funded as
national programs shall be designed to provide a centralized,
coordinated effort for the development and dissemination of fair
housing media products that may appropriately be used on a nationwide
basis, including:
(i) Public service announcements, both audio and video;
(ii) Television, radio and print advertisements;
(iii) Posters; and
(iv) Pamphlets and brochures.
(2) National Fair Housing Month. Applicants must separately
indicate if they are applying for funding of activities related to the
annual National Fair Housing Month. Fair Housing Month activities must
be directed toward all protected class members.
(3) National program applications, including those for Fair Housing
Month funding, will receive a preference of up to ten additional points
if they:
(i) Demonstrate cooperation with real estate industry organizations
(up to five points); and/or
(ii) Provide for the dissemination of educational information and
technical assistance to support compliance with the housing
adaptability and accessibility guidelines contained in the Fair Housing
Amendments Act of 1988 (up to five points).
(C) Regional, local, and community-based programs.
(1) Activities eligible to be funded as regional, local, or
community-based programs include any of the activities, to be
implemented on a regional, local or community-based level, listed in
paragraphs I.(c)(2)(ii)(A) and I.(c)(2)(ii)(B)(1), above, of this NOFA.
Community-based programs include school, church and community
presentations, conferences or other educational activities.
(2) For the purposes of this NOFA, activities that are ``local'' in
scope are activities that are limited to a single unit of general local
government, meaning a city, town, township, county, parish, village, or
other general purpose political subdivision of a State. Activities that
are ``regional'' in scope are activities that cover adjoining States or
two or more units of general local government within a state.
Activities that are ``community-based'' in scope are those which are
primarily focused on a particular geographic area within a unit of
general local government.
(3) Every regional, local, or community-based program application
must include as one of its activities a procedure for referring persons
with Fair Housing complaints to State or local agencies, private
attorneys, or HUD and the Department of Justice for further enforcement
processing.
(4) Projects for community-based activities proposed by community-
based organizations will receive a preference of five additional
points. For the purposes of this NOFA, a community-based organization
is an organization whose members primarily come from a particular
geographic area within a unit of general local government.
(iii) Additional requirements. The following requirements are
applicable to all applications under the Education and Outreach
Initiative:
(A) All projects must address or have relevance to housing
discrimination based on race, color, religion, sex, handicap, familial
status or national origin.
(B) Projects may range in length from six to eighteen months in
duration.
(C) Projects that appear to be aimed solely or primarily at
research or data-gathering will not be approved. Data-gathering
activities will require OMB approval under the Paperwork Reduction Act
before commencement of the activity.
(3) Private Enforcement Initiative
(i) Eligible applicants. Organizations that are eligible to receive
FY 1994 funding assistance under the Private Enforcement Initiative
are:
(A) Qualified fair housing enforcement organizations.
(B) Fair housing enforcement organizations with at least 1 year of
experience in complaint intake, complaint investigation, testing for
fair housing violations and enforcement of meritorious claims.
(ii) Eligible activities. Applications are solicited for one- and
two-year project proposals as described in 24 CFR 125.403 and in this
NOFA. Applications may designate up to 10% of requested funds to
promote awareness of the services provided by the project, but such
promotion must be necessary for the successful implementation of the
project. Project applications may involve:
(A) Building the capacity to investigate, through testing and other
investigative methods, housing discrimination complaints based upon
mental and/or physical disabilities;
(C) Discovering and providing remedies for discrimination in the
public and private real estate markets and real estate-related
transactions, including, but not limited to, the making or purchasing
of loans, the provision of other financial assistance for sales and
rentals of housing, including insurance redlining and appraisal
practices, and housing advertising;
(D) Conducting investigations of systemic housing discrimination
for further enforcement processing by State or local agencies, or for
referral to private attorneys or to HUD and the Department of Justice;
(E) Professionally conducting testing or other investigative
support for administrative and judicial enforcement;
(F) Linking fair housing organizations regionally in enforcement
activities designed to combat broader housing market discriminatory
practices;
(G) Establishing effective means of meeting legal expenses in
support of litigation of fair housing cases;
(H) Testing and other investigative activities, including building
the capacity for housing investigative activities in unserved or
underserved areas;
(I) Carrying out special projects, including the development of
prototypes to respond to new or sophisticated forms of discrimination
against persons protected under title VIII, such as in the areas of
independent living and architectural barriers;
(J) Providing funds for the costs and expenses of litigation,
including expert witness fees.
