[Federal Register Volume 61, Number 141 (Monday, July 22, 1996)]
[Notices]
[Pages 38024-38039]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18543]
[[Page 38023]]
_______________________________________________________________________
Part VI
Department of Housing and Urban Development
_______________________________________________________________________
Office of the Assistant Secretary for Public and Indian Housing; Notice
of Funding Availability (NOFA) for Public Housing Demolition, Site
Revitalization, and Replacement Housing Grants (HOPE VI); Fiscal Year
1996; Proposed Information Collection for Public Comment; Notice
Federal Register / Vol. 61, No. 141 / Monday, July 22, 1996 /
Notices
[[Page 38024]]
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4076-N-01]
Office of the Assistant Secretary for Public and Indian Housing;
Notice of Funding Availability (NOFA) for Public Housing Demolition,
Site Revitalization, and Replacement Housing Grants (HOPE VI); Fiscal
Year 1996; Notice of Proposed Information Collection for Public Comment
AGENCY: Office of the Assistant Secretary for Public and Indian
Housing, HUD.
ACTION: Notice of funding availability (NOFA) for Fiscal Year (FY) 1996
and request for comments on information collection requirements.
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SUMMARY: This NOFA announces the availability of approximately $480
million in funding for Public Housing Demolition, Site Revitalization,
and Replacement Housing, hereafter referred to as the HOPE VI program,
as provided in the Omnibus Consolidated Rescissions and Appropriations
Act of 1996 (Pub. L. 104-134; approved April 26, 1996) (1996
Appropriations Act).
The 1996 Appropriations Act provided this funding as an
evolutionary advance in the HOPE VI program, for the purpose of
enabling the demolition of obsolete public housing developments or
portions thereof, the revitalization (where appropriate) of sites
(including remaining public housing units) on which such developments
are located, replacement housing that will avoid or lessen
concentrations of very low-income families, and Section 8 tenant-based
assistance for the purpose of providing replacement housing and
assisting tenants to be displaced by the demolition. The HOPE VI
program will fund demolition, the capital costs of reconstruction,
rehabilitation and other physical improvements, the provision of
replacement housing, management improvements, resident self-sufficiency
programs, and tenant-based assistance.
This NOFA contains information on eligible applicants, program
requirements, evaluation factors, and application submission
requirements. This NOFA also solicits public comments on the
information collection requirements contained herein.
DATES: Applications must be received at HUD Headquarters and the Field
Office on or before 4 p.m. eastern time on September 10, 1996. The
application deadline for the original application delivered to HUD
Headquarters is firm as to date and hour. Public housing agencies
(PHAs) should take this into account and submit applications as early
as possible to avoid the risk brought about by unanticipated delays or
delivery-related problems. In particular, PHAs intending to mail
applications must provide sufficient time to permit delivery on or
before the deadline date. Acceptance by a post office or private mailer
does not constitute delivery. HUD will disqualify and return to the
applicant any application that it receives after the deadline date and
time.
The deadline for comments on the information collection
requirements is September 20, 1996.
ADDRESSES: An original of the completed application must be received at
the HUD Headquarters Office, 451 Seventh Street, SW, Room 4138,
Washington, DC 20410, Attention: Director, Office of Public Housing
Investments. A copy of the completed application must also be received
at the HUD Field Office. Applications may be hand-delivered or mailed.
HUD will not accept facsimile (fax), COD, and postage due applications.
Interested persons are invited to submit comments regarding the
proposed information collection requirements in this NOFA. Comments
must refer to the NOFA for Public Housing Demolition, Site
Revitalization, and Replacement Housing Grants (HOPE VI); Fiscal Year
1996 (FR 4076), and must be sent to the Reports Liaison Officer, Office
of Public and Indian Housing, Department of Housing and Urban
Development, Room 4255, 451 7th Street, SW, Washington, DC 20410.
FOR FURTHER INFORMATION CONTACT: Mr. Milan Ozdinec, Director, Office of
Urban Revitalization, Department of Housing and Urban Development, 451
Seventh Street, SW, Room 4144, Washington, DC 20410; telephone (202)
401-8812 (this is not a toll free number). Hearing- or speech-impaired
individuals may access this number via TTY by calling the Federal
Information Relay Service at 1-800-877-TDDY, which is a toll-free
number. The NOFA is also available on the HUD Home Page, at the World
Wide Web at http:/www.hud.gov. HUD will also post frequently-asked
questions and answers on the Home Page throughout the application
preparation period.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Changes to, and Continuing Objectives of, the Hope VI Program
II. Substantive Description
A. Authority
B. Eligible Applicants
C. Requirement of Demolition of Obsolete Units
D. Fund Availability
E. Total Development Costs
F. Site and Neighborhood Standards
G. Eligible Activities and Costs
III. Threshold Requirements
IV. Application Evaluation Factors
A. Lessen Concentration of Low-Income Residents
B. Need for Demolition, Revitalization, or Replacement
C. Self-Sufficiency Programs
D. Positive Incentives and Tougher Expectations
E. Local and National Impact
F. Community and Partnerships
G. Need for Funding
H. Program Quality, Feasibility, and Sustainability
I. Capability
J. Resolution of Litigation
V. Application Submission Requirements
A. Statement of Objectives and Goals
B. Existing Conditions
C. Physical Description of Revitalization Plan
D. Applications for New Construction
E. Self-Sufficiency Component
F. Operation and Management Principles
G. Local and National Impact
H. Capability
I. Community and Partnerships
J. Resources
K. Program Financing and Sustainability
L. Resolution of Litigation
M. Required Certifications
N. Demolition/Disposition Application
VI. Application Processing and Grant Administration
A. Application Evaluation
B. Reduction in Requested Grant Amount
C. Corrections to Deficient Applications
D. Notification of Funding Decisions
E. Grant Agreement/ACC Amendment
VII. Applicability of Program Requirements
VIII. Applicability of Other Federal Requirements
IX. Other Matters
Changes to, and Continuing Objectives of, the HOPE VI Program
Congress intended for the HOPE VI appropriation in the Omnibus
Consolidated Rescissions and Appropriations Act of 1996 (Pub. L. 104-
134; approved April 26, 1996) (the 1996 Appropriations Act) to continue
Congressional efforts to deal with obsolete and severely distressed
public housing, previously funded under the name ``Urban Revitalization
Demonstration'' or ``URD,'' and popularly referred to as ``HOPE VI.''
The 1996 Appropriations Act made significant changes to HOPE VI by,
among other things, expanding eligibility to all PHAs, requiring
demolition as an element, requiring certain selection criteria, and
eliminating various restrictive features of previous URD legislation.
HUD includes these changes to the HOPE VI program in this NOFA. HUD
[[Page 38025]]
has also attempted to incorporate the lessons learned to date in HOPE
VI so that program purposes will be achieved more rapidly and
efficiently. HUD has retained the ``HOPE VI'' name in a period of
legislative change in order to stress the underlying continuity of the
program.
The elements of public housing transformation that have proven key
to HOPE VI, and that HUD hopes to achieve with these new awards
include:
A. Changing the physical shape of public housing. This includes
tearing down the eyesores that are often identified with obsolete
public housing and replacing them with homes that complement the
surrounding neighborhoods and are attractive and marketable to the
people they are intended to serve, meeting contemporary standards of
modest comfort and liveability. HOPE VI funds should be used to create
institutional and physical structures that serve the needs of public
housing residents over the long term in a cost-effective manner.
B. Establishing positive incentives for resident self-sufficiency
and comprehensive services that empower residents. Programs should be
outcome-based, directed at residents moving up and out of public
housing.
C. Enforcing tough expectations through strict occupancy and
eviction rules, such as the ``One Strike and You're Out'' policy
announced by President Clinton and supported in the Housing Opportunity
Program Extension Act of 1996 (Pub. L. 104-120; approved March 28,
1996). The goal of these rules is to improve the quality of life for
residents, create safer, family-friendly environments conducive to
learning, and make areas around public housing more attractive to
businesses that can create well-paying jobs.
D. Lessening concentrations of poverty by placing public housing in
nonpoverty neighborhoods, or by promoting mixed-income communities
where public housing once stood alone, thereby ending the social and
economic isolation of public housing residents, increasing their access
to quality municipal services such as schools, and increasing their
access to job information and mentoring opportunities.
E. Forging partnerships with other agencies, local governments,
nonprofit organizations, and private businesses to leverage support and
resources, whether financial or in-kind.
II. Substantive Description
A. Authority
The funding made available under this NOFA is provided by the
Omnibus Consolidated Rescissions and Appropriations Act of 1996 (Pub.
L. 104-134; approved April 26, 1996) (the 1996 Appropriations Act).
B. Eligible Applicants
PHAs that own or operate public housing units are eligible to
apply. Indian Housing Authorities are not included as eligible entities
for this program in the 1996 Appropriations Act, and are therefore not
eligible to apply.
C. Requirement of Demolition of Obsolete Units
Demolition is a required component of the HOPE VI program. Each PHA
applicant must demolish at least one obsolete building at the targeted
development. Applicants must attach a demolition/disposition
application, in accordance with 24 CFR part 970, as Exhibit N of the
HOPE VI application. If a demolition/disposition application for the
targeted development has been previously submitted to HUD but has not
yet been approved, the applicant must submit as Exhibit N a copy of the
transmittal letter from the PHA to HUD. If a demolition/disposition
application has been submitted and approved by HUD, but the demolition
has not yet commenced, the applicant must submit as Exhibit N a copy of
HUD's approval letter.