(iii) Additional requirements.
(A) Testers in testing activities funded with Private Enforcement
Initiative 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.
(B) One-year projects may be for up to eighteen months in duration.
Two-year projects must be twenty-four months in duration, and funding
for the second year of a project is subject to a performance review of
the first year's activities and available annual appropriations.
(C) Projects that appear to be aimed solely or primarily at
research or data-gathering unrelated to existing or planned fair
housing enforcement programs will not be approved. Data-gathering
activities will require OMB approval under the Paperwork Reduction Act
before commencement of the activity.
(D) In accordance with 24 CFR 125.404, no recipient of assistance
under the Private Enforcement Initiative may use any funds provided by
the Department for the payment of expenses in connection with
litigation against the United States.
(E) Recipients of funds under the Private Enforcement Initiative
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 discrimination
received; the basis of these complaints; the type and number of tests
utilized in the investigation of each allegation; the time for case
processing, including administrative or judicial proceedings; the cost
of testing activities and case processing; and case outcome or relief
provided. The recipient must agree to make this log available to HUD.
(4) Fair Housing Organizations (FHO) Initiative.
(i) Purpose: Continued Development of Existing Organizations.
(A) Eligible applicants. Eligible applicants for funding under this
purpose of the FHO Initiative are:
(1) Qualified fair housing enforcement organizations;
(2) Other private nonprofit fair housing enforcement organizations;
and
(3) Nonprofit groups organizing to build their capacity to provide
fair housing enforcement.
(B) Eligible activities. Eligible activities for funding under this
purpose of the FHO Initiative are any activities listed as eligible
under the Private Enforcement Initiative in section I.(c)(3)(ii) of
this NOFA and carried out as one-year projects.
(C) Additional requirements. The following requirements apply to
activities funded under the Continued Development of Existing
Organizations purpose of the FHO Initiative:
(1) Operating budget limitation. Funding under this purpose of the
FHO Initiative may not be used to provide more than 50 percent of the
operating budget of a recipient organization for any one year. For
purposes of the limitation in 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 year
for which funding is sought.
(2) Term of contract. One-year projects may be for up to eighteen
months in duration.
(ii) Purpose: Establishing New Organizations.
(A) Eligible applicants. Any applicants eligible under any of the
other FHIP Initiatives in this NOFA are eligible applicants for funding
under this purpose of the FHO Initiative.
(B) Eligible activities. Eligible for funding under this purpose of
the FHO Initiative are two-year projects that help establish, organize,
and build the capacity of fair housing enforcement organizations in the
targeted unserved and underserved areas identified in sections
I.(c)(4)(ii)(C), or other underserved areas identified by the applicant
in accordance with section I.(c)(4)(ii)(D), below, of this NOFA. The
Department has considered a number a factors to identify the targeted
areas eligible for funding under this NOFA, including, for example, the
amount of funds available; the lack of substantially equivalent state
or local agencies, or private enforcement groups; and the presence of
large concentrations of protected classes. In future NOFAs, the
Department will consider additional targeted areas for funding.
(C) Targeted areas.
(1) A preference of ten additional points will be given for
applications that propose to establish new fair housing enforcement
organizations in localities within any of the following unserved areas:
(i) New Hampshire;
(ii) New Mexico;
(iii) Puerto Rico; and
(iv) Wyoming.
(2) A preference of five additional points will be given for
applications that propose to establish new fair housing enforcement
organizations in localities within any of the following underserved
areas:
(i) Alabama;
(ii) Louisiana;
(iii) Mississippi;
(iv) Nebraska;
(v) Oregon; and
(vi) Utah.