HUD recognizes that the application preparation period may be
insufficient to receive a response from residents to the offer to
purchase required by 24 CFR 970.13. Therefore, HUD will give PHA
applicants selected for funding 30 additional days from the date of
preliminary selection to submit the residents' response to the offer.
If there is no extant resident organization at the targeted development
at the time of application, the applicant will be required to follow
the procedures required by 24 CFR 970.13(b).
Whether or not HUD approves the HOPE VI application, HUD will
process all submitted demolition applications not previously approved.
If HUD approves demolition, all consequences of an approval, such as
those that affect receipt of modernization funds or operating subsidy,
will apply to the subject units. HUD will provide notification of
approval of the demolition application separately from the notification
of selection for participation in the HOPE VI program.
Obsolete units are those that, because of physical condition,
location, or other factors, are unusable for housing purposes, and no
reasonable program of substantial physical modifications is feasible to
return the units to useful life.
Physical indicators of obsolescence include 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).
Neighborhood indicators of obsolescence include physical
deterioration of the neighborhood; change from residential to
industrial or commercial development; or environmental conditions, as
determined by a HUD environmental review in accordance with 24 CFR part
50, that jeopardize the suitability of the site or a portion of the
site and its housing structures for residential use.
D. Fund Availability
This NOFA announces the availability of approximately $480 million
in funding for Public Housing Demolition, Site Revitalization, and
Replacement Housing, hereafter referred to as the HOPE VI program, as
provided in the Omnibus Consolidated Rescissions and Appropriations Act
of 1996 (Pub. L. 104-134; approved April 26, 1996) (1996 Appropriations
Act). The 1996 Appropriations Act provided $480 million in funding for
the HOPE VI Program. In order to meet its obligations under the
Gautreaux Consent Decree requiring HUD to provide comparable relief
when HUD cannot provide section 8 New Construction assistance, HUD may
provide funding for up to 350 public housing replacement units to the
Chicago Housing Authority, provided that the funding will fulfill an
unsatisfied obligation under the Consent Decree to provide comparable
relief, and provided, that the Chicago Housing Authority submits one or
more applications for such public housing replacement units in response
to this NOFA. In order to receive the replacement public housing units,
the application shall state that it is submitted pursuant to the
preceding sentence and the application must satisfy all of the
statutorily mandated requirements of the NOFA. The application for up
to 350 public housing replacement units under the preceding two
sentences shall not prohibit the Chicago Housing Authority from
otherwise qualifying to apply and be
[[Page 38026]]
considered for HOPE VI funding in accordance with the terms of the
NOFA.
A public housing authority that has received a HOPE VI planning
grant in a prior year and that wishes to request FY 1996 HOPE VI
funding for the same development(s) addressed in the planning grant
must submit an application under this NOFA.
1. Categories of applications. HUD will accept applications in the
following categories, subject to the limitations set forth in item 2
below:
a. PHAs that administer up to and including 2,500 public housing
units may request up to and including $15 million for demolition and
revitalization, replacement, and/or tenant-based assistance.
b. PHAs that administer from 2,501 to 10,000 public housing units
may request up to and including $30 million for demolition and
revitalization, replacement, and/or tenant-based assistance.
c. PHAs that administer 10,000 or more public housing units may
request up to and including $40 million for demolition and
revitalization, replacement, and/or tenant-based assistance.
d. Each PHA may, in addition to its Category A, B, or C
application(s), submit one application that requests up to $10 million
for demolition and relocation costs associated with the requirements of
the Uniform Relocation Act for one development, or portions thereof,
for which it did not apply under a Category A, B, or C application.
HUD will evaluate applications separately within the four
categories. If PHAs submit multiple applications as permitted below,
HUD will evaluate each application separately. HUD will determine
actual award amounts pursuant to Section VI of this NOFA.
2. Funding availability by category.
a. HUD will allocate $400 million, plus any balance of the $480
million which is not otherwise awarded under this NOFA, to Categories
A-C collectively.
b. HUD will allocate up to $76.784 million to Category D, to the
extent of approvable applications.
c. HUD will reserve $3.216 million for technical assistance.
3. Limitations.
a. Each Category A, B or D application must provide information and
request funds for only one public housing development. Contiguous or
immediately neighboring developments will be considered one development
for all purposes in this NOFA. A PHA in Category C may submit one or
two separate applications, as long as the total amount requested for
both applications does not exceed $40 million. A PHA may also submit a
separate application under Category D in addition to the application(s)
submitted under Categories A, B, or C.
b. There is no minimum or maximum number of housing units for which
funds may be requested in a single application. However, a PHA may not
request replacement funding for units for which the PHA has already
been awarded prior replacement funding from HUD, either through the
funding of hard units or tenant-based assistance.
c. PHAs with previously-awarded MROP or modernization funding that
they believe to be inadequate for the revitalization of a targeted
development may apply for supplemental funding under this NOFA. HUD
will evaluate these applications under the factors established by this
NOFA. PHAs must demonstrate that funding already available to them is
insufficient to assure a sustainable revitalization, and/or that the
portion of a development that would be unaddressed by other funding in
itself would qualify for a HOPE VI grant.
d. PHAs with previous HOPE VI grants may not seek Fiscal Year (FY)
1996 HOPE VI funding to supplement the previous grant in treating the
units covered by the original grant. Such PHAs may, however, seek FY
1996 HOPE VI funding to demolish and/or revitalize units in the same
development that were not targeted units under the previous HOPE VI
grant.
4. Tenant-based assistance. HUD will publish a separate
announcement for Section 8 tenant-based assistance in FY 1996, which
will be principally available for relocation and replacement units. A
PHA may apply for replacement and relocation funding simultaneously
under this NOFA (whether for hard units or tenant-based assistance) and
under the Section 8 announcement, and must do both if it seeks tenant-
based assistance under this NOFA. HUD will consider requests under this
HOPE VI NOFA for tenant-based assistance only to the extent that the
PHA applies for, but does not receive, replacement funds under the
Section 8 program.
5. Technical assistance. In accordance with the 1996 Appropriations
Act, up to $3.216 million may be used for technical assistance to be
provided directly or indirectly by grants, contracts, or cooperative
agreements, including training and cost of necessary travel for
participants in such training, by or to officials and employees of HUD
and public housing agencies and to residents.
6. Failure to proceed expeditiously. In the event that a PHA that
has been selected to participate in the HOPE VI program does not
proceed expeditiously, as determined by the Secretary, in accordance
with its application, any Grant Agreement, and ACC Amendment, HUD shall
withdraw any funding made available pursuant to this NOFA that has not
been obligated by HUD, and distribute such funds to one or more other
eligible PHAs, or to other entities capable of proceeding expeditiously
in the same locality with the original program. In selecting PHAs for
the redistribution of funds to one or more other eligible PHAs, HUD
will select an applicant from the most recently conducted HOPE VI
selection process.
E. Total Development Costs
1. If the average per unit hard costs of rehabilitation of the
housing remaining after partial demolition is below 62.5 percent of
HUD's published total development cost limits (TDC), the development is
not eligible for this program (except as a Category D application to be
used only for demolition and relocation as permitted hereunder).
2. If the average per unit hard costs of rehabilitating the
remaining units falls between 62.5 and 90 percent of TDC,
rehabilitation must be shown to be a viable, cost effective option by
the application.
3. The total development cost for units to be rehabilitated with
HUD funds may not exceed 90 percent, and the total development cost for
newly constructed units may not exceed 100 percent, of HUD's published
cost guidelines except with HUD's prior written approval. HUD may grant
such approval based on adequate justification set forth in the
application that addresses additional costs for items such as
remediation of lead-based paint, above average costs of infrastructure
replacement, accessibility improvements, historic preservation, major
reconfiguration of streets and sidewalks, and other significant
improvements. Higher costs must be deemed reasonable and necessary to
develop modest housing that incorporates efficient design, durability,
marketability, sustainability, energy conservation, safety, economical
maintenance, and healthy family life in a neighborhood environment.
F. Site and Neighborhood Standards
Grantees under this program must ensure that their revitalization
proposals and replacement housing plans for the targeted development(s)
will avoid or
[[Page 38027]]
lessen concentrations of very low-income families by creating a mixed-
income community or by expanding assisted housing opportunities in
nonpoor and nonminority neighborhoods. Replacement of public housing
units for public housing units demolished may be built on the original
public housing site, or in the same neighborhood, if the number of such
replacement public housing units is significantly fewer than the number
of public housing units demolished. This authority was affirmed by the
passage of section 1002(a)(9) of Pub. L. 104-19 (approved July 27,
1995) which explicitly authorizes HUD to approve the building of
replacement public housing units under such circumstances. The
Department notes that, in construing the phrase, ``significantly fewer
units,'' it has chosen not to establish a quantitative standard.
Instead, HUD will assess, on a case-by-case basis, the facts involved
in each request. In addition, it will take into account the evolving
interpretation of the phrase ``significantly fewer units'' as it
develops in the course of HUD's separate rulemaking on site and
neighborhood standards. Units that are not located at the targeted
development and in the surrounding neighborhood will be subject to site
and neighborhood standard rules stated in or made applicable by the
Grant Agreement.
G. Eligible Activities and Costs
Eligible expenditures are those eligible under sections 8 and 14 of
the U.S. Housing Act of 1937 (1937 Act). PHAs must principally use
assistance under this HOPE VI program for demolition and/or the
physical improvement and/or replacement of public housing and for
associated management improvements.
1. Eligible activities.
a. Total or partial demolition of buildings or disposition of
property (subject to the requirements of section 18 of the 1937 Act).
b. Capital costs of major reconstruction, rehabilitation, and other
physical improvements (including energy retrofits) (subject to TDC
limitations).
c. Capital costs of replacement housing, including homeownership
housing (subject to TDC limitations).
d. Tenant-based assistance under section 8(b) of the 1937 Act used
for replacement or relocation housing (to the extent permitted in
accordance with section II.D.3 of this NOFA).
e. Management improvements for the reconstructed development.
f. Planning and technical assistance.
g. Self-sufficiency programs, including Campus of Learners
programs, as described in Section V.E of this NOFA.
2. Eligible costs.
a. Capital costs may include related administrative and temporary
relocation costs necessary for reconstruction, rehabilitation,
demolition, or acquisition of land for replacement housing.
b. Administrative costs may include the annual premium of lead-
based paint insurance incident to approved revitalization work while
work is in progress.
c. Physical improvement costs may include those necessary to
provide facilities primarily intended to facilitate the delivery of
self-sufficiency programs and economic development opportunities for
residents of the targeted development, including technologically
outfitting units or buildings for the administration of a Campus of
Learners. Physical improvement costs for the creation of a Campus of
Learners will count towards the total development cost of a
development.
3. Allocation of costs.
a. PHAs must use at least 80 percent of the funding awarded in each
HOPE VI grant for any combination of the activities and related
expenses listed in paragraphs (a) through (f) of section 1, above.
b. PHAs may use not more than 20 percent of the funding awarded in
each HOPE VI grant for self-sufficiency programs and related
administrative expenses (paragraph (g) of section 1, above), but
excluding costs described in paragraph (c) of section 2).
III. Threshold Requirements
A. Noncurable Threshold Requirement
The application must provide for demolition of at least one
obsolete building at the targeted development as ``obsolete'' is
defined in section II.C of this NOFA. HUD will determine whether the
housing is obsolete based on information provided in Exhibit B
(Existing Conditions) of the application. Applicants will have no
opportunity to provide or supplement the information required by
Exhibit B after the deadline date listed in this NOFA (except to the
extent that correction may be made to the demolition application as
provided in section III.B.3 below).
B. Curable Technical Deficiencies
The requirements of this NOFA must be satisfied in order for HUD to
select an application for funding. If applicants do not satisfy the
technical requirements below, after the process for the correction of
deficiencies described in Section VI.C of this NOFA has been carried
out, HUD cannot select the applicants for participation.
1. The applicants must include evidence in Exhibit I.1.b.(2) of the
application (Community and Partnerships) that at least one public
meeting has been held to notify residents and community members of the
proposed activities described in the application.
2. The applicants must include all certifications and submissions
required as Exhibit M of the application.
3. The applicants must include a demolition application, as
described in Section II.C of this NOFA, as Exhibit N of the
application.
4. Applications with proposals that include new construction must
include Exhibit D of the application.
IV. Application Evaluation Factors
Section IV of this NOFA describes the factors that HUD will use to
review applications. Each application will be evaluated based upon its
merits determined pursuant to the factors set forth below. Applications
will be selected for award in accordance with Section VI. HUD will
consider the entire application, as a whole, when evaluating
applications. Applicants must submit the information described in
Section V of this NOFA; applicants must not respond directly to the
factors in Section IV. Instances in which specific submissions
correspond to specific evaluation factors are noted in both Sections IV
and V of this NOFA.
A. Lessen Concentration of Low-Income Residents [20 Points]
HUD will evaluate only Category A, B, and C applications for this
factor. HUD will consider the entire application, and particularly
Exhibit B.5.d (degree of concentration of low-income residents),
Exhibits C.3 and C.4 (description of replacement units), and Exhibit
C.5 (resident counseling) when evaluating this factor.
HUD will consider the extent to which the applicant proposes to
place public housing in nonpoverty neighborhoods or promote mixed-
income communities where public housing once stood alone, thereby
ending the social and economic isolation of public housing residents,
increasing their access to quality municipal services and increasing
their access to job information and mentoring opportunities.
HUD will also consider the degree to which the PHA intends to
provide counseling itself, or work with a
[[Page 38028]]
nonprofit organization to provide counseling, and other assistance to
help families receiving tenant-based assistance to move to nonpoverty
neighborhoods.
B. Need for Demolition, Revitalization, or Replacement [25 Points]
HUD will consider the entire application, and particularly Exhibit
B (Existing Conditions) when evaluating this factor for all
applications. For Category A, B, and C applications, HUD will also
consider information in Exhibit C.9 to determine need for revitalized/
replacement units.
HUD will consider the physical, neighborhood, and demographic
factors that indicate that the targeted development, or portion
thereof, is obsolete and in need of demolition, revitalization, or
replacement; the effect that the obsolete structure has on the
surrounding neighborhood; and, for applications in Categories A, B, and
C only, the need and market for the revitalized and/or replacement
units of the type and size proposed.
C. Self-Sufficiency Programs (Including Campus of Learners) [20 Points;
10 Point COL Bonus]
HUD will evaluate only Category A, B, and C applications for this
factor. HUD will consider the entire application, and particularly
Exhibit E (Self-Sufficiency Component), and Exhibit A (Statement of
Objectives and Goals) when evaluating this factor. Exhibit C.7 will be
used to evaluate the physical plan for a Campus of Learners.
A self-sufficiency program component is required for all Category
A, B, and C applications. Residents of public housing communities can
succeed in becoming self-reliant if they receive assistance in
obtaining comprehensive training, education, and support services, and
if they receive help finding gainful employment. This program should
focus on offering education and job training that is applicable and
appropriate for addressing the needs of residents. Each effort should
be linked to the educational and employment needs of youth and adult
residents as well as the potential job and contracting opportunities
that may be available in the community and the nation's rapidly
changing economy.
HUD will consider the overall quality of the supportive services
plan; the integration of the plan with the development process; the
appropriateness of scale, type, and delivery of the plan to meet the
identified needs of residents; the degree of resident training,
employment, and contracting planned; the degree to which service
providers have made commitments to provide services or funding; the
experience of proposed service providers; the extent of coordination
with existing service providers and programs; the extent to which the
objectives of the supportive service plan are results-oriented, with
measurable goals and outcomes; and the degree to which the program is
sustainable and is likely to enable residents to gain skills that
assist them in becoming self-supporting.
Category A, B, and C applicants are encouraged to implement a
``Campus of Learners'' (COL), an intensive residential learning model,
in connection with a self-sufficiency component in their development.
At a COL, the focus is to provide educational and employment
opportunities for residents living ``on campus,'' or enrolled and
attending an on-site or a certified self-improvement program. Such
programs will include computer technology and training, job training
initiatives, educational opportunities at local schools and
institutions of higher education, and resident self-sufficiency
programs. As a condition of living on campus or being enrolled,
residents will execute an education and employment pledge or a similar
agreement to fulfill specific obligations for program completion or
participation in good standing. Any authority choosing to implement a
COL program must partner with local schools, institutions of higher
learning in support of resident self-sufficiency activities,
telecommunications firms, foundations, businesses, religious
organizations, and/or the private sector as part of this initiative.
Ten points are available for this factor only as a bonus to
applications that propose to convert all or a portion of the targeted
development into a COL. All ten bonus points will be awarded to
applications which are substantially identical to proposals which
resulted in a previous designation by HUD as a COL. Up to ten points
may be awarded to applications depending on the degree to which the
proposals include the COL elements as described in this NOFA. More
information on the COL is contained in the Campus of Learners
Designation Kit, excerpts of which are included in the HOPE VI
Application Kit. Information on COL is also available on the World Wide
Web at http:\\www.hud.gov\nnw\campus.html.
D. Positive Incentives and Tougher Expectations [15 Points]
HUD will evaluate only Category A, B, and C applications for this
factor. HUD will consider the entire application, and particularly
Exhibit F (Operation and Management Principles).
HUD will consider the extent to which proposed operating and
management principles will improve upon current management, reward work
and promote family stability, provide greater resident security,
promote economic and demographic diversity, promote economic
integration and social mobility, and encourage self-sufficiency.
E. Local and National Impact [25 Points]
HUD will evaluate all applications for this factor. HUD will
consider the entire application, and particularly Exhibit B (Existing
Conditions), Exhibit C (Physical Description of the Revitalization
Plan), and Exhibit G (Local and National Impact).
To determine local impact, HUD will consider the relative magnitude
of change that the proposed activities will have on the targeted
development and the affected public housing community and
neighborhoods. HUD will consider the scale of the proposed demolition
and revitalization in relationship to its impact on the community as a
whole, not the magnitude of the program in relation to other
applications. For applications that propose revitalization, HUD will
consider the impact that proposed changes in management and service
delivery will have on the community.
To determine national impact, HUD will consider the degree to which
a program of revitalization, particularly the physical transformation,
self-sufficiency program, and operation/management components of the
project, could be used as a model for other communities. HUD will also
assess the potential of the proposed demolition and revitalization to
improve the health of a PHA that has been deemed ``troubled'' under
section 6(j) of the 1937 Act. HUD will give particular consideration to
revitalization plans that are essential to the removal of a PHA from
judicial receivership. HUD will also consider the extent to which the
targeted development has received negative national attention,
including press coverage other than in local press, as indicative of
the problems in public housing, and how the demolition and
revitalization effort would effectively communicate the transformation
of public housing.
F. Community and Partnerships [20 Points; 10 Point EZ/EC Bonus]
HUD will evaluate all applications for this factor, except with
respect to Partnerships for Category D
[[Page 38029]]
applications, as provided below. HUD will consider the entire
application, and particularly Exhibit I (Community and Partnerships).