(3) An applicant may seek funding to establish a new organization
in a locality not included in the list of target areas, above, but in
such a case, the applicant must submit sufficient evidence to establish
the proposed area as being currently underserved by fair housing
enforcement organizations and as containing large concentrations of
protected classes. An applicant may provide additional evidence of the
need to establish a fair housing organization in a locality by citing
data and studies that indicate the presence of housing discrimination
and/or segregation in the locality. An example of evidence that may be
used for this purpose is provided in (but is not limited to) the study,
American Apartheid: Segregation and the Making of the Underclass, by
Nancy A. Denton and Douglas S. Massey (Harvard University Press, 1993).
(D) Additional requirements. The following requirements apply to
activities funded under the Establishing New Organizations purpose of
the FHO Initiative:
(1) Term of contract. Two-year projects must be twenty-four months
in duration, and funding for the second year of a project is subject to
a performance review of the first year's activities and available
annual appropriations.
(iii) Additional Requirements. The following requirements apply to
all activities funded under the Fair Housing Organizations Initiative:
(A) Testers in testing activities funded with FHO Initiative 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.
(B) Projects that appear to be aimed solely or primarily at
research or data-gathering unrelated to existing or planned fair
housing enforcement programs will not be approved. Data-gathering
activities will require OMB approval under the Paperwork Reduction Act
before commencement of the activity.
(C) No recipient of assistance under the FHO Initiative may use any
funds provided by the Department for the payment of expenses in
connection with litigation against the United States.
(D) Recipients of funds under the FHO Initiative 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 discrimination received; the
basis of these complaints; the type and number of tests utilized in the
investigation of each allegation; the time for case processing,
including administrative or judicial proceedings; the cost of testing
activities and case processing; and case outcome or relief provided.
The recipient must agree to make this log available to HUD.
(d) Selection Criteria/Ranking Factors
(1) Selection Criteria for Ranking Applications for Assistance
In addition to the preference points indicated in section I.(c) for
particular activities, all projects proposed in applications will be
ranked on the basis of the following criteria for selection:
(i) The anticipated impact of the project proposed on the concerns
identified in the application. (25 points) In determining the
anticipated impact of the proposed project, HUD will consider the
degree to which a proposed project addresses problems and issues that
are significant fair housing problems and issues, as explained in the
application, or based upon other information available to HUD. (The
clarity and thoroughness of the project description can be considered
in this determination.) This criterion will be judged on the basis of
the applicant's submissions in response to paragraph III. (a)(1) of
this NOFA under the heading ``Checklist of Application Submission
Requirements.''
(ii) The extent to which the project will provide benefits in
support of fair housing after funded activities have been completed.
(25 points) In determining the extent to which the project will provide
benefits after funded activities have been completed, HUD will consider
the degree to which the project will be of continuing use in dealing
with housing discrimination after funded activities have been
completed. This criterion will be judged on the basis of the
applicant's submissions in response to paragraph III.(a)(6) and
III.(a)(7) of this NOFA under the heading ``Checklist of Application
Submission Requirements.''
(iii) The extent to which the project will provide the maximum
impact on the concerns identified in a cost-effective manner. (20
points) In determining the extent to which the project will provide the
maximum impact on the concerns identified in a cost effective manner,
HUD will consider the quality and reasonableness of the proposed
activities, timeline and budget for implementation and completion of
the project. HUD will consider as well the adequacy and clarity of
proposed procedures to be used by the agency for monitoring the
progress of the project and ensuring its timely completion. These
procedures may consist of a system for checking whether or not the
milestones established by the project's timeline are being met. The
applicant's capability in handling financial resources (e.g., adequate
financial control procedures, accounting procedures) will be taken into
account as part of the assessment. This may be evidenced by the
applicant's financial management of previous FHIP or other civil rights
project management, a certification from cognizant auditor, and other
documentation. This criterion will be judged on the basis of the
applicant's submissions in response to paragraphs III.(a)(2), and
III.(a)(5) of this NOFA under the heading ``Checklist of Application
Submission Requirements.''