1. Resident support/involvement. HUD encourages full and meaningful
involvement of residents and members of the communities to be affected
by the proposed activities. HUD will consider the extent of resident
consultation in shaping the application (including the designation of
the development that is the subject of the application), the level of
resident support for the proposed activities, the continued involvement
and participation by the affected public housing residents, and the
proposed involvement of residents in management of revitalized or
replacement units.
2. Community support/involvement. HUD will consider the extent of
involvement by local public, private, and nonprofit entities and
community representatives in the preparation of the application, the
level of enthusiasm for the plan in the larger community, and the
extent to which the activities proposed in the application are
coordinated with other revitalization plans within the community. Up to
ten bonus points will be given to revitalization plans that are
coordinated with and are supportive of the Strategic Plan for a
Federally designated Empowerment Zone or Enterprise Community.
3. Partnerships (for Category A, B and C applications only). PHAs
are encouraged to enter into partnership arrangements for the purpose
of developing housing that fits into the community and is seen as an
integral part of it. Partnerships would be made with organizations that
include private nonprofit or 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, and other
organizations.
HUD will consider the extent to which applications propose to
develop partnerships to facilitate revitalization, the potential of the
proposed partnerships to provide attractive housing and economic
opportunities for public housing residents and make public housing a
catalyst for neighborhood revitalization, and the strength of
commitments from potential partners to participate in the
revitalization plan. HUD will also consider the experience and
capability of proposed partners.
G. Need for Funding [20 Points]
For all applications, HUD will consider the extent to which the
applicant could undertake the proposed activities without HOPE VI
assistance. HUD will consider the entire application and particularly
the information provided in Exhibit K.1.b (Need for HOPE VI Funds) when
evaluating this factor.
H. Program Quality, Feasibility, and Sustainability [25 Points]
HUD will evaluate Category A, B and C applications only for this
factor. HUD will consider the entire application when determining the
comprehensiveness and effectiveness of the proposed demolition and
revitalization or replacement housing as measured by the objectives and
goals of the proposed plan; whether proposed program activities meet
the objectives of the HOPE VI program; whether the proposed program
activities will be accomplished within a reasonable time and expense;
whether the proposed activities are coherent, comprehensive, and
integrated; whether the proposed activities are sustainable; and the
potential success of the proposed program.
I. Capability [15 Points]
For Category A, B, and C applications only, HUD will consider the
ability and capacity of a PHA to carry out the revitalization and
replacement project it has proposed to do under this program. HUD will
consider the entire application and particularly information provided
in Exhibit H when evaluating this factor.
J. Resolution of Litigation [20 Bonus Points]
An applicant in any Category whose submission demonstrates that the
proposed revitalization plan will materially assist the applicant and
HUD in meeting their obligations under a court ordered Consent Decree
in connection with civil rights litigation will be provided with 20
additional bonus points.
V. Application Submission Requirements
This section of the NOFA describes all of the items to be included
in an application, and the categories of applications for which each
item is applicable. All applications, regardless of category, must
include all information requested, unless otherwise specifically noted.
If a PHA chooses to submit more than one application, it may duplicate
common elements of all applications, such as certifications, as long as
one of the applications contains certifications with original
signatures, and the copies indicate which application contains the
original document.
HUD reviewers will use the information provided in the application
to evaluate each application in accordance with the evaluation factors
described in Section IV of this NOFA. Notwithstanding that certain
application submission requirement sections of the application
correspond to specific evaluation factors, reviewers will consider and
evaluate the application as a whole during the evaluation process.
Each application submitted by a PHA for a Category A, B, or C grant
must consist of Exhibits A-N that correspond directly to sections A-N
listed below. Each application for a Category D grant must consist of
Exhibits A, B, G, I, K, M, and N. For ease of review, each application
must include a table of contents directing the reader to the page
number upon which each exhibit begins. If an exhibit is not applicable
to a Category D grant, applicants must indicate this in the table of
contents. The use of tabs to separate each exhibit will greatly
facilitate review and expedite grant awards. If an exhibit is not
applicable for any other reason, under the tab for such exhibit
applicants must provide an explanation of its inapplicability to the
application. Adherence to page limits is mandatory; in reviewing the
applications, HUD will not consider any information on pages that
exceed the limits.
A. Statement of Objectives and Goals
All applicants must provide a narrative Exhibit A, not to exceed
two pages, that describes the objectives and goals of the proposed
program and describes the projected goals for all activities proposed,
including the self-sufficiency component, if applicable. The narrative
should describe how program activities respond to the program
objectives set forth in Section I of this NOFA. Goals should be
results-oriented, realistic, and measurable. HUD will use information
from Exhibit A primarily to evaluate the Program Quality, Feasibility,
and Sustainability (IV.H) and Self-Sufficiency Programs (IV.C) factors.
B. Existing Conditions
All applicants must provide an Exhibit B that responds to all items
in this section. HUD will use information from Exhibit B primarily to
evaluate the Need for Demolition, Revitalization, or Replacement
(IV.B), Lessen Concentrations of Low-Income
[[Page 38030]]
Residents (IV.A), Local and National Impact (IV.E), and Program
Quality, Feasibility and Sustainability (IV.H) factors. HUD will use
items 3 and 4, below, to determine whether the application meets the
threshold requirement for obsolete housing (III.A).
The applicant must provide the following information in a
narrative, not to exceed eight pages (plus the map required under 1.d)
below:
1.Description of current development.
a. An identification of the targeted development.
b. The total number of current units, by unit size.
c. The number and location of vacant units.
d. In addition to the narrative, provide a one page map of the
current site.
2. Proposed demolition/disposition. Applicants must briefly
describe the extent of the proposed demolition/disposition, and
identify the units to be demolished. (Also attach a demolition/
disposition application as Exhibit N of the application, as described
in Section II.C of this NOFA.)
3. Physical indicators of obsolescence.
a. The cost of rehabilitation/reconstruction per unit as a
percentage of TDC.
b. Structural deficiencies (e.g., settlement of earth below the
building caused by inadequate structural fills, faulty structural
design, or settlement of floors).
c. 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).
d. Design and site deficiencies (e.g., high density or indefensible
space).
e. Major system deficiencies (e.g., peeling and chipping lead-based
paint, lack of reliable and reasonably efficient heat and hot water,
major structural deficiencies, electrical system not satisfying code
requirements, poor site conditions, leaking roof, deteriorated laterals
and sewers, or high number of plumbing leaks).
4. Neighborhood indicators of obsolescence.
a. Physical deterioration of the neighborhood.
b. Change of the neighborhood from residential to industrial or
commercial development.
c. Environmental conditions that may jeopardize the suitability of
the site or a portion of the site and its housing structures for
residential use. These conditions may be determined by either a HUD-
related environmental review, in accordance with 24 CFR part 50 or part
58, which was previously conducted in connection with earlier
assistance, or another assessment of conditions that, in the opinion of
the applicant, may jeopardize suitability of the site.
d. Deficiencies in the neighborhood that revitalization could
ameliorate.
5. Demographic indicators of distress. For the following elements,
applicants must provide the most current information that relates as
specifically as possible to the targeted site. If site information is
not available, applicants must indicate whether information provided
pertains to the development, neighborhood, city, census tract, or other
demographic area.
a. Average income as a percentage of area median.
b. Statistical information on the incidence of crime, including the
following: frequency of criminal acts of various types (including drug-
related activities), number of lease terminations or evictions for
criminal activity, average number of police calls to the development
per month, and the average monthly incidence of vandalism to PHA
property in dollars.
c. Vacancy rate.
d. Degree of concentration of very low-income persons in the
neighborhood.
6. Effect on the neighborhood. Applicants must describe how the
physical, neighborhood, and demographic conditions of the obsolete
development, or portions thereof, affect the residents of the
surrounding neighborhood, the greater community, and city.
C. Physical Description of Revitalization Plan
Category A, B, and C applicants only must provide a narrative
Exhibit C, not to exceed eight pages. HUD will use information from
Exhibit C primarily to evaluate the Program Quality, Feasibility and
Sustainability (IV.H), Lessen Concentration of Low-Income Residents
(IV.A), and Local and National Impact (IV.E) factors. HUD will use
information in Exhibit C.9 to evaluate the Need for Demolition,
Revitalization, or Replacement (IV.B) factor, and information in
Exhibit C.7 to evaluate the Self-Sufficiency (IV.C) factor. Applicants
must describe the extent of the physical revitalization and/or
replacement activities proposed, including the following, as
appropriate:
1. The changes in the sizes and shapes of units and other changes
in the use of interior space, including any reduction in the number of
units due to reconfiguration or changes in the utilization of interior
space.
2. Any community space alterations, improvements, or additions.
3. Any proposed on-site replacement units for public housing units
proposed to be demolished, including number, type, and size of units,
with a description of how such on-site replacement housing will avoid
or lessen concentrations of very low-income families.
4. Any proposed off-site replacement units, including the mix of
building types, number of dwelling units, and unit sizes of replacement
housing. Any applicant proposing to create off-site replacement units
MUST use census data to describe how such housing will avoid or lessen
concentrations of very low-income families.
5. The number of any Section 8 certificates to be used for
replacement or relocation housing, and whether those certificates are
existing or are requested in this application and under the Section 8
notice as required by section II.D.3 of this NOFA. A description of
counselling or other assistance that will be provided to residents
receiving tenant-based assistance as relocation or replacement housing
to enable them to move to areas of lower poverty if they so choose.
6. Any site acquisitions necessary or proposed, the purpose of the
acquisition, and how that acquisition is proposed to be financed.
7. An explanation, if applicable, of how the proposed
revitalization will resemble, or be used as, an education campus in the
implementation of a Campus of Learners.
8. If available, provide a postrevitalization site map.
9. A description of the need and market for the revitalized or
replacement units of the type and size proposed. Cite (but do not
submit) the city's Consolidated Plan, other local plans, market
studies, or other sources of information on housing supply. Identify
other assisted housing, existing and proposed (including housing funded
but not completed).
Applications for New Construction
In accordance with section 6(h) of the 1937 Act, the PHA may engage
in new construction only if the PHA demonstrates to the satisfaction of
the Secretary that the cost of new construction in the neighborhood
where the PHA determines the housing is needed is less than the cost of
acquisition or acquisition and rehabilitation in such neighborhood.
Therefore, every application that includes new construction must be
accompanied by a narrative Exhibit D that contains either the
information described in paragraphs 1 and 3 of this section, below, or
the information
[[Page 38031]]
described in paragraphs 2 and 3 of this section, below. The narrative,
certification and statement, as applicable, should not exceed three
pages.
1. 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).
2. 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.
3. A statement that:
a. Although the application is for new construction, the PHA will
accept acquisition of existing housing or acquisition and
rehabilitation, if HUD determines the PHA cost comparison or
certification of insufficient housing does not support approval of new
construction; or
b. The application is for new construction only. (In any such case,
if HUD cannot approve new construction under section 6(h) of the 1937
Act, HUD will reject the application.)
E. Self-Sufficiency Component
Category A, B, and C applicants only must provide a narrative
Exhibit E, not to exceed 10 pages. HUD will use information from
Exhibit E primarily to evaluate the Program Quality, Feasibility and
Sustainability (IV.H) and Self-Sufficiency Programs (IV.C) factors.
A program of self-sufficiency may include, but is not limited to:
(a) Child care, of a type that provides sufficient hours of operation
and serves appropriate ages as needed to facilitate parental access to
education and job opportunities; (b) Employment training and
counseling, such as job training, preparation and counseling, job
development and placement, and follow-up assistance after job
placement; (c) Computer skills training; (d) Education, including
remedial education, literacy training, completion of secondary or
postsecondary education, assistance in the attainment of certificates
of high school equivalency, and the integration of modern computer
technology into the education program; (e) Transportation as necessary
to enable any participating family member to receive available services
or to commute to his or her place of employment; (f) Partnerships with
local businesses for job placement for residents who complete adult
education and job training programs; (g) Substance/alcohol abuse
treatment and counseling; (h) Health care services; and (i) Any other
services and resources, including case management, that are determined
to be appropriate in assisting eligible residents.
1. Provide a brief description of each service that is expected to
be made available for residents. For each service, to the extent that
providers are identified, indicate the name of the service provider and
the experience of that provider. If providers are not identified,
describe the process the PHA will use to identify providers. Describe
the location of the service provision, the timing of the service
provision and how it relates to the development schedule, how long the
service will be provided to residents, and whether the service will be
available to residents that will remain on site, are moved off site,
and/or are in relocation sites.
2. Describe the analysis and any consultation with residents that
the PHA employed to determine the needs upon which the self-sufficiency
program was based and that will continue to be used to reevaluate
service needs in the future.
3. Describe how residents will be selected to participate in
services.
4. In addition to the narrative, attach letters from service
providers that commit to provide services to residents.
5. Describe plans to provide on-the-job training, employment, and
contracting opportunities to residents during implementation of the
revitalization plan.
6. Indicate how the goals projected for the self-sufficiency
component, as described in Exhibit A (Statement of Objectives and
Goals), will be met through the self-sufficiency program.
7. Describe the Campus of Learners (COL) program if one is
proposed. Explain how supportive services under the program will be
provided at a level higher than currently provided, how the program
will be sustainable, and how it will enable residents to gain skills
and become self-supporting. The description should contain each of the
following elements:
a. An identifiable physical campus, as demonstrated in the proposed
physical plan (section V.C.9 above), that integrates local schools,
parks, and, to the extent possible, institutions of higher learning.
b. A comprehensive education program that includes programs for
young children, after-school learning sessions for school-age
residents, life skills training for the elderly, and job readiness and
training programs for other adult residents.
c. Collaborations with educational institutions and organizations,
including the local school system, local colleges, universities, and
other institutions of higher learning, in order to harness the
resources of these establishments through specialized education and
technology classes.
d. Access to technology by wiring and equipping every unit in the
COL site, and computer labs on campus for computer classes, language
skills, life skills training, and GED classes.
e. A contract or pledge executed by residents that will state a
resident's agreement that living on the ``campus'' is incidental to and
reliant upon participation in the learning program, and residents
enrolled in the program must fulfill specific obligations for programs
completion.
F. Operation and Management Principles
Category A, B, and C applicants only must provide a narrative
Exhibit F, not to exceed five pages, that describes preliminary post-
redevelopment operation and management policies for the targeted
development. HUD will use information from Exhibit F primarily to
evaluate the Positive Incentives and Tougher Expectations (IV.D) and
Program Quality, Feasibility and Sustainability (IV.H) factors.
For application purposes, the PHA should assume that Congress will
make permanent the program modifications made by the 1996
Appropriations Act. However, PHAs will be required, if selected, to
conform their proposals to current law. HUD intends to issue additional
guidance on any changes in law and policy.
Applicants must describe the manner and extent to which the
proposed operation and management principles will:
1. Achieve efficient and effective management and maintenance
through private management or other management improvements.
2. Reward work and promote family stability through positive
incentives such as income disregards and ceiling rents. Note that PHAs
may establish ceiling rents (but must require a $25 minimum rent) and
may institute earned income disregards for FY 1996.
3. Provide greater security by instituting tough screening
requirements and enforcing tough lease and eviction provisions,
including the ``One Strike and You're Out'' policy.
4. Promote economic and demographic diversity through a system of
local preferences. Note that Congress has suspended all Federal
preferences for FY 1996.
[[Page 38032]]
5. Promote economic integration and social mobility for public
housing residents by providing housing for people with a broad range of
incomes in such a way that public and market rate units are
indistinguishable.
6. Encourage self-sufficiency by utilizing lease requirements that
promote community service and/or transition from public housing.
G. Local and National Impact
All applicants must provide a narrative Exhibit G, not to exceed
six pages. HUD will use information from Exhibit G primarily to
evaluate the Local and National Impact (IV.E) and Program Quality,
Feasibility and Sustainability (IV.H) factors.
1. Local impact.
a. All applicants must: Describe the extent to which the physical
changes resulting from the proposed demolition and revitalization or
replacement will significantly address the indicators of obsolescence
and distress described in Exhibit B (Existing Conditions).
b. Category A, B, and C applicants only must: Explain how the plan
for the provision of services described in Exhibit E and the plan for
management of the development and/or any replacement units after
revitalization described in Exhibit F will contribute to the positive
change for residents of the development and the surrounding community.
2. National impact.
(1) Categories A, B, and C applicants only must, if applicable,
discuss the potential for the program of revitalization, or some aspect
of it, to become a model for other communities.
a. All applicants must, if applicable: (1) Describe the extent to
which the targeted development has been perceived as an example of the
problems of public housing and how the proposed revitalization would
effectively communicate the transformation of public housing. Describe
the national impact of the current obsolete housing as evidenced by any
national attention, including press coverage received prior to the date
of this NOFA. Submit copies, if applicable, of negative coverage of the
targeted development in print media (other than local media) that
predates this NOFA.
(2) If the applicant PHA is on the national troubled housing list,
describe the potential of the proposed demolition and any
reconstruction or replacement housing to remove the PHA from the list
and (if applicable) remove the PHA from judicial receivership.
H. Capability
Category A, B, and C applicants only must provide a narrative
Exhibit H. HUD will use information from Exhibit H to evaluate all of
the factors and particularly the Capability (IV.I) factor. Applicants
must provide a narrative, not to exceed three pages, that includes the
following information:
1. Describe evidence of progress made under any previously-awarded
HOPE VI, development, and/or modernization funding.
2. Provide the PHA's overall and modernization scores under the
Public Housing Management Assessment Program (PHMAP), 24 CFR part 901,
most recently established by HUD.
3. Provide a brief summary of the PHA's most recent fiscal audit
and any outstanding HUD monitoring findings.
4. Describe factors that will ensure that implementation of the
program can begin quickly if the application is approved for an award.
5. Describe any prior experience in financing, leveraging, and
partnership activities.
6. If a receiver or alternate development team is in place,
describe the extent of its authority, the areas over which it will have
control, and its experience and track record in managing troubled PHAs
and/or in accomplishing large-scale development in a timely, cost-
effective, and successful manner.
7. Provide an organizational chart that indicates the proposed
staffing of the revitalization program. Describe the qualifications of
the PHA's key staff who will be responsible for the oversight of the
program.
I. Community and Partnerships
All applicants must provide a narrative Exhibit I, not to exceed
nine pages, plus any pertinent letters as provided below. HUD will use
information from Exhibit I primarily to evaluate the Community and
Partnerships (IV.F) and Program Quality, Feasibility and Sustainability
factors (IV.H). HUD will use information in Exhibit I.1.b.ii below to
determine whether the resident consultation requirement of section
III.B.1 has been met. Exhibit I should contain the following
information:
1. Resident support/involvement.
a. Category A, B, and C applicants only:
(1) Describe the level of participation and/or consultation with
residents throughout the PHA in the preparation of the application.
(2) Explain how the PHA would continue the involvement and
participation by the affected public housing residents.