(iv) The extent to which the applicant's professional and
organizational experience will further the achievement of project
goals. (20 points) In determining the extent to which the applicant's
professional and organizational experience will further the achievement
of the project's goals, HUD will consider the applicant's experience in
formulating and carrying out programs to prevent or eliminate
discriminatory practices, including the applicant's management of past
and current FHIP or other civil rights projects, the experience and
qualifications of existing personnel identified for key positions, or a
description of the qualifications of new staff that will be hired,
including subcontractors/consultants. For organizations submitting an
application under the Education and Outreach Initiative, HUD will
consider both fair housing experience and experience in implementing
education, outreach or public information programs. This criterion will
be judged on the basis of the applicant's submissions in response to
paragraph III.(a)(3) of this NOFA under the heading ``Checklist of
Application Submission Requirements.''
(v) The extent to which the project utilizes other public or
private resources that may be available. (10 points). Both monetary and
in-kind resources identified in the application are eligible for
determining the extent to which other public or private resources are
available. The resources that will be considered must be targeted
specifically for the proposed project, and must be over and above the
resources available to the applicant as a part of its usual, non-
project operations for such expenses as salaries, equipment, supplies,
and rent. This criterion will be judged on the basis of the applicant's
submissions in response to paragraph III.(a)(4) of this NOFA under the
heading ``Checklist of Application Submission Requirements.''
(2) Selection Process
Each application for funding will be evaluated competitively, and
awarded points based on the Selection Criteria for Ranking Applications
for Assistance identified in section I.(d)(1) of this NOFA. The final
decision rests with the Assistant Secretary or designee. After eligible
applications are evaluated against the factors for award and assigned a
score, they will be organized by rank order. The rank ordering will be
done separately for: Each Initiative; each program component (national,
National Fair Housing Month, regional/local, and community-based) of
the Education and Outreach Initiative; each purpose (continued
development of existing organizations, and establishing new
organizations) under the Fair Housing Organizations Initiative, or
funding cycle (one-year and two-year projects) under the Private
Enforcement Initiative. Awards for each Initiative will be funded in
rank order until all available funds have been obligated, or until
there are no acceptable applications.
(3) Cost Factors
The Department expects to fund multiple applications as a result of
this NOFA. At some point, however, two or more complete and eligible
applications, after evaluation against the Selection Criteria, may be
considered equal in technical merit. At that point, the project's cost
will become the deciding factor. Furthermore, an applicant's proposal
will not be funded when costs are determined to be unrealistically low
or unreasonably high.
(e) Applicant Notification and Award Procedures
(1) Notification
No information will be available to applicants during the period of
HUD evaluation, except for notification in writing 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.
(2) Negotiations
After HUD has ranked the applications and made an initial
determination of applicants whose scores are within the funding range
(but before the actual award), HUD may require that applicants in this
group participate in negotiations to determine the specific terms of
the cooperative or grant agreement. In cases where it is not possible
to conclude the necessary negotiations successfully, awards will not be
made.
If an award is not made to an applicant whose application is in the
initial funding threshold because of an inability to complete
successful negotiations, and if funds are available to fund any
applications that may have fallen outside the initial funding
threshold, HUD will select the next highest ranking applicant and
proceed as described in the preceding paragraph.
(3) Funding Instrument
HUD expects to award a cost reimbursable or fixed-price cooperative
or grant agreement to each successful applicant. HUD reserves the
right, however, to use the form of assistance agreement determined to
be most appropriate after negotiation with the applicant.
(4) Reduction of Requested Grant Amounts and Special Conditions
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 85.12, 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 application does not otherwise meet applicable cost
limitations established for the program;
(iii) The applicant has requested an ineligible activity;
(iv) 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;
(v) The applicant has demonstrated an inability to manage HUD
grants, particularly Fair Housing Initiatives Program grants; or
(vi) For any other reason where good cause exists.