(3) Describe any planned roles for residents in the management and
operation of the revitalized and replacement units and the developments
of which they are a part.
b. All applicants must attach the following:
(1) Any letters from residents in support of or opposition to the
demolition, any proposed revitalization or self-sufficiency programs,
or programs of positive incentives and tougher expectations received.
(2) Evidence that at least one public meeting has been held to
notify residents and community members of the proposed activities
described in this application. The meeting may be a regularly scheduled
PHA board meeting. Evidence must include the notice announcing the
meeting, how the notice was distributed, and a copy of the sign-in
sheet. An application must contain such evidence that a public meeting
took place in order to be selected for participation.
2. Community support/involvement. All applicants must respond to
this item.
a. Describe the level of participation and/or consultation in the
preparation of the application by community organizations and
institutions, agencies of local and State government, businesses,
nonprofit corporations, social service providers, philanthropic
organizations, educational institutions, and other entities. Discuss
how the PHA would continue to involve these entities and groups if the
application is selected.
b. Provide any letters, resolutions, or other available
documentation in support of, or objection to, the physical as well as
the self-sufficiency component of the proposed demolition, and the
revitalization and/or replacement of units. Include any letters that
commit resources, both monetary and in-kind, from community
organizations.
c. Detail other revitalization activities or land use plans
underway or planned in the neighborhood(s) that the revitalization plan
would affect. Provide reference to and maps indicating the location of
activities and resources identified in the city's or State's
Consolidated Plan or Federally designated Empowerment Zone or
Enterprise Community Strategy (if applicable) in relationship to the
development. Describe the current or projected impacts of these
community-wide activities on residents of the development(s). Describe
how the PHA plans to coordinate with these efforts.
[[Page 38033]]
d. If the targeted development is within a Federally designated
Empowerment Zone or Enterprise Community, provide evidence that the PHA
has an established relationship with the EZ/EC administrative body that
was established before the publication of this NOFA, and that the
proposed revitalization activity is consistent with and supportive of
the Strategic Plan for the Federally designated Empowerment Zone or
Enterprise Community. Applicants that provide a letter of endorsement
from the EZ or EC governing body will receive special consideration.
e. If the revitalization plan calls for changes in streets or other
infrastructure, provide a letter of commitment from the unit of general
local government to provide the resources necessary to carry out those
activities.
3. Partnerships. Category A, B, and C applicants only must respond
to this section.
a. Describe plans to accomplish the revitalization through a
proposed partnership with one or more entities, or through contractual
or subgrant relationships (such as a program management or alternative
administrator agreement or supportive service subgrantees). Include all
relevant information about each proposed entity, including the nature
of the organization, qualifications, the respective responsibilities
and obligations of each party, and the proposed financial relationship,
i.e., the basis and source of compensation to nonapplicant parties.
b. Describe how the use of the partnership will enhance the PHA's
ability to produce attractive housing, economic opportunities to
residents, and mixed-income housing, and to revitalize neighborhoods.
c. Provide any commitments from potential partners to participate
in the revitalization.
HUD does not expect applicants proposing innovative ownership or
financing structures to submit immediately approvable final plans for
such structures as part of their application. Specifically, HUD does
not expect PHAs to procure partners before an application is approved
and warns PHAs against procuring partners in a hasty manner or not in
compliance with applicable laws and procurement regulations. However,
applicants should describe proposed structures and relationships in
sufficient detail to demonstrate a reasonable likelihood that the
revitalization plan is feasible and in accordance with law. Please
refer to 24 CFR part 941, subpart F, published in the Federal Register
on May 2, 1996 (61 FR 19708, 19714), for guidance on procurement of
partners.
J. Resources
Only Category A, B, and C applicants must provide an Exhibit J.
PHAs may use HOPE VI funds in conjunction with any other funds
available to the PHA, so long as the use of HOPE VI funds complies with
the requirements set forth in this NOFA, and the Grant Agreement and
ACC Amendment to be executed with HUD; the use of other funds complies
with any restrictions applicable to them; and the proposed use of all
funds complies with section 102(d) of the Department of Housing and
Urban Development Reform Act of 1989 (42 U.S.C. 3531 note) and HUD's
subsidy layering guidelines, including those found in 24 CFR part 4.
Applicants must provide as Exhibit J a list of all of the
individuals and organizations from which they have received evidence of
financial or other support for the proposed activities. Next to each
source, applicants must list the dollar figure associated with the
resource to be provided, including the dollar value of any in-kind
services or materials to be provided, if known. Next to the dollar
figure, applicants must indicate the application page number of letters
of support or commitments for contributions that describe the nature of
the support and/or resource to be provided, the dollar value of the
donation, if available, any conditions attached to the commitment, and
the date that the resource will be made available. Applicants must
include letters that provide resources for capital costs, self-
sufficiency programs, and all other activities of the program.
Applicants may attach letters as part of Exhibit J, and/or in Exhibit
E.5 (supportive service support) or Exhibit I.2.b and I.2.e (local
government support).
K. Program Financing and Sustainability
HUD will use information provided in Exhibit K primarily to
evaluate the Need for Funding (IV.G) and Program Quality, Feasibility,
and Sustainability (IV.H) factors.
1.All applicants must provide an Exhibit K that contains the
following:
a. Provide an estimated budget (Form HUD-52825-A, HOPE VI Budget,
Parts I and II) showing uses of HOPE VI and other funding for the
proposed demolition and, if applicable, the revitalization plan. Part I
of the form will indicate the general uses of funds, and Part II breaks
each individual use into specific activities.
b. In order to assure that the HOPE VI funds are not used in lieu
of otherwise available funds, provide the certification included in the
PHA Board Resolution for Submission of HOPE VI Application (form HUD
52820-A), submitted under Exhibit M.3, that the PHA could not undertake
the activities proposed through this application without the additional
assistance provided by the requested HOPE VI grant. In a narrative, not
to exceed two pages, discuss how the funds reasonably expected to be
available to the PHA over the period of the CGP Five-Year Action Plan
are not adequate to address the revitalization needs of the
development. Identify all HUD funds currently committed to the PHA for
capital purposes and available for use at the targeted development, and
where any currently allocated funds for that development would be
reallocated, if applicable. Justify why the HOPE VI request should not
be reduced by the currently-allocated amount. If the PHA is selected to
participate in the HOPE VI program, the PHA's CGP Five-Year Action Plan
will be revised to reflect the additional funds.
2. Category A, B, and C applicants only also must include the
following information as part of Exhibit K:
a. Provide a sources-and-uses analysis of capital costs. Although
non-HOPE VI funding commitments may not be in place at the time the
application is submitted, PHAs should identify what types of funding
they will seek to finance their concepts, on what terms these types of
funding might be available, and the level of commitment funders are
willing to make at this time.
b. If average per unit costs for new construction funded by HUD
will exceed 100 percent of TDC, or average per unit costs for
rehabilitation funded by HUD will exceed 90 percent of TDC, provide a
narrative, not to exceed one page, that justifies the need for higher
costs. See discussion of costs in Section II.E of this NOFA.
c. Provide a five-year operating budget, showing all projected
expenses and income. Operating estimates should take into account
realistic market rents for the proposed unit types and sizes, the
amount of funding needed for self-sufficiency programs, and costs of
proposed operating and management policies. Explain all assumptions
made in the development of the budget.
d. Sustainability: Describe how the PHA will be able to maintain
proposed programs and policies on a long term basis, given the
resources projected to be available for the development. This
description should not exceed one page.
[[Page 38034]]
L. Resolution of Litigation
In order to receive the 20 bonus points available to applications
that demonstrate that the proposed revitalization plan will materially
assist the applicant and HUD in meeting their obligations under a court
ordered Consent Decree in connection with civil rights litigation, an
applicable Category A, B, C, or D applicant shall submit a narrative,
not to exceed two pages, that describes the obligations of the
applicant and HUD under the Consent Decree, and explains how the
activities proposed in the revitalization plan will materially assist
the applicant and HUD in meeting such obligations.
M. Required Certifications
Each applicant must submit an Exhibit M that includes all of the
following letters and forms, fully executed and dated. Submission of
all of the following letters and forms is a requirement of this NOFA.
1. As the first page of the application, submit an SF-424,
Application for Federal Assistance. This form must include the Housing
Authority Code, provide the name of the targeted development, list all
activities proposed in the application (demolition, revitalization,
replacement, Section 8) and the amount of funds requested for each.
This form must be signed by the Executive Director of the PHA.
2. A letter from the Chief Executive of the applicable jurisdiction
in support of the application.
3. Form HUD-52820-A, PHA Board Resolution for Submission of HOPE VI
Application.
4. A certification by the public official responsible for
submitting the Consolidated Plan under 24 CFR part 91 that the proposed
activities are consistent with the approved Consolidated Plan of the
State or unit of general local government within which the development
is located.
5. Certification for a Drug-Free Workplace (Form HUD-50070) in
accordance with 24 CFR 24.630.
6. SF-LLL, Disclosure of Lobbying Activities, only if any funds
other than Federally-appropriated funds will be or have been used to
lobby the executive or legislative branches of the Federal Government
regarding specific grants or contracts.
7. Form HUD 2880, Recipient Disclosure/Update Report. This report
provides disclosures required by section 102 of the HUD Reform Act of
1989 (Pub. L. 101-235; approved December 15, 1989). Implementing
regulations in 24 CFR part 4 require PHAs that seek assistance from HUD
for a specific activity to make the disclosures required under
Sec. 4.9.
8. Evidence of Legal Eligibility. If it has not previously done so,
the PHA must document that it is legally organized. Applicants must
submit a current General Certificate (Form HUD 9009).
9. Cooperation Agreement (Form HUD 52481). The PHA must document
that the number of units requested, along with units in management and
other units in development, are covered by Cooperation Agreements.
10. Anti-Lobbying Certification for Contracts, Grants, Loans and
Cooperative Agreement (Form HUD-50071). In accordance with section 319
of the Department of the Interior and Related Agencies Appropriations
Act for Fiscal Year 1990 (31 U.S.C. 1352) (the Byrd Amendment) and the
implementing regulations in 24 CFR part 87, the PHA must certify that
no Federally-appropriated funds have been paid or will be paid, by or
on behalf of the PHA, for influencing or attempting to influence an
officer or employee of any agency, or a member of Congress in
connection with the awarding of any Federal contract, the making of any
Federal grant or loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modifications
of any Federal contract, grant, loan, or cooperative agreement. (The
rule also requires disclosure from the PHA if nonappropriated funds
have been spent or committed for lobbying activities, if those
activities would be prohibited if paid with appropriated funds.)
N. Demolition/Disposition Application
In accordance with Section II.C of this NOFA, demolition of
obsolete public housing is a required element of the program.
1. If a demolition/disposition application was not previously
submitted for the targeted development, submit as Exhibit N a
demolition/disposition application in accordance with 24 CFR part 970.
2. If a demolition/disposition application for the targeted
development was previously submitted to HUD but has not yet been
approved, submit as Exhibit N a copy of the PHA's letter transmitting
the application to HUD.
3. If a demolition/disposition application has been submitted and
approved by HUD, but the demolition has not yet commenced, submit as
Exhibit N a copy of HUD's approval letter.
VI. Application Processing and Grant Administration
Application Evaluation
Awards under this NOFA will be made through a selection process
that will award grants to the most meritorious applications based upon
points as provided below.
HUD will preliminarily review, rate and rank each application,
including those applications from prior HOPE VI planning grant
recipients which are for the same development as their planning grant,
on the basis of the factors set forth in Section IV of this NOFA. HUD
will evaluate Category A, B, and C applications based upon all of the
factors described in section IV of this NOFA. HUD will evaluate
applications in Category D based upon the Need for Demolition,
Revitalization or Replacement (IV.B), Local and National Impact (IV.E),
Community and Partnerships (IV.F), Need for Funding (IV.G), and
Resolution of Litigation (IV.J) factors only.
A final review panel will then review the scores of all
applications whose preliminary score is above a base score established
by HUD, using the same evaluation factors set forth in Section IV of
this NOFA. HUD intends to set the base scores so that applications for
Categories A, B, and C requesting approximately $800 million and
applications for Category D requesting $100 million are advanced to the
final review stage. Additionally, notwithstanding their preliminary
score, HUD will advance for final review the top six rated applications
from each of Categories A, B, and C. The HOPE VI program, following
Congressional direction, has heretofore incorporated a progression from
planning grants to implementation grants. Because of the large number
of existing planning grants and changes in program structure and
eligibility, and because a PHA that has used its planning grant
effectively should be able to demonstrate merit under the rating
factors, HUD has not given any rating preference to prior planning
grant sites. However, in order to preserve program continuity and
obtain full consideration of sites in which the Department has made an
investment of HOPE VI funds, the Department will review all such
applications in the second review stage. Such applications will not
receive special consideration during the panel review stage and will be
reviewed in both stages of the selection process according to the
evaluation factors set forth in Section IV of this NOFA. The review
panel will assess each of the applications advanced to final review
[[Page 38035]]
and will assign the final scores. HUD will select for funding the four
most highly rated applications from each of categories A, B, and C. HUD
will select the most highly rated applications in Category D, up to
available funding. Remaining funding from the approximately $400
million will be allocated to the remaining most highly rated
applications in categories A-D, regardless of category.
HUD, in its discretion, may choose to select a lower-rated
approvable application over a higher-rated application in order to (1)
increase the level of national geographic diversity of applications
selected under this NOFA, or (2) implement an exemplary, innovative or
unique revitalization plan whose approach would otherwise be
inadequately represented in the pool selected and which HUD determines
is a revitalization model which should be tested for the benefit of
future efforts.
HUD may establish a panel of experts with whom to consult for
advice on elements of the applications that are within their expertise.
Such experts will be advisors and will not conduct any part of the
selection of grantees.
B. Reduction in Requested Grant Amount
HUD may select an application for participation in the HOPE VI
program but grant an award pursuant to such application in an amount
lower than the amount requested by the applicant, or adjust line items
in the proposed grant budget within the amount requested (or both), if
it determines that partial funding is a viable option, and:
1. The amount requested for one or more eligible activities is not
supported in the application or is not reasonably related to the
service or activity to be carried out;
2. An activity proposed for funding does not qualify as an eligible
activity and can be separated from the budget;
3. The amount requested exceeds the total cost limitation
established for a grant;
4. Insufficient funds are available to fund the full amount; or
5. Providing partial funding will permit HUD to fund one or more
additional qualified PHAs.
C. Corrections to Deficient Applications
HUD will evaluate each application against the stated factors in
Section IV of this NOFA. Upon completion of the evaluation, if HUD
determines that a PHA failed to submit any of the items listed in
Section III.B of this NOFA, or if the application contains a technical
mistake, such as an incorrect signatory, or is missing any other
information that does not affect evaluation of the application, HUD may
notify the PHA in writing and by facsimile (fax) that the PHA has 14
calendar days from the date of HUD's written notification to submit or
correct any of the specified items. The PHA will have no opportunity to
correct deficiencies other than those identified in HUD's written
notification, or otherwise to supplement or revise its application. If
any of the items identified in HUD's written notification is not
corrected and submitted within the required time period, the
application will be ineligible for further consideration.
D. Notification of Funding Decisions
HUD will not notify applicants as to whether they have been
selected to participate until the announcement of the selection of all
recipients under this NOFA. HUD will provide written notification to
applicants that have been selected to participate and to those that
have not been selected. HUD's notification of award to a selected
applicant will constitute a preliminary approval by HUD subject to the
completion of a subsidy layering review pursuant to 24 CFR 941.10(b),
HUD's completion of an environmental review of the proposed sites, and
the execution by HUD and the recipient of a Grant Agreement and/or ACC
Amendment. Selection for participation (preliminary approval) does not
constitute approval of the proposed site(s). Each proposal will be
subject to a HUD environmental review, in accordance with 24 CFR part
50, and the proposal may be modified or the proposed sites rejected as
a result of that review. Each application must contain the
certification included in the PHA Board Resolution for Submission of
HOPE VI Application (form HUD 52820-A), submitted under Exhibit M.3,
that the applicant will assist HUD in complying with environmental
review procedures. Under that certification, the applicant/recipient
may not acquire, rehabilitate, convert, lease, repair, or construct a
property, or commit HUD or local funds to these activities, until HUD
approves the site.
E. Grant Agreement/ACC Amendment
After HUD selects a PHA to receive an award pursuant to this NOFA,
it will enter into a Grant Agreement and/or ACC Amendment, as
determined appropriate by HUD, with the recipient setting forth the
amount of the grant and applicable rules, terms, and conditions,
including sanctions for violation of the agreement. Among other things,
the agreement/amendment will provide that the recipient agrees to the
following:
1. To 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, if applicable;
2. To 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;
3. That HUD may require the PHA to procure a program manager if
selected for an award, as a condition of the grant agreement; and
4. That HUD may withhold, withdraw, or recapture any portion of a
grant, terminate the Grant Agreement, or take other appropriate action
authorized by the 1996 Appropriation Act or under the Grant Agreement
or ACC Amendment if HUD determines that the recipient is failing to
carry out the approved revitalization program in accordance with the
terms of the application as approved and this NOFA.
The Grant Agreement will also provide program rules, describe
requirements for implementation of the revitalization plan, and provide
any special conditions on the grantee, as applicable.
VII. Applicability of Program Requirements
The development to be revitalized is a public housing development.
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 obsolete 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.
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 1996 Appropriations Act and this NOFA.
A. Demolition and disposition activity under the grant must be
conducted in accordance with 24 CFR part 970;
B. Public housing development activity (including on-site
reconstruction as well as off-site
[[Page 38036]]
replacement housing) must be conducted in accordance with 24 CFR part
941, including mixed finance development in accordance with subpart F
(published in the Federal Register on May 2, 1996 (61 FR 19708,
19714)). HUD will distribute the Mixed-Finance ACC Amendment to the
recipients.
C. Replacement housing activity using Section 8 rental certificates
must be conducted in accordance with 24 CFR part 882;
D. Replacement housing activity with units acquired or otherwise
provided for homeownership under section 5(h) of the 1937 Act must be
conducted in accordance with 24 CFR part 906;
E. Replacement housing activities provided through housing
opportunity programs of construction or substantial rehabilitation of
homes must be conducted in accordance with 24 CFR part 280 (the
Nehemiah Program);
F. Replacement housing activities under the HOPE II program must be
conducted in accordance with 24 CFR subtitle A, appendix B;
G. Replacement housing activities under the HOPE III program must
be conducted in accordance with 24 CFR subtitle A, appendix C;
H. Rehabilitation and physical improvement activities must be
conducted 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). These provisions were
published in the Federal Register on March 5, 1996 (61 FR 8712, 8738).
I. The administration and operation of units must be in accordance
with all existing public housing rules and regulations.
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.
VIII. Applicability of Other Federal Requirements
A. 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. Flood insurance is obtained as a condition of approval of the
application.