(5) 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, reduction or limitation of further
funding for administrative enforcement activities, and denial of
further participation in programs of the Department or of any Federal
agency.
II. Application Process
An application kit is required as the formal submission to apply
for funding. The kit includes information on the Management Work Plan
and Budget for activities proposed by the applicant. An application may
be obtained by writing the Fair Housing Information Clearinghouse, Post
Office Box 6091, Rockville, MD 20850, or by calling the toll free
number 1-800-343-3442. To ensure a prompt response, it is suggested
that requests for application kits be made by telephone.
Completed applications are to be submitted to Aztec Jacobs, Funded
Programs Division, Office of Fair Housing and Equal Opportunity,
Department of Housing and Urban Development, Room 5234, 451 Seventh
Street, SW., Washington, DC 20410.
The application due date will be specified in the application kit.
However, applicants will be given at least 60 days from today's date,
until July 15, 1994, to submit their applications. Applications will be
accepted if they are received on or before the application due date, or
are received within 7 days after the application due date, but with a
U.S. postmark or receipt from a private commercial delivery service
(such as, Federal Express or DHL) that is dated on or before the
application due date.
The application deadline is firm as to date. In the interest of
fairness to all competing applicants, the Department will treat as
ineligible for consideration any application that is received after the
deadline. Applicants should take this practice into account and make
early submission of their materials to avoid any risk of loss of
eligibility brought about by unanticipated delays or other delivery-
related problems. A transmission by facsimile machine (``FAX'') will
not constitute delivery.
An applicant may apply for funding for more than one project or
activity, but a separate application must be submitted for each of the
following categories of funding:
(1) Administrative Enforcement Initiative activities;
(2) National programs under the Education and Outreach Initiative;
(3) National Fair Housing Month activities under the Education and
Outreach Initiative;
(4) Regional or local activities under the Education and Outreach
Initiative;
(5) Community-based activities under the Education and Outreach
Initiative;
(6) One-year projects under the Private Enforcement Initiative;
(7) Two-year projects under the Private Enforcement Initiative;
(8) Continued Development of Existing Organizations activities
under the Fair Housing Organizations Initiative; and
(9) Establishing New Organizations activities under the Fair
Housing Organizations Initiative.
Although a separate application is required for each funding
category, an application may propose more than one type of eligible
activity under each category. For example, both production and
distribution of a public service message may be proposed in a single
application for a national program under the Education and Outreach
Initiative.
Applicants must submit all information required in the application
kit and must include sufficient information to establish that the
application meets the selection criteria set forth in section I.(d),
above, of this NOFA.
III. Checklist of Application Submission Requirements
(a) General requirements. The application kit will contain a
checklist of application submission requirements to complete the
application process. Each application for FHIP funding must contain the
following items:
(1) A description of the activities proposed for funding, and the
practice or practices at the community, local, regional or national
level that have adversely affected the achievement of the goal of fair
housing, and that will be addressed by the proposed activities. This
description must include a discussion and analysis of the housing
practices identified, including available information and studies
relating to discriminatory housing practices and their historical
background, and relevant demographic data indicating the nature and
extent of the impact of the described practices on persons seeking
dwellings or services related to the sale, rental or financing of
dwellings, in the general location where the applicant proposes to
undertake activities;
(2) A budget--which must include $3,000 for one-year projects, and
$6,000 for two-year projects--to be used for travel costs for training
sponsored by the Department--and a timeline for the implementation of
the proposed activities, consisting of a description of the specific
activities to be conducted with FHIP funds, the geographic areas to be
served by the activities, any reports to be produced in connection with
the activities, the cost of each proposed activity and a schedule for
the implementation and completion of the activities;
(3) A description of the applicant's experience in formulating or
carrying out programs to prevent or eliminate discriminatory housing
practices or in implementing other civil rights programs, the
experience and qualifications of existing personnel identified for key
positions, or a description of the qualifications of new staff to be
hired, including subcontractors/consultants;
(4) A statement indicating the need for FHIP funding in support of
the proposed project and an estimate of other public or private
resources that may be available to assist the proposed activities;
(5) A description of the procedures to be used by the applicant for
monitoring the progress of the proposed activities and the applicant's
planned or implemented financial control procedures that will
demonstrate the applicant's capability in managing financial resources;
(6) A description of the fair housing benefits that successful
completion of the project will produce, and the indicators by which
these benefits are to be measured, and;
(7) A description of the degree to which the project will be of
continuing use in dealing with housing discrimination after funded
activities have been completed;
(8) HUD Form 2880, Applicant Disclosures;
(9) A listing of any current or pending grants or contracts, or
other business or financial relationships or agreements, to provide
training, education, and/or self-testing services between the applicant
and any entity or organization of entities involved in the sale,
rental, advertising or provision of brokerage or lending services for
housing. The listing must include the name and address of the entity or
organization; a brief description of the services being performed or
for which negotiations are pending; the dates for performance of the
services; and the amount of the contract or grant. This listing must be
updated during the grant negotiation period, at the end of the grant
term, and for grants that will run for more than twelve months, at the
end of the twelfth month.
(10) The applicant must submit a certification and disclosure in
accordance with the requirements of section 319 of the Department of
the Interior Appropriations Act (Pub. L. 101-121, approved October 23,
1989), as implemented in HUD's interim final rule at 24 CFR part 87,
published in the Federal Register on February 26, 1990 (55 FR 6736).
This statute generally prohibits recipients and subrecipients of
Federal contracts, grants, cooperative agreements and 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. If warranted, the applicant should include the
Disclosure of Lobbying Activities form (SF-LLL).
(11) Prior to award execution, successful applicants must submit a
certification that they will comply with:
(i) Section 3 of the Housing and Community Development Act of 1968,
Employment Opportunities for Lower Income Persons in Connection with
Assisted Projects (12 U.S.C. 1701u), and with implementing regulations
at 24 CFR part 135.
(ii) Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d-
2000d-4) (Nondiscrimination in Federally Assisted Programs) and
implementing regulations issued at 24 CFR part 1; and
(iii) The prohibitions against discrimination on the basis of age
under the Age Discrimination Act of 1975 (42 U.S.C. 6101-07) and
implementing regulations at 24 CFR part 146, and the prohibitions
against discrimination against persons with disabilities under section
504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and implementing
regulations at 24 CFR part 8.
(b) Additional Education and Outreach Initiative requirements. In
addition to meeting the application requirements contained in section
III.(a), above, all proposals under the Education and Outreach
Initiative must include the following:
(1) 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.
(2) Coordination of activities. Each non-governmental applicant for
funding under the Education and Outreach Initiative that is located
within the jurisdiction of a State or local enforcement agency or
agencies administering a fair housing law that has been certified by
the Department under 24 CFR part 115 as being a substantially
equivalent fair housing law must provide, with its application,
documentation that it has consulted with the agency or agencies to
coordinate activities to be funded under the Education and Outreach
Initiative. This coordination will ensure that the activities of one
group will minimize duplication and fragmentation of activities of the
other. Failure to submit the documentation required by this section
will be treated as a technical deficiency in accordance with section
IV., below, of this NOFA.
(3) Every regional/local/community-based program application must
include as one of its activities a procedure for referring persons with
Fair Housing complaints to State or local agencies, private attorneys,
or HUD and the Department of Justice for further enforcement
processing.
(c) Additional Private Enforcement Initiative requirements. In
addition to meeting the application requirements contained in section
III.(a), above, all proposals for testing under the Private Enforcement
Initiative must include:
(1) Documentation that the applicant has at least one year of
experience in carrying out a program to prevent or eliminate
discriminatory housing practices, and has sufficient knowledge of fair
housing testing to enable the applicant to implement a testing program
successfully;
(2) A certification providing 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 testing by the
applicant during a 12 month period following the test.