B. Coastal Barriers Resources Act
In accordance with the Coastal Barrier Resources Act (16 U.S.C.
3601), HUD will not approve grant applications for properties in the
Coastal Barrier Resources System.
C. Fair Housing Requirements
Recipients must comply with the requirements of the Fair Housing
Act (42 U.S.C. 3601-19) and the regulations in 24 CFR part 100;
Executive Order 11063 (Equal Opportunity in Housing) and the
regulations in 24 CFR part 107; the fair housing poster regulations in
24 CFR part 110 and the advertising guidelines in 24 CFR part 109; and
Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) and the
regulations in 24 CFR part 1.
D. Nondiscrimination on the Basis of Age or Handicap
Recipients must comply with the prohibitions against discrimination
on the basis of age pursuant to the Age Discrimination Act of 1975 (42
U.S.C. 6101-07) and the regulations in 24 CFR part 146; the
prohibitions against discrimination against, and reasonable
modification, accommodation, and accessibility requirements for,
handicapped individuals under section 504 of the Rehabilitation Act of
1973 (29 U.S.C. 794) and the regulations in 24 CFR part 8; the
Americans with Disabilities Act (42 U.S.C. 12101 et seq.) and
regulations issued pursuant thereto (28 CFR part 36); and the
Architectural Barriers Act of 1968 (42 U.S.C. 4151) and the regulations
in 24 CFR part 40.
E. Employment Opportunities
The requirements of section 3 of the Housing and Urban Development
Act of 1968 (12 U.S.C. 1701u) (Employment Opportunities for Lower
Income Persons in Connection with Assisted Projects) and the
regulations in 24 CFR part 135 apply to this program.
F. Minority and Women's Business Enterprises
The requirements of Executive Orders 11246, 11625, 12432, and 12138
apply to this program. Consistent with HUD's responsibilities under
these orders, recipients must make efforts to encourage the use of
minority and women's business enterprises in connection with funded
activities.
G. OMB Circulars
The policies, guidelines, and requirements of OMB Circular Nos. A-
87 (Cost Principles Applicable to Grants, Contracts and Other
Agreements with State and Local Governments) and 24 CFR part 85
(Administrative Requirements for Grants and Cooperative Agreements to
State, Local, and Federally Recognized Indian Tribal Governments), as
modified by 24 CFR 941, subpart F relating to the procurement of
partners in mixed-finance developments, apply to the award, acceptance,
and use of assistance under the program by PHAs, and to the remedies
for noncompliance, except when inconsistent with the provisions of the
1996 Appropriations Act, other Federal statutes, or this NOFA.
Recipients are also subject to the audit requirements of OMB Circular
A-128 implemented at 24 CFR part 44. Copies of OMB Circulars may be
obtained from E.O.P. Publications, Room 2200, New Executive Office
Building, Washington, DC 20503, telephone (202) 395-7332 (this is not a
toll-free number). There is a limit of two free copies.
H. Drug-Free Workplace
Applicants must certify that they will provide a drug-free
workplace, in accordance with the Drug-free Workplace Act of 1988 and
HUD's implementing regulations at 24 CFR part 24, subpart F.
I. Debarred or Suspended Contractors
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.
J. 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 of the PHA and who exercises or has
exercised any functions or responsibilities with respect to activities
assisted under an HOPE VI grant, 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 he or she has family or
business ties, during his or her tenure or for one year thereafter.
[[Page 38037]]
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 purposes of the revitalization
demonstration and the effective and efficient administration of the
revitalization program. 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 weighed against the public
interest served by avoiding the prohibited conflict; and
g. Any other relevant considerations.
K. Labor Standards
Where HOPE VI funds provide assistance with respect to low-income
housing (including Section 8 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. For example, if CDBG program funds are
used in connection with the revitalization program, the labor standards
requirements of that program would apply with respect to the portion of
work funded thereby.
L. Lead-Based Paint Testing and Abatement
Any property assisted under the revitalization program established
under this NOFA constitutes HUD-associated housing for the purpose of
the Lead-Based Paint Poisoning Prevention Act (42 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). Tenant-based assistance provided to PHAs under
this program will be subject to 24 CFR 982.401 and 24 CFR part 35.
Unless otherwise provided, recipients shall be responsible for testing
and abatement activities.
M. Relocation
1. The requirements of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 and government-wide
implementing regulations at 49 CFR part 24 apply to this program.
2. Temporary Relocation. The recipient must provide each resident
of an eligible property, who is required to relocate temporarily to
permit work to be carried out, with suitable, decent, safe, and
sanitary housing for the temporary period, and must reimburse the
resident for all reasonable out-of-pocket expenses incurred in
connection with the temporary relocation, including the costs of moving
to and from the temporarily occupied housing and any increase in
monthly costs of rent and utilities.
IX. Other Matters
A. Paperwork Reduction Act
The information collection requirements of this NOFA (including
Forms HUD-52825-A and HUD-52820-A required by Sections K.1.a and M.3 of
the NOFA) have been submitted to the Office of Management and Budget
(OMB) for review and temporary approval under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501-3520) and 5 CFR 1320.13. 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. The OMB control number, when assigned, will be
announced by separate notice in the Federal Register.
In addition, in today's NOFA HUD is soliciting comments, as
required under 5 CFR 1320.8(d), before submitting the information
collection requirements contained in this NOFA to OMB for regular
review in accordance with 5 CFR 1320.10. HUD is seeking comments from
members of the public and affected agencies concerning the proposed
collection of information to:
(1) Evaluate whether the proposed collection of information is
necessary for the proper performance of the functions of the agency,
including whether the information will have practical utility;
(2) Evaluate the accuracy of the agency's estimate of the burden of
the proposed collection of information;
(3) Enhance the quality, utility, and clarity of the information to
be collected; and
(4) Minimize the burden of the collection of information on those
who are to respond; including through the use of appropriate automated
collection techniques or other forms of information technology, e.g.,
permitting electronic submission of responses. Interested persons are
invited to submit comments according to the instructions in the Dates
and Addresses sections of this NOFA.
This Notice also lists the following information:
Title of Proposal: NOFA for Public Housing Demolition, Site
Revitalization, and Replacement Housing Grants (HOPE VI) (FR 4076).
Description of the Need for the Information and Proposed Use:This
information collection is required in connection with the issuance of
this NOFA, announcing the availability of approximately $480 million
for grants public housing demolition, revitalization, and replacement
housing.
Form Numbers: HUD-52820-A and HUD-52828-A
Members of Affected Public: Public housing agencies.
Estimation of the Total Number of Hours Needed to Prepare the
Information Collection including Number of Respondents, Frequency of
Response, and Hours of Response:
[[Page 38038]]
----------------------------------------------------------------------------------------------------------------
Total
Submission requirements Number of Number of annual Hours per Total
respondents responses response response
----------------------------------------------------------------------------------------------------------------
Application.................................... 500 1 500 40 20,000
Demolition/Disposition Application............. 500 1 500 10 5,000
Resident Consultation.......................... 500 1 500 4 2,000
HOPE VI Budget Form HUD-52825-A................ 500 1 500 6 3,000
PHA Board Resolution for Submission of HOPE VI
Application Form HUD-52820-A.................. 500 1 500 1 500
Total Burden............................. 30,500
----------------------------------------------------------------------------------------------------------------
Status of the Proposed Information Collection: Emergency processing
request pending.
B. Environmental Review
A Finding of No Significant Impact with respect to the environment
has been made in accordance with HUD regulations at 24 CFR part 50,
implementing 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 and copying between 7:30 am and 5:30 pm
weekdays at the Office of the Rules Docket Clerk, 451 Seventh Street,
SW., Room 10276, Washington, DC 20410.
C. Impact on the Family
The General Counsel, as the Designated Official for Executive Order
12606, The Family, has determined that the policies announced in this
NOFA will not have the potential for significant impact on family
formation, maintenance, and general well-being within the meaning of
the order. No significant change in existing HUD policies and programs
will result from the issuance of this NOFA, as those policies and
programs relate to family concerns. To the extent that there is impact
on the family, revitalization under this program can be expected to
support families by enabling low-income families to live in decent,
safe, and sanitary housing.
D. Federalism Impact
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that this NOFA
will not have substantial, direct effects on States, on their political
subdivisions, or on their relationship with the Federal Government, or
on the distribution of power and responsibilities between them and
other levels of government. While the NOFA offers financial assistance
to units of general local government, none of its provisions will have
an effect on the relationship between the Federal Government and the
States, or the States' political subdivisions.
E. Accountability in the Provision of HUD Assistance
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (HUD Reform Act) and the final rule codified at 24
CFR part 4, subpart A, published on April 1, 1996 (61 FR 1448), 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, HUD published, at
57 FR 1942, a notice that also provides 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 Federal Register
notice of all recipients of HUD assistance awarded on a competitive
basis.
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.
F. Section 103 of the HUD Reform Act
HUD's regulation implementing section 103 of the Department of
Housing and Urban Development Reform Act of 1989, 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 or employees who have ethics related questions should
contact the HUD Office of Ethics (202) 708-3815. (This is not a toll-
free number.) For HUD employees who have specific program questions,
such as whether particular subject matter can be discussed with persons
outside HUD, the employee should contact the appropriate Field Office
Counsel, or Headquarters counsel for the program to which the question
pertains.
G. 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 in 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,
[[Page 38039]]
and subrecipients 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.
Dated: July 17, 1996.
Michael B. Janis,
General Deputy Assistant Secretary for Public Indian Housing.
[FR Doc. 96-18543 Filed 7-17-96; 3:59 pm]
BILLING CODE 4210-33-P