(d) Additional Fair Housing Organizations Initiative requirements.
In addition to meeting the application requirements contained in
section III.(a), above, the following application submission
requirements apply to proposals under the Fair Housing Organizations
Initiative:
(1) Each applicant under the continued development of existing
organizations purpose of the Fair Housing Organizations Initiative must
submit an operating budget that describes the applicant's total planned
expenditures from all sources, including the value of in-kind and
monetary contributions, in the year for which funding is sought. This
operating budget will be used for the purposes of determining the
extent of the 50% funding limitation on operating expenses.
(2) All proposals for testing under the Fair Housing Organizations
Initiative 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 testing by the applicant
during a 12 month period following the test.
IV. Corrections to Deficient Applications
Applicants will not be disqualified from being considered for
funding because of technical deficiencies in their application
submission, e.g., an omission of information such as regulatory/program
certifications, or incomplete signatory requirements for application
submission.
HUD will notify an applicant in writing of any technical
deficiencies in the application. The applicant must submit corrections
within 14 calendar days from the date of HUD's letter notifying the
applicant of any technical deficiency.
The 14-day correction period pertains only to non-substantive,
technical deficiencies or errors. Technical deficiencies relate to
items that:
1. Are not necessary for HUD review under selection criteria/
ranking factors; and
2. Would not improve the substantive quality of the proposal.
V. Other Matters
Prohibition Against Lobbying Activities
The use of funds awarded under this NOFA is subject to the
disclosure requirements and prohibitions of section 319 of the
Department of Interior and Related Agencies Appropriations Act for
Fiscal Year 1990 (31 U.S.C. 1352) (the ``Byrd Amendment'') and the
implementing regulations at 24 CFR part 87. These authorities prohibit
recipients of Federal contracts, grants, or loans from using
appropriated funds for lobbying the Executive or Legislative branches
of the Federal government in connection with a specific contract,
grant, or loan. The prohibition also covers the awarding of contracts,
grants, cooperative agreements, or loans unless the recipient has made
an acceptable certification regarding lobbying. Under 24 CFR part 87,
applicants, recipients and sub-recipients of assistance exceeding
$100,000 must certify that no Federal funds have been or will be spent
on lobbying activities in connection with the assistance.
Environmental Impact
A Finding of No Significant Impact with respect to the environment
has been made in accordance with the Department's regulations at 24 CFR
part 50 which 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 between 7:30 a.m. and 5:30
p.m. weekdays at the Office of the Rules Docket Clerk, room 10276,
Department of Housing and Urban Development, 451 Seventh Street, SW.,
Washington, DC 20410.
Executive Order 12606, The Family
The General Counsel, as the Designated Official under Executive
Order 12606, The Family, has determined that the policies announced in
this Notice would not have a significant impact on the formation,
maintenance, and general well-being of families except indirectly to
the extent of the social and other benefits expected from this program
of assistance.
Executive Order 12612, Federalism
The General Counsel has determined, as the Designated Official for
HUD under section 6(a) of Executive Order 12612, Federalism, that the
policies contained in this Notice will not have federalism implications
and, thus, are not subject to review under the Order. The promotion of
fair housing policies is a recognized goal of general benefit without
direct implications on the relationship between the national government
and the states or on the distribution of power and responsibilities
among various levels of government.
Drug-Free Workplace Certification
The Drug-Free Workplace Act of 1988 requires grantees of Federal
agencies to certify that they will provide drug-free workplaces. Thus,
each applicant must certify that it will comply with drug-free
workplace requirements in accordance with 24 CFR part 24, subpart F.
Accountability in the Provision of HUD Assistance
HUD has promulgated a final rule to implement section 102 of the
Department of Housing and Urban Development Reform Act of 1989 (HUD
Reform Act). The final rule is codified at 24 CFR part 12. Section 102
contains 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, HUD published at
57 FR 1942 additional information that gave the public (including
applicants for, and recipients of, HUD assistance) further information
on the implementation of section 102. The documentation, public access,
and disclosure requirements of section 102 are applicable to assistance
awarded under this NOFA as follows:
Documentation and Public Access Requirements
HUD will ensure that documentation and other information regarding
each application submitted pursuant to this NOFA are sufficient to
indicate the basis upon which assistance was provided or denied. This
material, including any letters of support, will be made available for
public inspection for a five-year period beginning not less than 30
days after the award of the assistance. Material will be made available
in accordance with the Freedom of Information Act (5 U.S.C. 552) and
HUD's implementing regulations at 24 CFR part 15. In addition, HUD will
include the recipients of assistance pursuant to this NOFA in its
quarterly Federal Register notice of all recipients of HUD assistance
awarded on a competitive basis. (See 24 CFR 12.14(a) and 12.16(b), and
the notice published in the Federal Register on January 16, 1992 (57 FR
1942), for further information on these documentation and public access
requirements.)
Disclosures
HUD will make available to the public for five years all applicant
disclosure reports (HUD Form 2880) submitted in connection with this
NOFA. Update reports (also Form 2880) will be made available along with
the applicant disclosure reports, but in no case for a period less than
three years. All reports--both applicant disclosures and updates--will
be made available in accordance with the Freedom of Information Act (5
U.S.C. 552) and HUD's implementing regulations at 24 CFR part 15. (See
24 CFR subpart C, and the notice published in the Federal Register on
January 16, 1992 (57 FR 1942), for further information on these
disclosure requirements.)
Section 103 HUD Reform Act
HUD's regulation implementing section 103 of the Department of
Housing and Urban Development Reform Act of 1989 was published May 13,
1991 (56 FR 22088) and became effective on June 12, 1991. That
regulation, codified as 24 CFR part 4, applies to the funding
competition announced today. The requirements of the rule continue to
apply until the announcement of the selection of successful applicants.
HUD employees involved in the review of applications and in the making
of funding decisions are limited by part 4 from providing advance
information to any person (other than an authorized employee of HUD)
concerning funding decisions, or from otherwise giving any applicant an
unfair competitive advantage. Persons who apply for assistance in this
competition should confine their inquiries to the subject areas
permitted under 24 CFR part 4.
Applicants who have questions should contact the HUD Office of
Ethics (202) 708-3815 (TDD/Voice). (This is not a toll-free number.)
The Office of Ethics can provide information of a general nature to HUD
employees, as well. However, a HUD employee who has specific program
questions, such as whether particular subject matter can be discussed
with persons outside the Department, should contact his or her Regional
or Field Office Counsel, or Headquarters counsel for the program to
which the question pertains.
Section 112 HUD Reform Act
Section 13 of the Department of Housing and Urban Development Act
contains two provisions dealing with efforts to influence HUD's
decisions with respect to financial assistance. The first imposes
disclosure requirements on those who are typically involved in these
efforts--those who pay others to influence the award of assistance or
the taking of a management action by the Department and those who are
paid to provide the influence. The second restricts the payment of fees
to those who are paid to influence the award of HUD assistance, if the
fees are tied to the number of housing units received or are based on
the amount of assistance received, or if they are contingent upon the
receipt of assistance.
Section 13 was implemented by final rule published in the Federal
Register on May 17, 1991 (56 FR 22912) as 24 CFR part 86. If readers
are involved in any efforts to influence the Department in these ways,
they are urged to read the final rule, particularly the examples
contained in appendix A of the rule.
Authority: Section 561 of the Housing and Community Development
Act of 1987 (42 U.S.C. 3616 note); Title VIII, Civil Rights Act of
1968, as amended (42 U.S.C. 3601-3619); Sec. 7(d), Department of
Housing and Urban Development Act (42 U.S.C. 3535(d)).
Dated: May 6, 1994.
Roberta Achtenberg,
Assistant Secretary for Fair Housing and Equal Opportunity.
[FR Doc. 94-11762 Filed 5-13-94; 8:45 am]
BILLING CODE 4210-28-P
